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HomeMy WebLinkAboutAgenda Packet_2024-08-20City Council Meeting Packet August 20, 2024 CLOSED SESSION MEETING - 4:30 PM REGULAR OPEN MEETING - 5:30 PM (Immediately following the Closed Session Meeting) CITY COUNCIL CHAMBER 22 Civic Center Plaza Santa Ana, CA 92701 Valerie Amezcua Mayor Thai Viet Phan Mayor Pro Tem — Ward 1 Jessie Lopez Councilmember - Ward 3 Johnathan Ryan Hernandez Councilmember - Ward 5 Benjamin Vazquez Councilmember - Ward 2 Phil Bacerra Councilmember - Ward 4 David Penaloza Councilmember - Ward 6 Mayor and Council telephone: 714-647-6900 Agenda item inquiries: 714-647-6520 Sonia R. Carvalho Alvaro Nunez City Attorney City Manager Jennifer L. Hall City Clerk In compliance with the Americans with Disabilities Act (ADA), if you need special assistance to participate in this Meeting, contact Michael Ortiz, City ADA Program Coordinator, at (714) 647-5624. Notification 48 hours prior to the Meeting will enable the City to make reasonable arrangements to assure accessibility to this meeting. The City Council agenda and supporting documentation can be found on the City's website — www.santa-ana.org/agendas-and-minutes. City Council 1 8/20/2024 CITY VISION AND CODE OF ETHICS The City of Santa Ana is committed to achieving a shared vision for the organization and its community. The Vision, Mission and Guiding Principles (Values) are the result of a thoughtful and inclusive process designed to set the City and organization on a course that meets the challenges of today and tomorrow, as follows: Vision - The dynamic center of Orange County which is acclaimed for our: Investment in youth • Safe and healthy community • Neighborhood pride • Thriving economic climate - Enriched and diverse culture • Quality government services Mission - To deliver efficient public services in partnership with our community which ensures public safety, a prosperous economic environment, opportunities for our youth, and a high quality of life for residents. Guiding Principles - Collaboration • Efficiency • Equity • Excellence • Fiscal Responsibility - Innovation • Transparency Code of Ethics and Conduct - At the Special Municipal Election held on February 5, 2008, voters approved an amendment to the City Charter which established the Code of Ethics and Conduct for elected officials and members of appointed boards, commissions, and committees to assure public confidence. The following are the core values expressed: - Integrity • Honesty • Responsibility • Fairness • Accountability • Respect • Efficiency City Council 2 8/20/2024 Members of the public may attend the City Council meeting in -person or join via Zoom. As a courtesy to the public, the City Council meeting will occur live via teleconference Zoom webinar. You may view the meeting from your computer, tablet, or smart phone via YouTube LiveStream at www.youtube.com/user/SantaAnaLibrary or on CTV3, available on Spectrum channel 3. PUBLIC COMMENTS — Members of the public who wish to address the City Council on closed session items, items on the regular agenda, or on matters which are not on the agenda but are within the subject matter jurisdiction of the City Council, may do so by one of the following ways: • MAILING OPTION written communications — Public comments may be mailed to: Office of the City Clerk, 20 Civic Center Plaza M-30, Santa Ana, CA 92701. All written communications received via mail by 4:00 p.m. on the day of the meeting will be distributed to the City Council and imaged into the City's document archive system which is available for public review. • SENDING E-MAIL OPTION — Public comments may be sent via email to the City Clerk's office at eComment@santa-ana.org. Please note the agenda item you are commenting on in the subject line of the email. All emails received two (2) hours before the scheduled start of the meeting will be distributed to the City Council and imaged into the City's document archive system which is available for public review. • LIVE VIRTUAL OPTION — As a courtesy, members of the public may provide live comments during the meeting by Zoom or Conference Call. To join by Zoom click on or type the following address into your web browser https://us02web.zoom.us/j/315965149. To join the Conference Call: Dial (669) 900- 9128 and enter MEETING ID: 315 965 149#. You will be prompted by the City Clerk when it is time for a: i) closed session item, ii) agenda/general comments, iii) public hearing item, iv) special agenda item, or v) for Housing Authority item. You may request to speak by dialing *9 from your phone or you may virtually raise your hand from Zoom. After the Clerk confirms the last three digits of the caller's phone number or Zoom ID and unmutes them, the caller must press *6 or microphone icon to speak. Callers are encouraged, but not required, to identify themselves by name. Each caller will be provided three (3) minutes to speak, unless due to the number of speakers wanting to speak a decision is made to provide a different amount of time to speak. • IN -PERSON OPTION - Members of the public can provide in -person comments at the podium in the Council Chamber. The Council Chamber will have seating available for members of the public to attend the meeting in -person. Public comments are limited to three (3) minutes per speaker, unless a different time is announced by the presiding chair. Speakers who wish to address the Council must do so by submitting a "Request to Speak" card by 4:30 p.m. for Closed Session items and by 5:45 p.m. for all other designated public comment periods as listed below. Cards will not be accepted after the Public Comment Session begins without the permission of the presiding chair. City Council 3 8/20/2024 The following designated public comment periods are: 1. LIVE PUBLIC COMMENTS ON CLOSED SESSION ITEMS —You can provide live comments on closed session items by joining Zoom or the Conference Call as described in the LIVE or IN -PERSON PUBLIC COMMENTS OPTION above. Speaker queue will open at 4:00 p.m. YOU MUST JOIN ZOOM OR THE CONFERENCE CALL and raise your hand BY 4:30 p.m. Speakers who are not in the speaker queue with their hand raised by 4:30 p.m. will not be permitted to speak. 2. LIVE PUBLIC COMMENTS ON REGULAR AGENDA ITEMS AND NON -AGENDA ITEMS (GENERAL PUBLIC COMMENT) — You can provide comments by joining Zoom or the Conference Call as described in the LIVE or IN -PERSON PUBLIC COMMENTS OPTION above. Speaker queue will open at 4:00 p.m. YOU MUST JOIN ZOOM OR THE CONFERENCE CALL and raise your hand PRIOR TO 5:45 p.m. Speakers who are not in the speaker queue with their hand raised by 5:45 p.m. will not be permitted to speak. 3. LIVE PUBLIC COMMENTS ON PUBLIC HEARING ITEMS —You can provide comments by joining Zoom or the Conference Call as described in the LIVE or IN -PERSON PUBLIC COMMENTS OPTION above. Speakers not in the queue by 5:45 p.m. will not be permitted to speak. 4. LIVE PUBLIC COMMENTS ON HOUSING AUTHORITY ITEMS —You can provide comments by joining Zoom or the Conference Call as described in the LIVE or IN -PERSON PUBLIC COMMENTS OPTION above. Speakers not in the queue by 5:45 p.m. will not be permitted to speak. TRANSLATION SERVICES - Spanish interpreting services are provided at City Council meetings. Simultaneous Spanish interpretation is provided through the use of headsets and consecutive interpretation (Spanish -to -English) in addition to those wishing to address the City Council at the podium. La ciudad provee servicios de interpretacion al espanol en las juntas del Consejo. La interpretacion simultanea al espanol se ofrece por medio del use de audifonos y la interpretacion consecutiva (espanol a ingles) tambien esta disponible para cualquiera que desee dirigirse al consejo municipal en el podio. About the Agenda To download or view the attachments (staff report and other supporting documentation) for each agenda item, you must select the agenda item to see the attachments to either open in a new link (the eyeball or download a pdf (the cloud symbol with the down arrow ). City Council 4 8/20/2024 CLOSED SESSION CALL TO ORDER ATTENDANCE Council Members Phil Bacerra Johnathan Ryan Hernandez Jessie Lopez David Penaloza Benjamin Vazquez Mayor Pro Tern Thai Viet Phan Mayor Valerie Amezcua City Manager Alvaro Nunez City Attorney Sonia R. Carvalho City Clerk Jennifer L. Hall ROLL CALL ADDITIONS\DELETIONS TO CLOSED SESSION PUBLIC COMMENTS — Members of the public may address the City Council on Closed Session items. RECESS — City Council will recess to Closed Session for the purpose of conducting regular City business. CLOSED SESSION ITEMS — The Brown Act permits legislative bodies to discuss certain matters without members of the public present. The City Council finds, based on advice from the City Attorney, that discussion in open session of the following matters will prejudice the position of the City in existing and anticipated litigation: 1. CONFERENCE WITH LEGAL COUNSEL — EXISTING LITIGATION pursuant to Paragraph (1) of subdivision (d) of Section 54956.9 of the Government Code: A. Valdez Gonzalez, Irinea v. City of Santa Ana, et al., Orange County Superior Court, Case No. 30-2023-01303178-CU-PA-WJC B. In re Aqueous Film -Forming Foams Prods. Liability Litigation, United States District Court for the District of South Carolina, Charleston Division, Case No. MDL 2:18-mn- 2873-RMG City Council 5 8/20/2024 2. CONFERENCE WITH LEGAL COUNSEL —INITIATION OF LITIGATION pursuant to Paragraph (4) of subdivision (d) of Government Code Section 54956.9: • One (1) case — Union Pacific 3. PUBLIC EMPLOYEE APPOINTMENT pursuant to Government Code Section 54957(b)(1) Title: Independent Oversight Director to the Santa Ana Police Oversight Commission RECONVENE — City Council will reconvene to continue regular City business. CITY COUNCIL REGULAR OPEN SESSION CALL TO ORDER ATTENDANCE Council Members Mayor Pro Tern Mayor City Manager City Attorney City Clerk ROLL CALL PLEDGE OF ALLEGIANCE WORDS OF INSPIRATION Phil Bacerra Johnathan Ryan Hernandez Jessie Lopez David Penaloza Benjamin Vazquez Thai Viet Phan Valerie Amezcua Alvaro Nunez Sonia R. Carvalho Jennifer L. Hall Mayor Amezcua Rabbi Sharon Sobel, Temple Beth Shalom ADDITIONS\DELETIONS TO THE AGENDA CEREMONIAL PRESENTATIONS 1. Certificates of Recognition presented by Mayor Amezcua to the 2024 Back to School Community Resource Fair Planning Committee for Outstanding Contributions to the Community 2. Certificates of Recognition presented by Mayor Pro Tern Phan to the Asian American Senior Citizens Service Center YEAH Youth Program Committee and Panelists for Outstanding Contributions to the Community City Council 6 8/20/2024 3. City Tile presented by Councilmember Bacerra to Winston Covington for Outstanding Contributions to the Community 4. Proclamation presented by Councilmember Hernandez to the Funk Freaks and Psycho Realm declaring August 2024 as Chicano Heritage Month 5. Certificate of Recognition presented by Councilmember Lopez to Khalil Bey for Outstanding Contributions to Public Safety 6. Proclamation presented by Councilmember Vazquez to Dorothy Mulkey for Outstanding Contributions to the Community STAFF PRESENTATIONS 7. SoCalGas Presentation of Climate Adaptation Grant CLOSED SESSION REPORT — The City Attorney will report on any action(s) from Closed Session. PUBLIC COMMENTS — Public comments will be held during the beginning of the meeting for ALL comments on agenda and non -agenda items. I CONSENT CALENDAR RECOMMENDED ACTION: Approve staff recommendations on the following Consent Calendar Items: 8 through 37 and waive reading of all resolutions and ordinances. 8. Excused Absences Department(s): City Clerk's Office Recommended Action: Excuse the absent members. 9. Minutes from the Regular Meeting of August 6, 2024 Department(s): City Clerk's Office Recommended Action: Approve minutes. 10. 2024 Local Agency Biennial Notice RE: Conflict of Interest Code Review Department(s): City Clerk's Office Recommended Action: Receive and file the Fair Political Practices Commission 2024 Local Agency Biennial Notice advising that the City's Conflict of Interest Code is currently under review. City Council 7 8/20/2024 11. Receive and File the 2023-2024 Orange County Grand Jury Report: Talking Trash: Recyclables and Organic Waste Department(s): Public Works Agency Recommended Action: Receive and file the report. 12. Citywide Purchase Order Contract to Amazon Capital Services, Inc. for the Online Marketplace Purchase of Goods (Specification No. 24-091) (General Fund and Non General Fund) Department(s): Finance and Management Services Recommended Action: Award a citywide purchase order contract to Amazon Capital Services, Inc. for online marketplace purchases of goods for a three and -a - half year term beginning August 1, 2024 and expiring January 18, 2028, for an annual amount not to exceed $650,000. 13. Aggregate Purchase Order Contracts with Promotethis!, Impact PromoSource, LLC (previously Graphic Printsource, Inc.), and Superior Promos for Promotional Items (Specification No. 23-024) (General Fund and Non -General Fund) Department(s): Finance and Management Services Recommended Action: Authorize the City Manager to execute an amendment to increase the annual aggregate not -to -exceed amount of the citywide purchase order contracts with vendors listed below by $355,000 for promotional items, for a new annual aggregate amount not to exceed amount of $550,000. Vendor Impact PromoSource, LLC Promotethis! Superior Promos Location Corona, CA Huntington Beach, CA Brooklyn, NY 14. Purchase Order to AirGap Labs, LLC for Firewall Hardware and Services (Specification No. 24-096) (Non -General Fund) Department(s): Information Technology Recommended Action: Authorize a one-time purchase and payment of purchase order to AirGap Labs, LLC for firewall hardware, including installation services and five-year subscription, in an amount not to exceed $96,054. City Council 8 8/20/2024 15. Aggregate Purchase Order Contracts to Bizon Group, Inc. and Southwest Mobile Storage, Inc. for Storage Container Purchase, Rental, Disposal, Transport, and Repair Services (Specification No. 24-053) (Non -General Fund) Department(s): Public Works Agency Recommended Action: Award aggregate purchase order contracts to Bizon Group, Inc. and Southwest Mobile Storage, Inc. for as -needed storage container purchase, rental, disposal, transport, and repair services, in an annual aggregate amount of $110,000, for a total aggregate amount not to exceed $550,000, for an initial one-year term beginning August 21, 2024 and expiring August 20, 2025, with provisions for four 1-year renewal options. 16. Purchase Order Contracts to Daniels Tire Service and Parkhouse Tire, Inc. for Vehicle Tires (Specification No. 24-088) (Non -General Fund) Department(s): Public Works Agency Recommended Action: Award aggregate purchase order contracts to Daniels Tire Service and Parkhouse Tire, Inc. for vehicle tires for a three-year period beginning August 20, 2024 and expiring August 19, 2027, with provisions for two, one-year renewal options, in an annual aggregate amount not to exceed $200,000. 17. Legal Services Agreement with Hanson Bridgett, LLP (General Fund) Department(s): City Attorney's Office Recommended Action: Approve a legal services agreement with Hanson Bridgett, LLP to provide legal and investigative services with a term through June 30, 2025 with an optional one-year extension, and compensation not to exceed $200,000 (Agreement No. A-2024-XXX). 18. Agreement with BrightLife Designs, LLC for Holiday Decorations, Installation, Removal, and Storage (Revive Santa Ana) Department(s): Community Development Agency Recommended Action: Authorize the City Manager to execute an agreement with BrightLife Designs, LLC to install, remove, and store holiday decorations in Downtown Santa Ana for a three-year term beginning September 1, 2024 and ending February 1, 2027, in the amount not to exceed $144,400 (Agreement No. A-2024- XXX). 19. Agreement with Cherry Bekaert Advisory LLC for Indirect Cost Allocation Plan and Internal Service Fund Cost Allocation Methodology Services Department(s): Finance and Management Services City Council 9 8/20/2024 Recommended Action: Authorize the City Manager to execute an agreement with Cherry Bekaert Advisory LLC for Indirect Cost Allocation Plan and Internal Service Fund Cost Allocation Methodology Services for a total aggregate amount not to exceed $150,000 for a three-year term beginning August 20, 2024 and expiring August 19, 2027, with a provision for a two-year extension (Agreement No. A-2024- XXX). 20. Agreement with Siemens Industry, Inc. for the Main Library and Outdoor Library at Jerome Park Projects (General Fund) Department(s): Library Recommended Action: Authorize the City Manager to execute an agreement with Siemens Industry, Inc. for equipment, licenses, construction oversight of security camera installation, and integration into the City network for the Main Library Renovation and Outdoor Library at Jerome Park projects, in the amount of $64,200, with a 10% contingency, for a total not to exceed amount of $70,620, for a term expiring December 31, 2026, with a provision for a one-year extension (Agreement No. A- 2024-XXX). 21. Amendment to Agreement with Group 4 Architecture, Research + Planning, Inc. for the Main Library Renovation Project (22-1380) (Revive Santa Ana) Department(s): Library Recommended Action: Approve a first amendment to an agreement with Group 4 Architecture, Research + Planning, Inc. for additional design and engineering services, increasing the compensation amount by $499,383, for a total not -to -exceed amount of $2,657,948 (Agreement No. A-2024-XXX). 22. Agreement with Pennell Consulting, Inc. for Jail Security Control System Upgrade Consulting Services (General Fund) Department(s): Police Department Recommended Action: Authorize the City Manager to execute an agreement with Pennell Consulting, Inc. to provide consulting, system design, and project management services to the City of Santa Ana Police Department Jail for a three- year term beginning August 20, 2024 and ending August 19, 2027, with two one-year extension options, in an amount not to exceed $193,184 (Agreement No. A-2024- XXX). 23. Agreement with PowerDMS for Field Training Management Software and Community Engagement Software (General Fund) Department(s): Police Department Recommended Action: Authorize the City Manager to execute an agreement with PowerDMS (Agreement No. A-2024-XXX) for software subscriptions as follows: • One-year subscription to PowerReady for field training software in an amount City Council 10 8/20/2024 not to exceed $8,074 for the period of March 28, 2025 through March 27, 2026 Two-year subscription to PowerEngage for citizen engagement software in an amount not to exceed $59,375 for the period of September 1, 2024 through August 31, 2026 24. Memorandum of Understanding, First Amendment, and Appropriation Adjustment Accepting the FY 2023 Enhanced Collaborative Model Task Force to Combat Human Trafficking Grant (Non -General Fund) Department(s): Police Department Recommended Action: Authorize the City Manager and the Chief of Police to execute a Memorandum of Understanding and the First Amendment with the City of Anaheim Police Department accepting FY 2023 Enhanced Collaborative Model Task Force to Combat Human Trafficking Grant funds in the amount of $75,000 for the period of October 1, 2023 through September 30, 2026 (Agreement No. A-2024-XXX). 2. Approve an appropriation adjustment recognizing $75,000 in the Department of Justice Grants revenue account and appropriate same to the Office for Victims of Crime Human Trafficking expenditure accounts. (Requires five affirmative votes) 25. Award a Construction Contract to All American Asphalt for the Grand Avenue Rehabilitation from McFadden Avenue to First Street Project (Project No. 23-6702) (Non -General Fund) Department(s): Public Works Agency Recommended Action: 1. Approve an appropriation adjustment recognizing $972,882 in Coronavirus Response and Relief Supplemental Appropriations Act (CRRSAA) grant from Select Street Construction, State Grant -Direct revenue account and appropriate the same amount into the Select Street Construction, Improvements Other Than Buildings, expenditure account. (Requires five affirmative votes) 2. Approve an appropriation adjustment recognizing $676,000 of prior -year fund balance from Special Gas Tax, Prior Year Carry Forward and Select Street Construction, Transfer from Fund 029 revenue accounts and appropriate the same amount into the Gas Tax Interfund Transfer, Transfer to Fund 059 and HUTA 2103 Gas Tax, Improvements Other Than Buildings, expenditure account. (Requires five affirmative votes) 3. Approve an appropriation adjustment to transfer $30,907 from Roadway Maintenance, Improvements Other Than Buildings, Transfer from Fund 029 revenue accounts and appropriate the same amount into the Gas Tax Interfund Transfer, Transfer to Fund 059 and Select Street Construction, Improvements Other Than Buildings, Improvements Other Than Buildings, Improvements Other Than Buildings, City Council 11 8/20/2024 expenditure account. (Requires five affirmative votes) 4. Authorize a budget reallocation of $44,590 in unspent funds from the Santa Clara Avenue Bike Lane from Lincoln Avenue to Tustin Avenue Project (No. 23-6997) and $30,907 from Omnibus Concrete Program Support Project (No. 22-6970) to construction funds for the Grand Avenue Rehabilitation from McFadden Avenue to First Street Project (No. 23-6702). 5. Approve an amendment to the Fiscal Year 2024-25 Capital Improvement Program (CIP) to include $972,882 from Select Street Construction funds, $676,000 from HUTA 2103 Gas Tax funds, and $75,497 in unspent funds from projects 22-6970 and 23-6997, for the Grand Avenue Rehabilitation from McFadden Avenue to First Street Project. 6. Approve the Project Cost analysis for a total estimated construction delivery cost of $2,242,499, which includes $1,793,999, for the construction contract; $269,100 for contract administration, inspection, and testing; and a $179,400 project contingency for unanticipated or unforeseen work. 7. Award a construction contract to All American Asphalt, the lowest responsible bidder, in accordance with the base bid in the amount of $1,793,999, subject to change orders in accordance with the Greenbook: Standard Specifications for Public Works Construction, for term beginning August 20, 2024, and ending upon project completion, and authorize the City Manager to execute the contract. 8. Determine that, pursuant to the California Environmental Quality Act, the recommended actions are exempt from further review. Categorical Exemption Environmental Review No. ER-2023-29 was filed for Project 23-6702. 26. Construction Contract with Legion Contractors, Inc. for the Outdoor Library at Jerome Park Project (Project No. 22-1381 & 25-7523) (General Fund and Non -General Fund) (Revive Santa Ana) Department(s): Public Works Agency Recommended Action: 1. Approve an amendment to the Fiscal Year 2024-25 Capital Improvement Program to include $3,270,040 of various funding sources listed below for the Outdoor Library at Jerome Park. 2. Approve the Project Cost Analysis for a total estimated construction delivery cost of $3,720,040, which includes $3,336,400 for the construction contract, $50,000 for contract administration, inspection, and testing, and a $333,640 project contingency for unanticipated or unforeseen work. 3. Award a construction contract to Legion Contractors, Inc. the lowest responsible bidder, in accordance with the base bid and alternate bid in the amount of $3,336,400, subject to change orders in accordance with the Greenbook: Standard Specifications for Public Works Construction, for construction of the Outdoor Library at Jerome Park Project, for a term beginning August 20, 2024, and ending upon project completion, and authorize the City Manager to execute the contract. City Council 12 8/20/2024 4. Determine that, pursuant to the California Environmental Quality Act, the recommended actions are exempt from further review. Categorical Exemption Environmental Review No. ER-2024-34 was filed for Project 22-1381. 27. Award a Construction Contract to CJ Concrete Construction for the Legacy Square Transportation Improvements Project (Project No. 22-9001(20-AHSC-14700)) (Non - General Fund) Department(s): Public Works Agency Recommended Action: 1. Award a construction contract to CJ Concrete Construction, the lowest responsible bidder, in accordance with the base bid in the amount of $1,433,200, subject to change orders in accordance with the Greenbook: Standard Specifications for Public Works Construction, for construction of the Legacy Square Transportation Improvements Project, for a term beginning August 20, 2024, and ending upon project completion, and authorize the City Manager to execute the contract. 2. Approve the Project Cost Analysis for a total estimated construction delivery cost of $1,798,079, which includes $1,433,200 for the construction contract; $221,559 for contract administration, inspection, and testing; and a $143,320 project contingency for unanticipated or unforeseen work. 3. Determine that, pursuant to the California Environmental Quality Act (CEQA), the recommended actions are exempt from further review pursuant to Section 15301(c) of the CEQA guidelines for projects consisting of highways and streets, sidewalks, gutters, bicycle and pedestrian trails, and similar facilities. The proposed project continues to meet these parameters of the CEQA guidelines, and Categorical Exemption Environmental Review No. ER-2023-92 was filed for Project 22-9001. 28. Agreement with Bernards Bros, Inc., for Construction Management at Risk Services for the State Building Demolition Project (Project No. 24-9002) (Non -General Fund) Department(s): Public Works Agency Recommended Action: Authorize the City Manager to execute an agreement with Bernards Bros, Inc. to perform Construction Management at Risk services for the State Building Demolition Project in the amount of $765,481, with a contingency of $84,519, for a total amount of $850,000, for a two-year term beginning August 20, 2024 and expiring August 19, 2026, with an option for two, one-year extensions (Agreement No. A-2024-XXX). 29. Agreement with Mariposa Landscape Inc. for Landscape Maintenance Services at Water Production Facilities and the Corporate Yard (Specification No. 24-018) (Non - General Fund) Department(s): Public Works Agency Recommended Action: Authorize the City Manager to execute an agreement with Mariposa Landscape Inc. for landscape maintenance services for a three-year term City Council 13 8/20/2024 beginning August 20, 2024 and expiring August 19, 2027, with a provision for two, one-year renewal options, for an aggregate amount of $695,760, including a contingency of $160,560, for the term of the agreement, including renewal options exercisable by the City Manager (Agreement No. A-2024-XXX). 30. Agreement with E Source Companies, LLC for Automated Metering Infrastructure Implementation Support Services (Project 16-6460) (Non -General Fund) Department(s): Public Works Agency Recommended Action: Authorize the City Manager to execute an agreement with E Source Companies, LLC to provide Automated Metering Infrastructure implementation support services, for a total amount not to exceed $450,000, for a three-year term beginning August 20, 2024 and expiring December 31, 2027, with a provision for one two-year extension (Agreement No. 2024-XXX). 31. License Agreement with K&C Logistics, LLC for their use of City -Owned East and West Alton Avenue/SR-55 Freeway Parcel Department(s): Public Works Agency Recommended Action: Authorize the City Manager to execute a license agreement with K&C Logistics, LLC for use of real property owned by the City at the western terminus of Alton Avenue between Standard Avenue and the SR-55 Freeway and at the eastern terminus of Alton Avenue between Daimler Street and the SR-55 Freeway, for a three-year term beginning August 20, 2024 and expiring August 19, 2027, automatically entering into a month -to -month renewal thereafter for an additional two years, for a total revenue amount of $1,590,640 (Agreement No. A-20024-XXX). 32. Affirm Approval of City Manager Employment Agreement Department(s): City Council Recommended Action: Direct and authorize the Mayor to execute the City Manager Employment Agreement with Alvaro Nunez. 33. Agreement with Franklin Covey Client Sales, Inc. for Training Resources for Citywide Staff Development (General Fund) Department(s): Human Resources Recommended Action: Authorize the City Manager to execute a sole source agreement with Franklin Covey Client Sales, Inc. to provide staff development resources for City of Santa Ana employees, for a term beginning July 15, 2024 and expiring July 14, 2027, for an aggregate amount not to exceed $90,960 (Agreement No. A-2024-XXX). City Council 14 8/20/2024 34. Adoption of an Extension and First Amendment to the Memorandum of Understanding ("MOU") by the Service Employees International Union Local 721 Part -Time Civil Service Employees Unit ("SEIU-PTCS") Department(s): Human Resources Recommended Action: Authorize the City Manager to execute an extension and first amendment to the existing Memorandum of Understanding with SEIU-PTCS regarding wages, hours, and other terms and conditions of employment effective through June 30, 2025, and authorize non -substantive changes, which may be necessary to implement the agreement (Agreement No. A-2024-XXX). 35. Resolution to Effect Certain Changes to the City's Basic Classification and Compensation Plan for Service Employee International Union (SEIU) Represented Employees Department(s): Human Resources Recommended Action: Adopt a Resolution to effect certain changes to the City's basic classification and compensation plan for Service Employee International Union (SEIU) Represented Employees. RESOLUTION NO. 2024-XXXX entitled A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA TO EFFECT CERTAIN CHANGES TO THE CITY'S CLASSIFICATION AND COMPENSATION PLAN 36. Resolution, Agreement, and Appropriation Adjustment Accepting the FY 2023 Emergency Management Performance Grant (Non -General Fund) Department(s): Police Department 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. 2024-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 2023 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, 2023 through June 30, 2025, for the FY 2023 Emergency Management Performance Grant in an amount not to exceed $46,342 (Agreement No. 2024-XXX). 3. Approve an appropriation adjustment recognizing $46,342 in Law Enforcement Grants revenue account and appropriating same to the Emergency Management City Council 15 8/20/2024 Performance Grant expenditure account. (Requires five affirmative votes) 37. Zoning Ordinance Amendment No. 2024-01 for South Coast Technology Center at 3100, 3110, 3120, 3130, and 3400 West Lake Center Drive (collectively referred to as 3100 W. Lake Center Drive) (Second Reading) Legal notice published in the OC Reporter on August 9, 2024. Department(s): Planning and Building Agency Recommended Action: 1. Conduct a second reading and adopt an ordinance approving Zoning Ordinance Amendment (ZOA) No. 2024-01. ORDINANCE NO. NS-3068 entitled ZONING ORDINANCE AMENDMENT NO. 2024- 01 - AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING SPECIFIC DEVELOPMENT NO. 58 (SD-58) TO ESTABLISH PERMITTED AND CONDITIONALLY PERMITTED LIGHT INDUSTRIAL LAND USES, ESTABLISH DEVELOPMENT STANDARDS FOR THE NEW PROPOSED USES, AND TO INCLUDE ADDITIONAL COMPREHENSIVE/ZONING TEXT EDITS AND UPDATES, TO FACILITATE THE CONSTRUCTION OF A NEW INDUSTRIAL PARK DEVELOPMENT NAMED THE SOUTH COAST TECHNOLOGY CENTER LOCATED AT 3100, 3110, 3120, 3130, AND 3400 WEST LAKE CENTER DRIVE (APNS: 414-272- 09, 414-272-10, AND 414-261-01) 2. Determine that, pursuant to the California Environmental Quality Act (CEQA), the project is exempt from CEQA pursuant to Section 15183 of the CEQA Guidelines (Projects Consistent with a Community Plan or Zoning). Environmental Review No. 2023-109 will be re -filed for this project. **END OF CONSENT CALENDAR** I BUSINESS CALENDAR 38. Designate a Voting Delegate and up to Two Alternates for League of California Cities (Cal Cities) 2024 Annual Conference General Assembly Department(s): City Clerk's Office Recommended Action: Designate a voting delegate and up to two alternates for the Cal Cities Annual Conference General Assembly on Friday, October 18, 2024. City Council 16 8/20/2024 39. Ordinance Amending Article VI Stadium Sec. 2-743 Liquor of the Santa Ana Municipal Code to Allow for the Sale and Consumption of Beer, Wine, and Distilled Spirits at Eddie West Field -Santa Ana Stadium Department(s): Parks, Recreation, and Community Services Recommended Action: 1. Approve first reading of an ordinance amending Article VI (Stadium), Section 2-743 (Liquor) of the Santa Ana Municipal Code (SAMC) (Exhibit 1) to allow for the sale and consumption of beer, wine, and distilled spirits at Eddie West Field -Santa Ana Stadium with the expressed written consent of the City Manager or designee. ORDINANCE NO. NS-XXXX entitled AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING CHAPTER 2 OF THE SANTA ANA MUNICIPAL CODE (ADMINISTRATION), ARTICLE VI (STADIUM), SECTION 2-743 - LIQUOR 2. Determine that, in accordance with the California Environmental Quality Act (CEQA) and the CEQA Guidelines, the project is categorically exempt from further review per Section 15301 (Class 1 — Existing Facilities). **END OF BUSINESS CALENDAR** CITY MANAGER COMMENTS COUNCIL COMMENTS AB1234 DISCLOSURE — If the City paid for travel or other expenses this is the time for members of the Council to provide a brief oral report on attendance of any regional board or commission meeting or any conference, meeting or event attended. ADJOURNMENT — Adjourn the City Council meeting. In Memory Of Billy Bean Future Items 1. Construction Contract for New Delhi Library Branch and Newhope Library Renovation Project 2. Agreement for Citywide Classification and Compensation Study 3. Public Hearing for Related Bristol POSTING STATEMENT: On August 13, 2024, a true and correct copy of this agenda was posted at the entrance to City Hall, 20 Civic Center Plaza, Santa Ana, CA 92701. Internet Access to City Council, Agency, and Authority agendas and related material is available prior to meetings at santa-ana.org/agendas-and-minutes. City Council 17 8/20/2024 DRAFT Minutes of the Regular Meeting of the City Council City of Santa Ana, California August 6, 2024 CLOSED SESSION MEETING — 4:30 P.M. REGULAR OPEN MEETING — 5:30 P.M. (Immediately following the Closed Session Meeting) CITY COUNCIL CHAMBER 22 Civic Center Plaza Santa Ana, CA 92701 CLOSED SESSION CALL TO ORDER MINUTES: Mayor Amezcua called the Closed Session meeting to order at 4:33 P.M. ATTENDANCE Council Members Mayor Pro Tern Mayor Acting City Manager City Attorney City Clerk ROLL CALL Phil Bacerra Johnathan Ryan Hernandez Jessie Lopez David Penaloza Benjamin Vazquez Thai Viet Phan Valerie Amezcua Alvaro Nunez Sonia R. Carvalho Jennifer L. Hall MINUTES: City Clerk Jennifer L. Hall conducted roll call. Councilmembers Hernandez and Vazquez, Mayor Pro Tem Phan, and Mayor Amezcua were present. Councilmembers Bacerra, Lopez, and Penaloza arrived during Closed Session. CITY COUNCIL 1 AUGUST 6, 2024 City Council 9-1 8/20/2024 ADDITIONS\DELETIONS TO CLOSED SESSION MINUTES: None. PUBLIC COMMENTS-- Members of the public may address the City Council on Closed Session items. MINUTES: No public comments were received regarding Closed Session Agenda items. RECESS — City Council will recess to Closed Session for the purpose of conducting regular City business. MINUTES: MayorAmezcua recessed to considerthe Closed Session items at 4:34 P.M. CLOSED SESSION ITEMS — The Brown Act permits legislative bodies to discuss certain matters without members of the public present. The City Council finds, based on advice from the City Attorney, that discussion in open session of the following matters will prejudice the position of the City in existing and anticipated litigation: 1. CONFERENCE WITH LEGAL COUNSEL- EXISTING LITIGATION pursuant to Paragraph (1) of subdivision (d) of Section 54956.9 of the Government Code: A. In re: National Prescription Opiate Litigation, United States District Court (N.D. Ohio), Case No. 1:17-and-2804 B. Bilhah Lopez v City of Santa Ana and DOES 1-50, inclusive, Orange County Superior Court, Case No. 30-2022-01282260-CU-OE-CJC 2. PUBLIC EMPLOYEE EMPLOYMENT/APPOINTMENT pursuant to Government Code Section 54957(b)(1): Title: City Manager 3. CONFERENCE WITH LABOR NEGOTIATOR pursuant to California Government Code Section 54957.6(a): Agency Designated Representative(s): Jacob Green, Greg Devereaux Unrepresented Employee: City Manager CLOSED SESSION REPORT —The City Attorney will reporton anyaction(s)from Closed Session. RECONVENE — City Council will reconvene to continue regular City business. CITY COUNCIL 2 AUGUST 6, 2024 City Council 9-2 8/20/2024 CITY COUNCIL REGULAR OPEN SESSION CALL TO ORDER MINUTES: Mayor Amezcua reconvened the City Council Meeting to order at 5:59 P.M. ATTENDANCE Councilmembers Mayor Pro Tern Mayor Acting City Manager City Attorney City Clerk Rni I C_AI I Phil Bacerra Johnathan Ryan Hernandez Jessie Lopez David Penaloza Benjamin Vazquez Thai Viet Phan Valerie Amezcua Alvaro Nunez Sonia R. Carvalho Jennifer L. Hall MINUTES: City Clerk Jennifer L. Hall conducted roll call. Councilmembers Bacerra, Hernandez (arrived at 6:01 P.M.), Lopez, Penaloza, and Vazquez, Mayor Pro Tem Phan, and Mayor Amezcua were present. Mayor Amezcua announced the appointment of Alvaro Nunez as City Manager by a unanimous vote of the City Council during closed session and stated the contract would be approved at the next City Council meeting of August 20, 2024. PLEDGE OF ALLEGIANCE Iker Reyes MINUTES: Mayor Amezcua presented a Certificate of Recognition to Iker Reyes for his outstanding contributions to the community. WORDS OF INSPIRATION Mario Morales, Victory Outreach ADDITIONS\DELETIONS TO THE AGENDA MINUTES: City Clerk Jennifer L. Hall announced a correction to Agenda Item No. 14, Agreement with Outdoor Dimensions, that Recommended Action No. 1 states 25% for change orders and should read 10% for change orders. CEREMONIAL PRESENTATIONS 1. Certificate of Recognition presented by Mayor Pro Tern Phan to the 2023- 2024 Com-Link Board for Outstanding Contributions to the Community CITY COUNCIL 3 AUGUST 6, 2024 City Council 9-3 8/20/2024 MINUTES: Mayor Pro Tem Phan presented a certificate of recognition to the 2023- 2024 Com-Link Board for outstanding contributions to the community. 2. Proclamation presented by Councilmember Hernandez to the Artesia Pilar Neighborhood Leaders and Marina Aguilera declaring August 2024 as Chicano Heritage Month MINUTES: Councilmember Hernandez presented a proclamation to the Artesia Pilar Neighborhood Leaders and Marina Aguilera declaring August 2024 as Chicano Heritage Month. 3. Certificate of Recognition presented by Councilmember Lopez to Western States Regional Council of Carpenters for Outstanding Contributions to the Community MINUTES: Councilmember Lopez presented a certificate of recognition to Western States Regional Council of Carpenters for outstanding contributions to the community. 4. Certificates of Recognition presented by Councilmember Bacerra to Orange County Fire Authority's 2024 Best and Bravest Award Recipients for Outstanding Contributions to Public Safety MINUTES: Councilmember Bacerra presented certificates of recognition to Orange County Fire Authority's 2024 Best and Bravest Award Recipients for outstanding contributions to public safety. 5. Proclamation presented by Councilmember Vazquez Posthumously Honoring Salvador Quintana for Outstanding Contributions to the Community MINUTES: Councilmember Vazquez presented a certificate of recognition to Posthumously Honoring Salvador Quintana for outstanding contributions to the community. CLOSED SESSION REPORT— The City Attorney will report on any action(s) from Closed Session. MINUTES: City Attorney Sonia Carvalho stated there was no additional reportable action. PUBLIC COMMENTS — Public comments will be held during the beginning of the meeting for ALL comments on agenda and non -agenda items. MINUTES: City Clerk Jennifer L. Hall reported out the summary of email comments received: five (5) Agenda Item No. I I and five (5) non -agenda comments. CITY COUNCIL 4 AUGUST 6, 2024 City Council 9-4 8/20/2024 The following speakers addressed City Council in -person: 1. Claudia Morales (translation: Spanish) spoke regarding her experience related to evictions and housing. 2. Ana Charco, Latino Health Access, spoke regarding housing and eviction awareness. 3. Edith G. (translation: Spanish) spoke regarding her experience related to evictions and housing. 4. Mario Alvarado spoke regarding funds related to Agenda Item No. 13. 5. Carlos Perea requested the City Council hire an Independent Oversight Director to oversee the Police Commission and expressed concern regarding freedom of press. 6. Victor Mendez thanked Mayor Amezcua for defending First Amendment rights and spoke regarding monies and politics and in opposition to Agenda Item No. 15. 7. Ray Diaz spoke regarding the media policy. CONSENT CALENDAR RECOMMENDED ACTION: Approve staff recommendations on the following Consent Calendar Items: 6 through 26 and waive reading of all resolutions and ordinances. MINUTES: At 7:31 P.M., the Consent Calendar was considered. Councilmember Hernandez requested to comment on Agenda Item Nos. 12, 13, and 18. Mayor Pro Tem Phan recused herself from Agenda Item Nos. 18 and 25 as the listed entities, PCL Construction, Orange County Water District, and City of Anaheim are clients of her employer, Rutan and Tucker. Councilmember Penaloza pulled Agenda Item Nos. 14 and 20 for separate discussion and consideration and announced a no vote on Agenda Item No. 24. Mayor Amezcua pulled Agenda Item No. 13 for separate discussion and consideration. CITY COUNCIL 5 AUGUST 6, 2024 City Council 9-5 8/20/2024 MOTION: Councilmember Hernandez moved to approve Consent Calendar Item Nos. 6 through 26 with the exception of Agenda Item Nos. 13, 14, and 20 pulled for separate discussion and consideration, seconded by Councilmember Lopez. The motion carried, 7-0, by the following roll call vote: AYES: COUNCILMEMBER BACERRA, COUNCILMEMBER HERNANDEZ, COUNCILMEMBER LOPEZ, COUNCILMEMBER PENALOZA, COUNCILMEMBER VAZQUEZ, MAYOR PRO TEM PHAN, MAYOR AMEZCUA NOES: NONE ABSTAIN: NONE ABSENT: NONE Status: 7 — 0 — Pass 6. Excused Absences Department(s): City Clerk's Office Recommended Action: Excuse the absent members. 7. Minutes from the Regular Meeting of July 16, 2024 Department(s): City Clerk's Office Recommended Action: Approve minutes. 8. Appoint Joshua Jogwe Nominated by Mayor Pro Tern Phan as the Ward 1 Representative to the Parks and Recreation Commission for a Partial Term Expiring December 10, 2024 Department(s): City Clerk's Office Recommended Action: Appoint Joshua Jogwe to the Parks and Recreation Commission as the Ward 1 representative and administer the Oath of Office. (Pursuant to SAMC Sec. 2-326(a), requires five affirmative votes) MINUTES: City Clerk Jennifer L. Hall administered the Oath of Office to Parks and Recreation Commissioner Joshua Jogwe. 9. Appoint Edith Hernandez Nominated by Councilmember Bacerra as the Ward 4 Representative to the Youth Commission for a Partial Term Expiring December 8, 2026 Department(s): City Clerk's Office Recommended Action: Appoint Edith Hernandez to the Youth Commission as the CITY COUNCIL 6 AUGUST 6, 2024 City Council 9-6 8/20/2024 Ward 4 representative and administer Oath of Office. MINUTES: City Clerk Jennifer L. Hall administered the Oath of Office to Youth Commissioner Edith Hernandez. 10. Receive and File Boards and Commissions Biannual Attendance Report for January Through June 2024 and Make Vacancy Determination(s) Department(s): City Clerk's Office Recommended Action: 1. Receive and file Boards and Commissions Biannual Report; 2. Declare that the Section 8 Tenant Seat on the Community Development Commission is vacant due to numerous absences by the previous incumbent; and 3. Provide other direction to staff, if/as needed. 11.2023 Travel Santa Ana Annual Report Department(s): Community Development Agency Recommended Action: Receive and file. 12.Agreement with the Orange County Children's Therapeutic Arts Center for Youth Workforce Services for Program Year 2024-2025 (Non -General Fund) Department(s): Community Development Agency Recommended Action: Authorize the City Manager to execute an agreement with Orange County Children's Therapeutic Arts Center for youth workforce services for a one-year term beginning August 1, 2024 and ending July 31, 2025, in an amount not to exceed $300,000 (Agreement No. A-2024-108). MINUTES: Councilmember Hernandez spoke in support of the item. AGENDA ITEM NO. 13 WAS PULLED FOR SEPARATE DISCUSSION AND CONSIDERATION 13.Agreement with the U.S. Department of Housing and Urban Development (HUD) and Appropriation Adjustment to Recognize $2,500,000 in Grant Funds for the Downtown Business Improvements Initiative Project Department(s): Community Development Agency CITY COUNCIL 7 AUGUST 6, 2024 City Council 9-7 8/20/2024 Recommended Action: 1. Authorize the City Manager to execute the grant agreement with the U.S. Department of Housing and Urban Development (HUD) (Agreement No. A- 2024-109). 2. Approve an appropriation adjustment to recognize $2,500,000 from the US Department of Housing and Urban Development for the Downtown Business Improvement Initiatives Project into Federal Grant revenue account (no. 41818002-52001 Federal Grant -Direct) and appropriate the same amount into expenditure accounts (no. 41818834-62300 Contract Services — Professional and 418834-61000 Salaries Regular). (Requires five affirmative votes) MINUTES: Mayor Amezcua stated monies received would go to wireless networks and City -owned parking structures in the Downtown area. Councilmember Hernandez spoke regarding the use of monies received in the Downtown area and the benefit to the community. Councilmember Bacerra thanked Congressman Correa for the funding and briefly spoke regarding the next steps. MOTION: Councilmember Hernandez moved to approve the recommended action for Item No. 13, seconded by Councilmember Bacerra. The motion carried, 7-0, by the following roll call vote: AYES: COUNCILMEMBER BACERRA, COUNCILMEMBER HERNANDEZ, COUNCILMEMBER LOPEZ, COUNCILMEMBER PENALOZA, COUNCILMEMBER VAZQUEZ, MAYOR PRO TEM PHAN, MAYOR AMEZCUA NOES: NONE ABSTAIN: NONE ABSENT: NONE Status: 7 — 0 — Pass AGENDA ITEM NO. 14 WAS PULLED FOR SEPARATE DISCUSSION AND CONSIDERATION 14.Award an Agreement with Outdoor Dimensions, LLC for Digital Marquees (Non -General Fund) (Revive Santa Ana) Department(s): City Manager Office CITY COUNCIL 8 AUGUST 6, 2024 City Council 9-8 8/20/2024 Recommended Action: 1. Authorize the City Manager to execute an agreement with Outdoor Dimensions, LLC to build and install digital marquees at six (6) properties across the city for a one-year term in a total aggregate amount not to exceed $1,859,909 subject to change orders (not to exceed 25% of the base bid amount) in accordance with the Greenbook: Standard Specifications for Public Works Construction (Agreement No. A-2024-110). 2. Approve an amendment to the Fiscal Year 2023-24 Capital Improvement Program to include $1,859,909 of funding from the American Rescue Plan Act for Digital Marquees Project (No. 22-1306). 3. Determine that, in accordance with the California Environmental Quality Act, the recommended actions are exempt from further review. Categorical Exemption Environmental Review Nos. ER-2024-47, ER-2024-48, ER-2024-49, ER-2024- 50, ER-2024-51, and ER-2024-52 were filed for this project. MINUTES: Councilmember Penaloza spoke regarding the noted change in the change orders, asked for clarification regarding the monies listed in the staff report, and spoke in opposition to the item. Assistant City Manager Steven Mendoza spoke regarding the reflected percentage on the staff report and the noted the change announced by the City Clerk. Councilmember Lopez spoke in support of the item and requested an email of when all agreements have been executed. Mayor Pro Tem Phan spoke in support of the item. MOTION: Councilmember Lopez moved to approve the recommended action for Item No. 14, seconded by Councilmember Hernandez. The motion carried, 6-1, by the following roll call vote: AYES: COUNCILMEMBER BACERRA, COUNCILMEMBER HERNANDEZ, COUNCILMEMBER LOPEZ, COUNCILMEMBER VAZQUEZ, MAYOR PRO TEM PHAN, MAYOR AMEZCUA NOES: COUNCILMEMBER PENALOZA ABSTAIN: NONE ABSENT: NONE Status: 6 — 1 — Pass CITY COUNCIL 9 AUGUST 6, 2024 City Council 9-9 8/20/2024 15. Renewal of Citywide Insurance Program and Policies Procured through Independent Cities Risk Management Authority (ICRMA) and Arthur J. Gallagher, and Appropriation Adjustment, Associated Insurance Premiums, Costs, Programs, and Regulatory Fees for an Amount not to Exceed $12,600,000 (Non -General Fund) Department(s): Human Resources Recommended Action: 1. Authorize the City Manager to approve payment of insurance premiums and associated programs to ICRMA in an amount not to exceed $8,250,000 for the protection of City assets from July 1, 2024 through June 30, 2025 including, but not limited to, the following: a. Excess Liability Program b. Excess Workers' Compensation Program c. Auto Physical Damage Program d. Property and Equipment Program e. Crime Program f. Cyber Program g. Associated Programs 2. Authorize the City Manager to approve payment of insurance premiums to Arthur J. Gallagher, Broker, in an amount not to exceed $3,500,000 for ancillary coverages of City's assets from July 1, 2024 to June 30, 2025 including but not limited to: a. General Liability Buffer Program b. Workers' Compensation Buffer Program c. Earth Movement & Flood and Difference in Coverage Program d. Terrorism Insurance Program e. Underground Storage Tank and Environmental Program 3. Authorize the City Manager to approve payments to cover FY 2024-25 City Special Events Insurance for events, including, but not limited to, Fourth of July fireworks show, neighborhood winter events, and other City -sponsored events as created and held, in an amount not to exceed $350,000. 4. Authorize the City Manager to approve the City's obligation to pay the State of California DIR estimated assessment in the amount not to exceed $500,000. 5. Approve an Appropriation Adjustment to recognize $2,200,000 in the Liability and Property Insurance Revenue, Prior Year Carryforward revenue account (No. 08009002-50001) and appropriate the same amount into the Liability & CITY COUNCIL 10 AUGUST 6, 2024 City Council 9 — 10 8/20/2024 Property insurance account (No. 08009051-64010). (Requires five affirmative votes) 16. Historic Property Preservation Agreements for the Properties Located at 1205 S Birch Street and 516 W 19th Street Department(s): Planning and Building Agency Recommended Action: Authorize the City Manager to execute the attached Mills Act agreements with the below -referenced property owners for the identified structure(s) (Agreement Nos. A-2024-111 and A-2024-112). [Includes determination that the proposed projects are exempt from further review in accordance with the California Environmental Quality Act as the following Categorical Exemptions will be filed: ER No. 2024-11 and ER No. 2024-17] Table 1: Mills Act Agreements Approved by the Historic Resources Commission (HRC) Historic Property Property Address/House Vote by HRC Owner(s) Preservation Agreement No. 6:0:0:3 Michael T. 2024-03 1205 S. Birch (Commissioner Altshuler Street Shipp, Hardy, and Padilla absent Jill Brumett and 6:0:0:3 Mona R. 2024-04 516 W. 19th (Commissioner Konstan Street Shipp, Hardy, and Padilla absent) 17. Second Amendments to Agreements for Rotational Towing and Storage Services Department(s): Police Department Recommended Action: Authorize the City Manager to execute second amendments to the agreements with the following contractors to allow two one-year extensions to the term and exercise the first extension option from September 1, 2024 through August 31, 2025, and to increase the compensation fee schedule for rotational towing and storage services: 1. Standard Enterprises, Inc. dba To' and Mo' (Agreement No. A-2024-113); 2. Greater Southern California Towing, Inc. (Agreement No. A-2024-114); 3. B&D Towing, Inc. (Agreement No. A-2024-115); and CITY COUNCIL 11 AUGUST 6, 2024 City Council 9 —11 8/20/2024 4. MetroPro Road Services, Inc. (Agreement No. A-2024-116) 18.Appropriation Adjustment and Construction Contract to PCL Construction Services, Inc. for the Main Library Renovation Project (Project No. 22-1380, 24-7531, 25-7528) (Revive Santa Ana) (General Fund and Non -General Fund) Department(s): Public Works Agency and Library Recommended Action: 1. Approve an appropriation adjustment recognizing $1,235,145 of prior -year fund balance in the CATV Fund, Prior Year Carry Forward revenue account and appropriating the same amount to the CATV Fund, Buildings & Building Improvements expenditure account. (Requires five affirmative votes) 2. Authorize a budget reallocation of $1,401,776 in unspent funds from the Newhope Improvements Project (No. 22-1802) to construction funds for the Main Library Renovation Project (Project No. 22-1380, 24-7531, 25-7528). 3. Approve an amendment to the Fiscal Year 2024-2025 Capital Improvement Program to include $1,235,145 in construction funds for the Main Library Renovation Project (No. 22-1380). 4. Approve the Project Cost Analysis for a total estimated construction delivery cost of $23,927,519, which includes $19,353,442 for the construction contract, $316,320 for contract administration, inspection, and testing, and a $4,257,757 project contingency for unanticipated or unforeseen work, due to the complexity and extensive scope of this project. 5. Award a construction contract to PCL Construction Services, Inc., the lowest responsible bidder, in accordance with the base bid and bid alternates in the amount of $19,353,442, subject to change orders (not to exceed 25% of the base bid amount) in accordance with the Greenbook: Standard Specifications for Public Works Construction, for construction of the Main Library Renovation Project, for a term beginning August 6, 2024, and ending upon project completion, and authorize the City Manager to execute the contract. 6. Determine that, pursuant to the California Environmental Quality Act (CEQA), the recommended actions are exempt from further review pursuant to Section 15301(a) and 15301(d) of the CEQA Guidelines for projects consisting of interior and exterior alterations, as well as restoration or rehabilitation of structures, facilities, mechanical equipment, and windows. The proposed project continues to meet these parameters of the CEQA Guidelines, and Categorical Exemption CITY COUNCIL 12 AUGUST 6, 2024 City Council 9 — 12 8/20/2024 Environmental Review No. ER-2024-30 was filed for Project 22-1380 on April 17, 2024. MINUTES: Councilmember Hernandez spoke in support of the item. Mayor Pro Tem Phan recused herself from Agenda Item No. 18 as the listed entity, PCL Construction, is a client of her employer, Rutan and Tucker, and left the dais from 7:52 P.M. to 7: 54 P.M. MOTION: Councilmember Hernandez moved to approve the recommended action for Item No. 18 as part of the Consent Calendar, seconded by Councilmember Lopez. The motion carried, 6-0-1, by the following roll call vote: AYES: COUNCILMEMBER BACERRA, COUNCILMEMBER HERNANDEZ, COUNCILMEMBER LOPEZ, COUNCILMEMBER PENALOZA, COUNCILMEMBER VAZQUEZ, MAYOR AMEZCUA NOES: NONE ABSTAIN: MAYOR PRO TEM PHAN (recusal) ABSENT: NONE Status: 6 — 0 —1 — Pass 19. Construction Contract to Elecnor Belco Electric, Inc. for the Traffic Signal Modification at Warner Avenue and Wright Street Project and Appropriation Adjustment (Project No. 23-7539) (Non -General Fund) Department(s): Public Works Agency Recommended Action: 1. Approve an appropriation adjustment recognizing $197,335 of prior -year fund balance in the Transportation System Improvement Authorization Area B Tustin fund, Prior Year Carry Forward revenue account and appropriate to the Transportation System Improvement Authorization Area B Tustin, Improvements Other Than Buildings expenditure account. (Requires five affirmative votes) 2. Award a construction contract to Elecnor Belco Electric, Inc., the lowest responsible bidder, in accordance with the base bid and alternate bid items in the amount of $562,868, subject to change orders (not to exceed 25% of the base bid amount) in accordance with the Greenbook: Standard Specifications for Public Works Construction, for construction of the Traffic Signal Modification at Warner Avenue and Wright Street for the term beginning upon execution of CITY COUNCIL 13 AUGUST 6, 2024 City Council 9 — 13 8/20/2024 the contract and ending upon project completion, and authorize the City Manager to execute the contract. 3. Approve the Project Cost Analysis for a total estimated construction delivery cost of $703,585, which includes $562,868 for the construction contract, $84,430 for contract administration, inspection, and testing, and a $56,287 project contingency for unanticipated or unforeseen work. 4. Approve an amendment to the FY 2024-25 Capital Improvement Program to include $197,335 in construction funding from the Transportation System Improvement Authorization Area B fund for the Traffic Signal Modification at Warner Avenue and Wright Street project. 5. Determine that, in accordance with the California Environmental Quality Act, the recommended actions are exempt from further review. Categorical Exemption Environmental Review No. ER-2024-35 was filed for the project 23-7539. AGENDA ITEM NO. 20 WAS PULLED FOR SEPARATE DISCUSSION AND CONSIDERATION 20. Construction Contract to Cabifornia, Inc. for the Santa Ana Regional Transportation Center Fountain Renovation (Project No. 24-6058) (General Fund and Non -General Fund) Department(s): Public Works Agency Recommended Action: 1. Approve an amendment to the FY 2024-25 Capital Improvement Program to include $587,250 in construction funding approved in FY 2023-24 from the Clean California Local Grants Program through the California Department of Transportation. 2. Approve the Project Cost Analysis for a total estimated construction delivery cost of $587,250 which includes $435,000 for the construction contract, $65,250 for contract administration, inspection, and testing, and a $87,000 project contingency for unanticipated or unforeseen work. 3. Award a construction contract to Cabifornia, Inc. in accordance with the base bid in the amount of $435,000, subject to change orders (not to exceed 25% of the base bid amount) in accordance with the Greenbook: Standard Specifications for Public Works Construction, for the fountain replacement of the Santa Ana Regional Transportation Center for the term beginning upon CITY COUNCIL 14 AUGUST 6, 2024 City Council 9 — 14 8/20/2024 execution of the contract and ending upon project completion, and authorize the City Manager to execute the contract. 4. Determine that, pursuant to the California Environmental Quality Act, the recommended actions are exempt from further review. Categorical Exemption Environmental Review No. ER-2024-58 was filed for project 24-6058. MINUTES: Councilmember Penaloza expressed excitement for renovation and expressed concern regarding the 25% contingency amount. Public Works Director Nabil Saba spoke regarding the proposed contingency related to construction contracts and the Greenbook Standards. City Attorney Sonia Carvalho spoke regarding standard contingencies. MOTION: Councilmember Penaloza moved to approve the recommended action for Item No. 20, as amended to lower the contingency for change orders from 25% to 10%, seconded by Councilmember Hernandez. MINUTES: Councilmember Bacerra expressed concern with the 25% contingency and suggested a 10%-15% contingency. Councilmember Lopez asked whether the change in the contingency would affect the grant. City Manager Alvaro Nunez stated the percentage would not affect the grant and spoke regarding setting internal parameters regarding contingencies. The motion carried, 7-0, by the following roll call vote: AYES: COUNCILMEMBER BACERRA, COUNCILMEMBER HERNANDEZ, COUNCILMEMBER LOPEZ, COUNCILMEMBER PENALOZA, COUNCILMEMBER VAZQUEZ, MAYOR PRO TEM PHAN, MAYOR AMEZCUA NOES: NONE ABSTAIN: NONE ABSENT: NONE Status: 7 — 0 — Pass 21.Agreement with Griswold Industries, dba Cla-Val, for Flow Control Valve Maintenance, Rehabilitation, and Replacement Services at City Water Facilities (Non -General Fund) Department(s): Public Works Agency Recommended Action: Authorize the City Manager to execute an agreement with CITY COUNCIL 15 AUGUST 6, 2024 City Council 9 — 15 8/20/2024 Griswold Industries, dba Cla-Val, to provide flow control valve maintenance, rehabilitation, and replacement services for City water facilities, for a total amount not to exceed $1,250,000, for a three-year term beginning August 6, 2024 and expiring August 5, 2027, with a provision for one, two-year extension (Agreement No. A-2024-117). 22.Agreement Amendment with Superior Property Services, Inc. for Hardscape Pavement Cleaning and Infectious Waste Removal Services (Non -General Fund) (Revive Santa Ana Program) Department(s): Public Works Agency Recommended Action: Authorize the City Manager to execute the second amendment to the agreement with Superior Property Services, Inc. to increase the total compensation amount by $52,500 for a total agreement amount not to exceed $2,019,068 (Agreement No. A-2024-118). 23.Agreement with ICF Incorporated, LLC to Develop a Fleet Electrification & EV Charging Master Plan and City Fleet Policies (RFP No. 24-002) (General Fund and Non -General Fund) Department(s): Public Works Agency Recommended Action: 1. Approve an appropriation adjustment recognizing $73,179 of prior -year fund balance in the Equipment Replacement Fund, Prior Year Carry Forward revenue account and appropriate the same amount into the Equipment Replacement Fund, Contract Services -Professional expenditure account. (Requires five affirmative votes) 2. Authorize the City Manager to execute an agreement with ICF Incorporated, LLC to develop a Fleet Electrification and EV Charging Master Plan and City Fleet Policies in the amount of $150,590, plus a contingency of $22,589, for a three- year period beginning August 6, 2024 and expiring August 5, 2027, with provisions for two one-year extensions (Agreement No. A-2024-119). 24.Agreements with Project Partners, Interwest Consulting Group Inc., EC & AM Associates Inc. dba GK & Associates Inc., Richard Fisher Associates, and Ladayu Consulting Group for On -Call Staff Support Services for Inspection, Engineering, Project Management, and Administration Department(s): Public Works Agency Recommended Action: Authorize the City Manager to execute agreements with the firms listed below to provide inspection, engineering, project management, and administration services, for a three-year period commencing August 6, 2024, and CITY COUNCIL 16 AUGUST 6, 2024 City Council 9 — 16 8/20/2024 expiring August 5, 2027, with a provision for one, two-year renewal option, for a total aggregate amount not to exceed $2,500,000 for the term of the contract, including the optional renewal (Core Agreement No. A-2024-120). Firms Location Project Partners Laguna Hills, CA Interwest Consulting Group, Inc. Loveland, CO GK & Associates, Inc. Diamond Bar, CA Richard Fisher Associates Irvine, CA Ladayu Consulting Group Palos Verdes Estates, CA MOTION: Councilmember Hernandez moved to approve the recommended action for Item No. 24 as part of the Consent Calendar, seconded by Councilmember Lopez. The motion carried, 6-1, by the following roll call vote: AYES: COUNCILMEMBER BACERRA, COUNCILMEMBER HERNANDEZ, COUNCILMEMBER LOPEZ, COUNCILMEMBER VAZQUEZ, MAYOR PRO TEM PHAN, MAYOR AMEZCUA NOES: COUNCILMEMBER PENALOZA ABSTAIN: NONE ABSENT: NONE Status: 6 —1 — Pass 25.Approve an Agreement with the Metropolitan Water District of Southern California, Municipal Water District of Orange County, Orange County Water District, City of Anaheim, and City of Fullerton for the Assignment of Extraordinary Supply from the Santa Ana River Conservation and Conjunctive Use Program (Non -General Fund) Department(s): Public Works Agency Recommended Action: Authorize the City Manager to execute an agreement with the Metropolitan Water District of Southern California, Municipal Water District of Orange County, Orange County Water District, City of Anaheim, and City of Fullerton for the assignment of Extraordinary Supply from the Santa Ana River Conservation and Conjunctive Use Program (Agreement No. A-2024-121). MINUTES: Mayor Pro Tem Phan recused herself from Agenda Item No. 25 as the listed entities, Orange County Water District and City of Anaheim, are clients of her employer, Rutan and Tucker. CITY COUNCIL 17 AUGUST 6, 2024 City Council 9 — 17 8/20/2024 MOTION: Councilmember Hernandez moved to approve the recommended action for Item No. 25 as part of the Consent Calendar, seconded by Councilmember Lopez. The motion carried, 6-0-1, by the following roll call vote: AYES: COUNCILMEMBER BACERRA, COUNCILMEMBER HERNANDEZ, COUNCILMEMBER LOPEZ, COUNCILMEMBER PENALOZA, COUNCILMEMBER VAZQUEZ, MAYOR AMEZCUA NOES: NONE ABSTAIN: MAYOR PRO TEM PHAN (recusal) ABSENT: NONE Status: 6 — 0 —1 — Pass 26. Resolution Authorizing the City Manager or Designee to Execute Subgrant Agreements to Receive Workforce Innovation and Opportunity Act Funds for a Four -Year Period Expiring June 30, 2028 (Non -General Fund) Department(s): Community Development Agency Recommended Action: Adopt a resolution authorizing the City Manager or designee to execute subgrant agreements (AA511027) and all necessary documents for Workforce Innovation and Opportunity Act funds from the State of California for a four-year period from July 1, 2024 to June 30, 2028. RESOLUTION NO. 2024-046 entitled A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AUTHORIZING THE CITY MANAGER OR DESIGNEE TO EXECUTE A SUBGRANT AGREEMENT AND ALL NECESSARY DOCUMENTS TO RECEIVE FUNDS FOR THE WORKFORCE INNOVATION AND OPPORTUNITY ACT WITH THE STATE OF CALIFORNIA, WORKFORCE SERVICES DIVISION, FOR A PERIOD FROM JULY 30, 2024 TO JUNE 30, 2028 **END OF CONSENT CALENDAR** PUBLIC HEARINGS PUBLIC COMMENTS-- Members of the public may address the City Council on each of the Public Hearing items. MINUTES: At 8:03 P.M., the Public Hearing was considered. 27. Public Hearing — Recovery of Uncollected Costs Incurred by the City Related to the Abatement of Dangerous and Abandoned Buildings (Continued from the July 16, 2024 City Council meeting) CITY COUNCIL 18 AUGUST 6, 2024 City Council 9 — 18 8/20/2024 Legal notice published in OC Reporter on July 3, 2024 and property owner notification letters mailed on same date; Notice of Continuance posted on July 17, 2024. Department(s): Planning and Building Agency Recommended Action: 1. Authorize the Adopt a resolution affirming the Fiscal Year 2023-2024 Dangerous and Abandoned Building Program Report and authorize the transmittal of uncollected charges incurred by the City related to the abatement of dangerous and abandoned buildings to the office of Auditor -Controller, County of Orange. RESOLUTION NO. 2024-047 entitled A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA CONFIRMING THE COSTS OF SECURING AND/OR DEMOLITION OF VARIOUS STRUCTURES DECLARED TO BE PUBLIC NUISANCES; MAKING, CONFIRMING AND LEVYING ASSESSMENTS FOR SUCH COSTS; AND ORDERING SUCH COSTS TO BE RECORDED WITH THE ORANGE COUNTY RECORDER'S OFFICE 2. Determine that the proposed action does not constitute a "project" under the California Environmental Quality Act (CEQA) in accordance with section 15378(a) and (b)(5) as the adoption of this resolution authorizes an administrative action and will not result in a direct or reasonable foreseeable indirect physical change in the environment and there is no possibility it will have a significant effect on the environment. Accordingly, it is exempt from further CEQA review pursuant to section 15061(b)(3) and (b)(5) of the CEQA guidelines as amended. MINUTES: Mayor Amezcua opened the Public Hearing at 8:05 P.M. City Clerk Jennifer L. Hall reported out the summary of email comments received: one (1) Agenda Item No. 27. There being no speakers, Mayor Amezcua closed the Public Hearing at 8:06 P.M. MOTION: Councilmember Hernandez moved to approve the recommended action for Item No. 27, seconded by Mayor Amezcua. The motion carried, 7-0, by the following roll call vote: AYES: COUNCILMEMBER BACERRA, COUNCILMEMBER HERNANDEZ, COUNCILMEMBER LOPEZ, COUNCILMEMBER PENALOZA, COUNCILMEMBER VAZQUEZ, MAYOR PRO TEM PHAN, MAYOR AMEZCUA NOES: NONE ABSTAIN: NONE ABSENT: NONE CITY COUNCIL 19 AUGUST 6, 2024 City Council 9 — 19 8/20/2024 Status: 7-0 — Pass 28. Public Hearing — Zoning Ordinance Amendment No. 2024-01 for South Coast Technology Center at 3100, 3110, 3120, 3130, and 3400 West Lake Center Drive (collectively referred to as 3100 W. Lake Center Drive) Legal notice published in the OC Reporter on July 26, 2024 and notices mailed on same date. Department(s): Planning and Building Agency Recommended Action: 1. Approve first reading of an ordinance approving Zoning Ordinance Amendment (ZOA) No. 2024-01. ORDINANCE NO. NS-3068 entitled ZONING ORDINANCE AMENDMENT NO. 2024-01 - AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING SPECIFIC DEVELOPMENT NO. 58 (SD-58) TO ESTABLISH PERMITTED AND CONDITIONALLY PERMITTED LIGHT INDUSTRIAL LAND USES, ESTABLISH DEVELOPMENT STANDARDS FOR THE NEW PROPOSED USES, AND TO INCLUDE ADDITIONAL COMPREHENSIVE/ZONING TEXT EDITS AND UPDATES, TO FACILITATE THE CONSTRUCTION OF A NEW INDUSTRIAL PARK DEVELOPMENT NAMED THE SOUTH COAST TECHNOLOGY CENTER LOCATED AT 3100, 3110, 3120, 3130, AND 3400 WEST LAKE CENTER DRIVE (APNS: 414-272- 09, 414-272-10, AND 414-261-01) 2. Determine that, pursuant to the California Environmental Quality Act (CEQA), the project is exempt from CEQA pursuant to Section 15183 of the CEQA Guidelines (Projects Consistent with a Community Plan or Zoning). Environmental Review No. 2023-109 will be re -filed for this project. MOTION: Councilmember Hernandez moved to not hear the presentation for Agenda Item No. 28, seconded by Mayor Amezcua. The motion carried, 5-2, by the following roll call vote: AYES: COUNCILMEMBER BACERRA, COUNCILMEMBER HERNANDEZ, COUNCILMEMBER LOPEZ, COUNCILMEMBER VAZQUEZ, MAYOR AMEZCUA NOES: COUNCILMEMBER PENALOZA, MAYOR PRO TEM PHAN ABSTAIN: NONE ABSENT: NONE Status: 5 — 2 — Pass MINUTES: Mayor Amezcua opened the Public Hearing at 8:10 P.M. CITY COUNCIL 20 AUGUST 6, 2024 City Council 9 — 20 8/20/2024 City Clerk Jennifer L. Hall reported out the summary of email comments received: nine (9) Agenda Item No. 28. The following speakers addressed the City Council in -person: 1. Wanyae McDonald spoke in support of the item. 2. Zach Strasters spoke in support of the item. 3. John Tafoya spoke in support of the item. 4. Randy Wetmur spoke in support of the item. 5. Michael Garcia spoke in support of the item. 6. Jonathan Dailey spoke in support of the item. 7. Henry Hillebrecht spoke in support of the item. 8. Daniel Osborne spoke in support of the item. There being no additional speakers, Mayor Amezcua closed the Public Hearing at 8: 22 P.M. Councilmember Hernandez spoke in support of the item. Councilmember Bacerra thanked the Segerstrom family and spoke in support of the item. Councilmember Penaloza thanked the Segerstrom family and spoke in support of the item. Councilmember Vazquez thanked the Segerstrom family and spoke in support of the item. Councilmember Lopez thanked the Segerstrom family and spoke in support of the item. Mayor Pro Tem Phan thanked the Segerstrom family and spoke in support of the item. Mayor Amezcua thanked the Segerstrom family and spoke in support of the item. MOTION: Councilmember Hernandez moved to approve the recommended action for Item No. 28, seconded by Councilmember Bacerra. CITY COUNCIL 21 AUGUST 6, 2024 City Council 9 — 21 8/20/2024 The motion carried, 7-0, by the following roll call vote: AYES: COUNCILMEMBER BACERRA, COUNCILMEMBER HERNANDEZ, COUNCILMEMBER LOPEZ, COUNCILMEMBER PENALOZA, COUNCILMEMBER VAZQUEZ, MAYOR PRO TEM PHAN, MAYOR AMEZCUA NOES: NONE ABSTAIN: NONE ABSENT: NONE Status: 7-0 — Pass **END OF PUBLIC HEARINGS** RECESS MINUTES: Mayor Amezcua recessed the City Council meeting to consider the Housing Authority Agenda at 8:31 P. M. RECONVENE MINUTES: Mayor Amezcua reconvened the City Council meeting at 8:32 P.M. CITY MANAGER COMMENTS MINUTES: City Manager Alvaro Nunez announced the Chicano Heritage Festival on August 11, 2024, echoed sentiments regarding Agenda Item No. 28, and thanked the City Council for their trust and support as he embarks the role of City Manager. COUNCIL COMMENTS AB1234 DISCLOSURE — If the City paid for travel or other expenses this is the time for members of the Council to provide a brief oral report on attendance of any regional board or commission meeting or any conference, meeting or event attended. MINUTES: Councilmember Vazquez congratulated City Manager Nunez, welcomed students back to school, and spoke regarding the VanNess Market and the family. Councilmember Penaloza wished all the teachers and students a Happy School Year, and congratulated Cafe Cultura and Benchmark for their anniversaries. Councilmember Lopez thanked city staff, organizations, and vendors for the back to school event on Friday night, welcomed everyone to attend the Chicano Heritage Festival on August 11, 2024 at Centennial Park and ZOOfari on August 17, 2024, and announced first time homeowner workshops and office hours. Councilmember Hernandez congratulated City Manager Nunez, welcomed everyone to attend the Chicano Heritage Festival on August 11, 2024 at Centennial Park, spoke CITY COUNCIL 22 AUGUST 6, 2024 City Council 9 — 22 8/20/2024 regarding the Chicano Moratorium, and stated he is not supportive of First Amendment right infringement. Councilmember Bacerra spoke regarding conditional use permits and enforcement at VanNess Market, announced free admissions to the Bowers Museum for Santa Ana residents until September 8, 2024, spoke regarding his nomination to the Youth Commission, and congratulated City Manager Nunez. Mayor Pro Tem Phan congratulated City Manager Nunez, thanked the Parks, Recreation, and Community Services Agency for Movies at the Park, acknowledged Chief of Staff Lizbeth Rosales for her commitment, and congratulated Councilmember Penaloza on his wedding. Mayor Amezcua spoke regarding the Back to School Resources Fair on Sunday, July 28, 2024, congratulated City Manager Nunez, wished everyone a happy back to school year, and expressed concern regarding families in shelters and case managers transporting kids to and from school. She spoke regarding ADA compliance, requested a schedule for Fiestas Patrias, announced Concerts at the Park on Thursday at Memorial Park, requested an updated regarding translation of the MySantaAna app, and spoke regarding the Union Pacific fence on Bochard Avenue related to homelessness. ADJOURNMENT — Adjourn the City Council meeting. MINUTES: Mayor Amezcua adjourned the City Council Meeting at 9: 02 P.M. Respectfully submitted: Jennifer L. Hall, CIVIC City Clerk CITY COUNCIL 23 AUGUST 6, 2024 City Council 9 — 23 8/20/2024 City Clerk's Office www.santa-ana.org/city-clerk Item # 10 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report August 20, 2024 TOPIC: Conflict of Interest Code Review AGENDA TITLE 2024 Local Agency Biennial Notice RE: Conflict of Interest Code Review RECOMMENDED ACTION Receive and file the Fair Political Practices Commission 2024 Local Agency Biennial Notice advising that the City's Conflict of Interest Code is currently under review. GOVERNMENT CODE §84308 APPLIES: No DISCUSSION The Political Reform Act requires local agencies to file a biennial notice with the code reviewing body, the City Council, by no later than October 1, 2024, advising whether any amendments to the City's Conflict of Interest Code are necessary. The code is currently under review to determine whether any amendments are necessary. Following the receipt and filing of the 2024 Biennial Notice, staff will provide sufficient notice of the revisions and present the revised code for City Council consideration and approval by no later than December 30, 2024. The City adopted its first Conflict of Interest Code in 1976, with the various offices, agencies, and departments of the City of Santa Ana maintaining Conflict of Interest Codes pursuant to the Political Reform Act since that time. The most recent amendment to the Conflict of Interest Code was completed in September 2022. ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT There is no fiscal impact associated with this action. EXHIBIT(S) 1. 2024 Local Agency Biennial Notice Submitted By: Jennifer L. Hall, City Clerk Approved By: Alvaro Nunez, City Manager City Council 10 — 1 8/20/2024 Name of Agency: Mailing Address: Contact Person: 2024 Local Agency Biennial Notice City of Santa Ana 20 Civic Center Plaza, M-30, Santa Ana, CA 92702 Jennifer L. Hall Email: Jhall@santa-ana.org Phone No. Alternate Email: 714-647-6520 cityclerk@santa-ana.org Accurate disclosure is essential to monitor whether officials have conflicts of interest and to help ensure public trust in government. The biennial review examines current programs to ensure that the agency's code includes disclosure by those agency officials who make or participate in making governmental decisions. This agency has reviewed its conflict of interest code and has determined that (check one BOX): 0 An amendment is required. The following amendments are necessary: (Check all that apply.) ■ Include new positions ■ Revise disclosure categories ■ Revise the titles of existing positions ■ Delete titles of positions that have been abolished and/or positions that no longer make or participate in making governmental decisions ■ Other (describe) 0 The code is currently under review by the code reviewing body. No amendment is required. (If your code is over five years old, amendments may be necessary.) Verification (to be completed if no amendment is required) This agency's code accurately designates all positions that make or participate in the making of governmental decisions. The disclosure assigned to those positions accurately requires that all investments, business positions, interests in real property, and sources of income that may foreseeably be affected materially by the decisions made by those holding designated positions are reported. The code includes all other provisions required by Government Code Section 87302. Signature of Chief Executive Officer Date All agencies must complete and return this notice regardless of how recently your code was approved or amended. Please return this notice no later than October 1, 2024, or by the date specified by your agency, if earlier, to: (PLACE RETURN ADDRESS OF CODE REVIEWING BODY HERE) PLEASE DO NOT RETURN THIS FORM TO THE FPPC. www.fppc.ca.gov moor 4fppy ca ;gyp, 4 (UZ "5.3772) City Council 10 — 2 8/20/202# 1 of 1 Public Works Agency www.santa-ana.org/public-works Item # 11 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report August 20, 2024 TOPIC: Orange County Grand Jury Report: Talking Trash: Recyclables and Organic Waste AGENDA TITLE Receive and File the 2023-2024 Orange County Grand Jury Report: Talking Trash: Recyclables and Organic Waste RECOMMENDED ACTION Receive and file. GOVERNMENT CODE §84308 APPLIES: No DISCUSSION The Public Works Agency (PWA) is responsible for the refuse enterprise that oversees solid waste and recycling services to residents and businesses, while maintaining compliance with state mandates. The study was in response to Senate Bill (SB) 1383 that became effective on January 1, 2022. SB 1383 requires implementation of programs for the separation and diversion of organic waste such as food scraps, from landfill disposal. It also makes jurisdictions, e. g. cities, responsible for procuring certain amounts of the recovered organic waste products, i.e., mulch, resulting for the diversion. At the recommendation of the Orange County (OC) Waste & Recycling Agency, the PWA staff worked closely with the OC Grand Jury team to: provide information, answer questions, and guided the jurors on a tour of the Republic Services Material Recovery Facilities in Huntington Beach, CA. The City received commendations for proactively revising their hauler contract to meet SB 1383 requirements, producing a notable and ongoing outreach and education program, distributing compliant waste containers to all residents, and fostering a highly collaborative relationship with their hauler. Through the current agreement with Republic Services, staff worked diligently to not only develop an SB 1383 compliant contract, but also an education program supportive of all customers. The City is working with CalRecycle on a Corrective Action Plan to achieve full compliance. City Council 11 — 1 8/20/2024 Orange County Grand Jury Report: Talking Trash. Recyclables and Organic Waste August 20, 2024 Page 2 The report includes a reference stating that using an enterprise fund ensures that all revenues generated by the solid waste management program are reinvested in that program rather than being diverted into other needs of the jurisdiction. The City received no Findings or Recommendations requiring responses. ENVIRONMENTAL IMPACT There is no environmental impact associated with the action. FISCAL IMPACT There is no fiscal impact associated with this action. EXHIBIT(S) 1. June 5 Transmittal Letter and OC Grand Jury Report Submitted By: Nabil Saba, P.E., Executive Director — Public Works Agency Approved By: Alvaro Nunez, City Manager City Council 11 — 2 8/20/2024 Exhibit 1 Talking Trash: Recyclables and Organic Waste Talking Trash: Recyclables and Organic Waste TABLE OF CONTENTS SUMMARY...................................................................................................................... 3 BACKGROUND.............................................................................................................. 3 REASON FOR THE STUDY...........................................................................................4 METHOD OF STUDY...................................................................................................... 5 INVESTIGATION AND ANALYSIS.................................................................................6 Overviewof SB 1383.................................................................................................. 6 How Are Jurisdictions Impacted by SB 1383?........................................................ 7 Orange County Jurisdictions' SB 1383 Implementation Status ............................. 8 How do jurisdictions assess their own progress?..................................................... 8 Main Implementation Issues..................................................................................... 8 COMMENDATIONS......................................................................................................18 FINDINGS.....................................................................................................................18 RECOMMENDATIONS.................................................................................................19 RESPONSES................................................................................................................ 21 Responses Required............................................................................................... 22 Findings — 90 Day Response Required.................................................................. 22 Recommendations — 90 Day Response Required .................................................. 24 REFERENCES.............................................................................................................. 25 GLOSSARY.................................................................................................................. 26 APPENDICES............................................................................................................... 28 APPENDIX A — SURVEY RESULTS......................................................................... 28 APPENDIX B — CIRCULAR ECONOMY STARTS IN YOUR KITCHEN ................... 33 2023-2024 Orange County Grand Jury Page ii City Council 11 — 4 8/20/2024 Talking Trash: Recyclables and Organic Waste SUMMARY In 2016, the State of California enacted Senate Bill (SB) 1383, requiring counties, cities, and other organizations responsible for waste collection to coordinate with their residents to divert organic waste, including food scraps, from the landfill waste disposal stream. Another provision makes jurisdictions responsible for procuring a quantity of the recovered organic waste products resulting from the diversion. The 2023-2024 Orange County Grand Jury (OCGJ) investigated how Orange County jurisdictions are complying with the requirements and goals of SB 1383 that impact single-family residential units. The investigation revealed that the approaches to meeting SB 1383's requirements vary greatly from jurisdiction to jurisdiction. The majority of Orange County jurisdictions have not yet distributed residential waste containers that meet the SB 1383 standardization requirements, leaving outdated labeling/embossing in place. Education and outreach have not yet taken place at all in some jurisdictions. Even when information has been disseminated in other jurisdictions, the methods disproportionately favor intermittent paper mailings. Also, the State's unrealistic targets for the procurement of recycled organic waste products do not account for a jurisdiction's population density or geographic size, which frequently makes them extremely difficult to meet. The local enforcement stage of SB 1383 started on January 1, 2024. However, the majority of Orange County jurisdictions are unlikely to meet the SB 1383 targeted seventy-five percent reduction in the amount of organic waste sent to landfills by January 2025. The OCGJ concludes there is a clear need to improve education and outreach efforts, develop enforcement mechanisms and processes, and to coordinate and collaborate among all jurisdictions to collectively address the challenges and to achieve the goals and targets of SB 1383. BACKGROUND Organic waste comprises more than a third of the waste stream in California and includes green waste, wood, food waste, and fibers such as paper and cardboard. When left to decompose in landfills, organic waste releases large amounts of methane gas which is harmful to the environment (CalRecycle, 2024). In September 2016, SB 1383 set reduction targets in a statewide effort to reduce emissions of Short -Lived Climate Pollutants (SLCP) including methane. Simply put, this required all statewide jurisdictions to implement mandatory organic waste collection and recycling to divert organic waste from landfills. Another key benefit of the diversion of organic and other recyclable material from landfills is the preservation of overall landfill capacity. In 2014, the State conducted random sampling of twenty-six landfills, Material Recovery Facilities (MRF), and Transfer Stations located in twenty-one of California's fifty-eight counties (none in Orange County). The results were used to establish the baseline for 2023-2024 Orange County Grand Jury Page 3 City Council 11 — 5 8/20/2024 Talking Trash: Recyclables and Organic Waste the required reduction in organic waste destined for landfills. SB 1383 then set goals to reduce organic waste sent to landfills below the 2014 baseline by fifty percent no later than January 1, 2020, and seventy-five percent by January 1, 2025. However, despite the law's requirements, the amount of organic waste sent to landfills statewide actually increased by twenty-three percent above the 2014 baseline (Little Hoover Commission, 2023). SB 1383 requires all jurisdictions to memorialize the bill's requirements in their municipal codes and ordinances no later than January 1, 2022. One of the results of these changes is that each jurisdiction had to amend or renegotiate their waste haulers' franchise agreements to incorporate the new requirements. In accordance with SB 1383, as of January 1, 2024, all jurisdictions (and therefore all waste producers) will be subject to enforcement, including monetary fines. While SB 1383 has a myriad of requirements for commercial as well as residential waste producers, the OCGJ narrowed its investigation to the impacts associated with local jurisdiction compliance with SB 1383 on Orange County residents. This report focuses on the specific requirements associated with SB 1383, the local actions taken so far to meet those requirements, the success of those actions and how they are measured, local agency outreach and education efforts, and the challenges that remain for the County of Orange and the county's thirty-four cities. REASON FOR THE STUDY The organics diversion mandate under SB 1383 began to take effect in California on January 1, 2022. This means that jurisdictions in California were required to implement programs for the separation and diversion of organic waste, including food scraps, from landfill disposal. The actual enforcement of this requirement started on January 1, 2024. The OCGJ's intent was to take a closer look at how Orange County jurisdictions are responding to this mandate, their successes and challenges, and the impact of this new requirement on the Orange County residents. The OCGJ initially focused on two questions: • What actions have Orange County jurisdictions taken to implement organics collection for their residential customers, and how do they measure the success of these actions? • Given that one key to the success of SB 1383 is public participation, have local jurisdictions conducted sufficient outreach and education? While investigating the answers to these questions, the OCGJ discovered additional information about Orange County recycling and waste management that is notably relevant to this topic and is included in this report. 2023-2024 Orange County Grand Jury Page 4 City Council 11 — 6 8/20/2024 Talking Trash: Recyclables and Organic Waste METHOD OF STUDY The OCGJ toured several local waste facilities, including: The Frank R. Bowerman landfill in Irvine, owned by the County of Orange and managed and operated by OC Waste & Recycling (OCW&R). This enabled the OCGJ to gain a better understanding of the refuse collection and disposal process. • The MRF operated by Rainbow Environmental Services, located at 17121 Nichols Lane in the city of Huntington Beach. This facility was previously decommissioned then reopened on short notice when the newer Anaheim MRF was destroyed by fire in February 2022. The MRF operated by Waste Management, located at 2050 North Glassell Street in the city of Orange. This tour allowed the OCGJ to gain information on the operation of a newer, larger MRF. The OCGJ reviewed SB 1383 and related documents, training videos, public meeting recordings, and presentations available on the CalRecycle website. The OCGJ reviewed online publications from various organizational and media sources related to trash hauling and general operations of the waste and recycling industry and conducted fourteen interviews with representatives from the waste industry, local jurisdictions, and the State's enforcement agency. The OCGJ also disseminated a nine -question survey to each of the thirty-four Orange County cities and the County to obtain their perspectives on local implementation of SB 1383. Follow-up interviews were conducted with representatives of the same ten cities included in the 2019-2020 OCGJ report "OC Recycling: Doing it the Right Way" and the County for additional insight into each jurisdiction's implementation of, and compliance with, SB 1383's requirements. The OCGJ utilized the same sampling of ten cities as well as the County of Orange (for its unincorporated areas) because they represent different geographical areas of the county (from Brea in the north to Dana Point in the south) and reflect a variety of larger cities by population and/or land area (e.g., Santa Ana, Irvine) and some that are smaller (e.g., Buena Park, Mission Viejo). Individual members of the OCGJ also observed the types and colors of carts, their labeling, and their contents at various locations throughout the county. These observations were documented via photographs to illustrate dissimilar details and nuances among jurisdictions and haulers. 2023-2024 Orange County Grand Jury Page 5 City Council 11 — 7 8/20/2024 Talking Trash: Recyclables and Organic Waste INVESTIGATION AND ANALYSIS Overview of SB 1383 SB 1383 set ambitious targets for reducing organic waste disposal in landfills from the 2014 baseline: fifty percent by January 2020 (which was not met), and seventy-five percent by January 2025. Organic waste comprises more than half the waste stream in California and includes green waste, wood, food waste, and fibers such as paper and cardboard. When left to decompose in landfills, organic waste releases large amounts of methane gas. The overall goal of the bill is to reduce greenhouse gas emissions by at least four million metric tons per year by 2030 by requiring that "organics" going to the landfill be reduced to 5.7 million metric tons by 2025. This groundbreaking legislation is a statewide effort to reduce Short -Lived Climate Pollutants (SLCPs). SLCPs such as methane, black carbon, tropospheric (ground level) ozone, and hydrofluorocarbons remain in the atmosphere for a shorter time than carbon dioxide but have a much stronger warming effect. Therefore, reducing SLCPs has the potential to significantly slow global climate change in the near term (California Air Resources Board, 2024). The State's efforts and policies are intended to substantially increase the rate of organic material diversion away from landfills. This diversion goal is meant to move the State towards the desired "circular economy" where organic waste is collected, converted into new materials or products, and reused for other purposes. Jan. 2019 January 1, 2025 September 2016 SQ 1383 Adopted 2016-2019 2020 2021 Figure 1 Jan. 1, 2022 MEMMEr— Source: CalRecycle 2023-2024 Orange County Grand Jury Page 6 City Council 11 — 8 8/20/2024 Talking Trash: Recyclables and Organic Waste How Are Jurisdictions Impacted by SB 1383? In this context, a jurisdiction may be a city, county, city and county, or special district that collects solid waste. The jurisdictions' responsibilities specified by SB 1383 relating to residential units include (CalRecycle, 2024): • Providing organics collection services to all residents • Conducting education and outreach to community • Procuring recyclable and recovered organic products • Securing access to recycling capacity • Monitoring compliance and conducting enforcement SB 1383 contains a significant amount of detail regarding the types of allowable collection programs. Critical requirements are listed below: Each resident must subscribe to an organic waste collection service that either "source -separates" the waste by using separate bins or transports all unsegregated waste to a facility that recovers seventy-five percent of the organic content collected. • SB 1383 requires one of the following collection options: A one -can system — all contents are transported to a facility that recovers seventy-five percent of the organic content. A two -can system — at least one of the containers (whichever includes organic waste and garbage) must be transported to a facility that recovers seventy- five percent of the organic content. A three -can system — organic waste is required to be source separated (recyclables in blue, food and yard waste in green). Jurisdictions must also conduct education and outreach to all residents regarding collection service requirements, contamination standards, self -haul requirements, and overall compliance with SB 1383. Educational material must be linguistically accessible to non-English speaking residents. 2023-2024 Orange County Grand Jury Page 7 City Council 11 — 9 8/20/2024 Talking Trash: Recyclables and Organic Waste Jurisdiction Responsibilities 0 E5`1 Ve — C� Provide Establish Organics Edible Food Collection Recovery Services to All Program Residents and Businesses Figure 2 Conduct Procure Education and Recyclable Outreach to and Recovered Community Organic Products Secure Monitor Access to Compliance Recycling and Conduct and Edible Enforcement Food Recovery Capacity Source: CalRecycle Orange County Jurisdictions' SB 1383 Implementation Status How do jurisdictions assess their own progress? The OCGJ sent a ten -question survey to thirty-four cities and OC Waste & Recycling (OCW&R) and received thirty-one responses. The purpose of the survey was to verify how these agencies measure their progress on the implementation of various aspects of SB 1383. Survey participants were asked to mark their progress on the scale from 1 (significant challenges) to 5 (excellent) for each of the questions. The survey questions as well as more detailed information on responses and follow-up comments and explanations is included in Appendix A. Main Implementation Issues To follow-up on the survey, the OCGJ conducted a series of interviews with jurisdictions to learn more about their specific challenges in implementing SB 1383, successes, concerns, and solutions to common issues. The eleven jurisdictions interviewed were the same included in the 2019-2020 OCGJ report "OC Recycling: Doing it the Right Way" representing different geographical areas of the county and a variety of populations and/or land areas. Several themes emerged from the interviews: • Container Standardization SB 1383 requires standardized colors for residential and business curbside containers (green for organics, blue for recyclables, and grey for trash). It also requires container 2023-2024 Orange County Grand Jury Page 8 City Council 11 — 10 8/20/2024 Talking Trash: Recyclables and Organic Waste labels on new containers. The color scheme for collection containers must meet either of these requirements: o The lid of the container is the correct designated color o The body of the container is the correct designated color, and the lid is also the same specified color or may be gray or black Out of the eleven jurisdictions interviewed, only two have distributed containers that meet the State requirements. However, jurisdictions are not required to replace containers prior to January 1, 2036. Most are replacing their containers gradually over time. The variety of colors used by various jurisdictions contributes to the confusion and potentially increases contamination rates. In many cases, existing containers include embossed information that is no longer accurate or labels with outdated information (see examples below). 2023-2024 ALLWi,il, hl BAN I GA E pip(-�iER�I Y OF Cf2�R, Figure 3. The embossed information wrongly directs residents to put plastic grocery bags in the recycling container. Photo: OCGJ Orange County Grand Jury Page 9 City Council 11 —11 8/20/2024 Talking Trash: Recyclables and Organic Waste Figure 4. The old sticker incorrectly directs residents to put shoes, clothes, and other textiles in the recycling container. Photo: OCGJ Figure 5. Outside label on the `green waste' container contains no information regarding food scraps. Photo: OCGJ The following two images of the "Food Scrap" container (outside and inside) were taken by an OCGJ member in a public park. The contents of the container, which contains unallowable items, such as plastic packaging, further underscores the need for clear signage and more public education. 2023-2024 Orange County Grand Jury Page 10 City Council 11 — 12 8/20/2024 Talking Trash: Recyclables and Organic Waste Figure 6. Lid of the "Food Scraps" container in a public park from November 2023 showing correct information. Photo: OCGJ Figure 7. Contents of the same "Food Scraps" container in the public park from November 2023. Photo: OCGJ 2023-2024 Orange County Grand Jury Page 11 City Council 11 — 13 8/20/2024 Talking Trash: Recyclables and Organic Waste Another standardization issue is that what is accepted for recycling varies among the jurisdictions and haulers. For example, some allow palm fronds into organics bins while others do not, and some allow food scraps to be deposited in compostable bags while others do not, further adding to the confusion. • Funding and Enforcement While conducting interviews with the Orange County jurisdictions, the OCGJ learned that there are two approaches to funding their solid waste management programs (including SB 1383 implementation activities): (1) using an enterprise fund; and (2) using the general fund. Using an enterprise fund ensures that all revenues generated by the solid waste management program are reinvested in that program rather than being diverted into other needs of the jurisdiction. Even though enforcement activities were effective starting January 1, 2024, jurisdictions only conduct inspections and spot-checks of residential customers' organic and trash containers using either "lid flipping" or smart trucks that record the contents of the containers as they are being emptied. Haulers (via contracts) have been designated to perform these functions. If residents are found to be in violation, the first step is to provide them with additional educational materials and information. If the violation persists, warning notices are issued. The final step is issuing fines. The penalties imposed by a jurisdiction are based on Government Code Sections 53069.4, 25132, and 36900, and are as follows: First violation: $50-$100 per violation; Second violation: $100-$200 per violation; Third or subsequent violation: $250-$500 per violation Penalties increase when an entity violates the same requirement within a one-year period (CalRecycle, 2024). While jurisdictions have yet to collect fines, some have not even established the collection protocol or the account where collected fines will be deposited. • Education and Outreach Clearly, there is a need for more education and outreach. The success of SB 1383 implementation and the ability to reach the CalRecycle goal of a seventy-five percent diversion rate depend largely on residents' compliance and behavior change. Education and outreach is the first and most critical component of that change. "The accuracy of consumer disposal decisions directly influences the performance of the recycling system." (Christian Blanco C. S., 2023) 2023-2024 Orange County Grand Jury Page 12 City Council 11 — 14 8/20/2024 Talking Trash: Recyclables and Organic Waste Most interviewed jurisdictions collaborate with haulers to create and distribute educational materials. Others also use consulting services for that purpose. Outreach strategies, the number of outreach events and communications, as well as participation rates vary greatly from jurisdiction to jurisdiction, but most rely heavily on paper mailings, which may not be the most effective way of reaching the public. If combined with junk mail, the educational material may go unread into a recycling bin, if not the trash. Frequently, the information flyers are mailed together with hard -copy utility bills, which may overlook those who subscribe to electronic billing. As part of their outreach/education campaigns, some of the interviewed jurisdictions purchased kitchen pails for recycling food scraps to distribute to some or all households. These purchases were funded through SB 1383 assistance grants from CalRecycle, which most of the Orange County jurisdictions applied for and received. The OCGJ reviewed a sampling of educational materials being distributed by several cities and concluded that the quality of these materials can range from highly informative publications with accessible and attractive designs to flimsy "newsletters" issued by haulers for their respective jurisdictions with graphics and instructions that are barely legible. Paper mailings have their role but represent only one of many possible outreach methods. The recycling industry itself is embracing technological advancements, including the use of Artificial Intelligence (AI), in waste sorting, predicting trends, the use of smart hauler trucks and smart bins, as well as in outreach and education (Recycling Inside, 2023). According to Recycling Inside, "Al can play a pivotal role in educating the public about recycling practices. Chatbots and virtual assistants powered by Al can provide real-time guidance on waste disposal, recycling guidelines, and collection schedules. By engaging with individuals through personalized interactions, Al -driven platforms can raise awareness, promote recycling behavior, and facilitate proper waste management at the consumer level." According to research by the Recycling Partnership, "People have a misconception that what is recyclable doesn't change. They are recycling incorrectly in some cases because they are basing decisions on past guidelines and recycling knowledge such as believing milk cartons are wax coated and should not be recycled, or envelopes with windows should not be recycled. They think they know what they need to know about recycling because that's what they've always known." (Center for Sustainable Behavior & Impact, 2022) More than seventy percent of people surveyed wish there was an easier way to get information on what can and can't be recycled in their community. (Center for Sustainable Behavior & Impact, 2022) 2023-2024 Orange County Grand Jury Page 13 City Council 11 — 15 8/20/2024 Talking Trash: Recyclables and Organic Waste Determining the success of their outreach efforts is another challenge that Orange County jurisdictions are facing in the near future. Most jurisdictions need to determine how to measure outreach efforts, as the enforcement started January 1, 2024. Having common standards and methods to measure the success of public education and compliance, and regularly posting this information on the jurisdiction's website related to SB 1383 goals, will give the public an incentive to comply with SB 1383. However, in the interim, there is a significant amount of visual evidence regarding the level of residents' confusion as evidenced by the photo below. The photo is the amount of waste in the first five hours of a workday that was improperly included in residential recyclable containers and delivered to a MRF, where it had to be hand sorted out. Figure 8: Waste improperly included in recyclable containers Photo: OCGJ • Procurement of Recovered Organic Waste Products Representatives from most of the jurisdictions the OCGJ interviewed indicated that meeting the procurement requirements of SB 1383 is challenging. This is due to their jurisdictions' State -calculated procurement targets far exceeding the quantity of recovered organic waste products that they can utilize. To comply with SB 1383, jurisdictions must procure recovered organic waste products to meet an annual procurement target. Recovered organic waste products include: o Compost o Mulch 2023-2024 Orange County Grand Jury Page 14 City Council 11 — 16 8/20/2024 Talking Trash: Recyclables and Organic Waste o Renewable energy (transportation fuel, electricity, and gas for heating) from anaerobic digestion o Electricity from biomass conversion Each jurisdiction's procurement target is calculated by multiplying its population, as reported by the California Department of Finance, by the per capita procurement target (0.08 tons of organic waste per California resident per year). The resulting procurement target can then be multiplied by product conversion factors (as established by the regulations) to determine the annual procurement requirements for recovered organic waste products. Source: CalRecycle As one of the survey respondents stated: "Meeting the annual procurement target presents a significant challenge. In addition, the formula used to calculate a jurisdiction's procurement target does not account for density or square miles. Denser areas equal less space to distribute mulch or compost. More people equals higher procurement target. " As a result, a number of jurisdictions with high procurement targets had to use grant funding to purchase the required amounts of compost/mulch. Because the required target procurement amounts exceeded what they can utilize in their communities, they had to distribute the compost/mulch (via hauler) to agricultural communities outside Orange County. They also admitted that without grant funding, meeting the targets will be even more difficult and will require diverting resources from their own communities or raising rates. The regulations limit procurement to "use or giveaway, and do not include the sale of products [14CCR Section 18993.1(e)(1)] so jurisdictions cannot sell the procured recovered organic waste products, such as compost, via a third party." (CalRecycle, 2022) Renewable Natural Gas (RNG) is one of the products that can be counted towards meeting a jurisdiction's procurement goal. Haulers operating in Orange County, including Republic, CR&R, and Waste Management, utilize trucks powered by RNG. However, in most cases the RNG they use is not purchased from an approved facility so it cannot be counted towards the required procurement goal. CalRecycle maintains a list of anaerobic digestion facilities in California to help jurisdictions find renewable gas that may be eligible towards their SB 1383 procurement obligations. Currently, this list contains only six facilities that produce Compressed Natural Gas (CNG), which in this case is presumably compressed RNG. None of these facilities is located in Orange County. The closest are located in Riverside County (Perris), San Bernardino County (Victorville and Rialto), and San Diego County (Escondido). The issue of RNG is further complicated by the fact that some sewage treatment plants also produce RNG, which (according to CalRecycle) is mostly ineligible. Below is the 2023-2024 Orange County Grand Jury Page 15 City Council 11 — 17 8/20/2024 Talking Trash: Recyclables and Organic Waste information included in "Frequently Asked Questions" on RNG on the CalRecycle website (CalRecycle, 2022): Renewable gas derived solely from sewage is ineligible for meeting the procurement target because a Publicly Owned Treatment Work (POTW) is not a solid waste facility and therefore not in the scope of the legislative intent of SB 1383. Sewage is also not typically destined for a landfill, so its use does not help achieve the landfill diversion goals. However, Title 14 explicitly authorizes POTWs to accept food waste without a solid waste facility permit, making it functionally similar to incentivizing biomethane from a solid waste facility. Therefore, it is justifiable to allow the portion of renewable gas resulting from the digestion of food waste at POTWs to count toward the procurement targets, provided the POTW accepts food waste from specified facilities or operations [see 14 CCR Section 18993.1(h)(1)] and meets all other applicable regulatory requirements. For more information, please see the Final Statement of Purpose and Necessity (pages 178-180). The issue of procurement difficulties encountered by California jurisdictions is mentioned in the Little Hoover Commission 2023 report on the implementation of SB 1383. The Commission recommended that "the state should expand the list of compliance pathways and products eligible to count toward a jurisdiction's procurement requirements." (Little Hoover Commission, 2023) 0 Coordination and Vision for the Future In a county with thirty-four cities and several other jurisdictions, coordination, collaboration, and sharing resources and best practices can be a challenge. The OCGJ learned that county -wide groups meet on a regular basis, including a waste management coordinators' group, a haulers' group, and a market development group. Additionally, the OCGJ learned that OCW&R has assumed a leadership role in positioning Orange County for a greener, more sustainable future. OCW&R has a clear vision for a regional, county -wide approach to the implementation of SB 1383, which includes not only organics and edible food strategies, but also market creation and development, procurement and compliance, and regional standardization and collaboration. The details of their vision are outlined in the 2024 presentation to the legislative group, which is available on the OCW&R website (OC Waste & Recycling, 2024). The following slide has been taken from this presentation. 2023-2024 Orange County Grand Jury Page 16 City Council 11 — 18 8/20/2024 Talking Trash: Recyclables and Organic Waste ORNGE is the New Green —System Concept 4M HOW ORNGE WORKS 0�Ir " Residential Organic Waste CIRCULAR ECONOMY RWW — *4 + _ — v Commercial Organic Waste In final draft stages for longterm plan. + ■■■■'0' *-auit ■ . i ■ p IP • 0 ■ Anaerobic Co —Digestion: Digestion ■ • Phase2 Phase3 ■ Organics to Renewable Natural Gas and Energy Current 3 Compost Facilities Built Phase 1 Next stages of growth Compost Healthy Soil Solids Solar Farm System FS 401114 Renewable Natural Gas and Energy 10 Figure 9. Circular economy concept for Orange County Source: OCW&R • Other Issues Multi -family housing units: While not within the scope of this report, it should be noted that services to multi -family units still pose a significant challenge. Jurisdictions are required to provide organic waste collection to multi -family units. Many find it difficult to provide a three -bin source -separated service to these units due to limited space. Creative solutions, such as providing smaller organics containers or containers that are placed in a common area to serve multiple units, have been utilized by Orange County cities, but full compliance is difficult to achieve. The cost of SIB 1383 implementation: The Little Hoover Commission Report states that the gross cost of implementation was determined to be $40 billion between 2019 and 2030. (CalRecycle, 2019) "About 5 percent of this figure represents soft costs (i.e. the work local jurisdictions must do to create organic waste programs, educate the public, and ensure health, safety, and quality control measures are met). The other 95 percent represents the cost of disposing of organic waste, including constructing infrastructure" (Little Hoover Commission, 2023). Most Orange County jurisdictions interviewed by the OCGJ indicated that they had to increase their residential and/or business waste collection rates to cover the cost of expanded services mandated by SIB 1383. 2023-2024 Orange County Grand Jury Page 17 City Council 11 — 19 8/20/2024 Talking Trash: Recyclables and Organic Waste COMMENDATIONS • County of Orange, OC Waste & Recycling is commended for having successfully met SB 1383 mandates, developing new composting infrastructure, a model education and outreach program, moving towards robust and repurposing recycling programs, and developing gas -to -energy facilities to produce renewable energy. • City of Mission Viejo, Solid Waste Program is commended for their proactive implementation of SB 1383 mandates, distributing compliant waste containers to all residents, and producing a robust outreach and education program using numerous delivery methods. City of Santa Ana Public Works, Trash and Recycling Program is commended for proactively revising their hauler contract to meet SB 1383 requirements, producing a notable and ongoing outreach and education program, distributing compliant waste containers to all residents, and fostering a highly collaborative relationship with their hauler. FINDINGS In accordance with California Penal Code Sections 933 and 933.05, the 2023-2024 Grand Jury requires responses from each agency affected by the findings presented in this section. The responses are to be submitted to the Presiding Judge of the Superior Court. Based on its investigation titled "Talking Trash: Recyclables and Organic Waste," the 2023-2024 Orange County Grand Jury has arrived at the following principal findings: Container Standardization F1. The majority of Orange County jurisdictions have not yet required their haulers to distribute residential containers that meet the CalRecycle standardized colors, leaving legacy and often incorrect or illegible labeling and embossing in place. Funding and Enforcement F2. While a jurisdiction may not delegate its overall responsibility for compliance with State requirements to a hauler, some jurisdictions have designated the task of imposing and collecting fines from residents to the hauler in accordance with State law. However, not all jurisdictions are clear on who ultimately receives and retains the collected fines. F3. All jurisdictions will eventually start collecting fines from residents for non- compliance, but some have not yet determined whether the revenues will go into a waste and recycling enterprise fund or into the jurisdiction's general fund. 2023-2024 Orange County Grand Jury Page 18 City Council 11 — 20 8/20/2024 Talking Trash: Recyclables and Organic Waste Education and Outreach F4. In most jurisdictions, education and outreach is a joint effort between jurisdiction, hauler, and sometimes consultants, with the jurisdiction reviewing the materials before publication. The methods of dissemination vary by jurisdiction and hauler but frequently rely on a resident actively seeking the information, which requires the resident to have some awareness of the new mandates in the first place. Most efforts primarily revolve around intermittent hard -copy paper mailings. F5. Most jurisdictions currently have no way to accurately determine the effectiveness of their respective education and outreach efforts other than the eventual inspections or audits that will take place. Procurement of Recovered Organic Waste Products F6. There is some concern that there are not enough composting facilities in Orange County to process all organic waste, forcing some jurisdictions/haulers to transport it long distances for processing. F7. There is currently no infrastructure in the county that is a State -approved source of Renewable Natural Gas (RNG) and energy from organic waste. Jurisdictions that use vehicles running on RNG procured from non -approved sources cannot count that RNG towards fulfillment of their procurement requirement. F8. The formula used by the State to calculate a jurisdiction's procurement target does not account for a jurisdiction's population density or geographic size (square miles). As such, meeting the annual procurement target presents a significant challenge for most jurisdictions. F9. Many Orange County jurisdictions were unable to meet the requirement in SB 1383 to reduce organic waste sent to landfills by the 2020 deadline. It is unlikely the required seventy-five percent reduction will be achieved by the 2025 deadline. F10. The current procurement requirements mandated by SIB 1383 are unrealistic and likely unachievable by most jurisdictions. RECOMMENDATIONS In accordance with California Penal Code Sections 933 and 933.05, the 2023-2024 Grand Jury requires responses from each agency affected by the recommendations presented in this section. The responses are to be submitted to the Presiding Judge of the Superior Court. 2023-2024 Orange County Grand Jury Page 19 City Council 11 — 21 8/20/2024 Talking Trash: Recyclables and Organic Waste Based on its investigation titled "Talking Trash: Recyclables and Organic Waste," the 2023-2024 Orange County Grand Jury makes the following recommendations: Container Standardization R1. All jurisdictions should expedite the acquisition and distribution of residential containers that meet the CalRecycle standardized colors. Additionally, until the compliant containers can be distributed, all jurisdictions should ensure the distribution of labeling for non -compliant containers that explain the current SB 1383 requirements applicable to their jurisdiction by June 30, 2025. Funding and Enforcement R2. By December 31, 2024, all jurisdictions should ensure their waste hauling agreements are in compliance with State statute so that haulers may be designated to perform certain required tasks but are not improperly delegated overall responsibility for compliance. Additionally, all jurisdictions should ensure that any fines collected by a hauler are forwarded to the jurisdiction. R3. The OCGJ recommends that all jurisdictions utilize a dedicated waste and recycling enterprise fund for collection of fines for non-compliance with SB 1383 by December 31, 2024. Education and Outreach R4. By December 31, 2024, all jurisdictions should diversify the methods and media used for education and outreach to include, among others, various social media platforms, emails to residents, newspaper, television, flyer mailings, community events, and appearances at other public gatherings. R5. By December 31, 2024, and in order to gauge the effectiveness of their education and outreach efforts, all jurisdictions should develop new methods to engage residents directly to help determine their awareness of the requirements associated with SB 1383, such as surveys, online quizzes, and door-to-door polling. Procurement of Recovered Organic Waste Products R6. By June 30, 2025, the OCGJ recommends that all jurisdictions participate in the OCW&R-led efforts to develop a coordinated county -wide approach to the organics recycling infrastructure and programs as well as procurement requirements associated with SB 1383, working towards creating circular economy as a long-term goal. 2023-2024 Orange County Grand Jury Page 20 City Council 11 — 22 8/20/2024 Talking Trash: Recyclables and Organic Waste R7. By December 31, 2024, the Orange County Board of Supervisors and all Orange County cities should lobby appropriate members of the State Legislature and/or CalRecycle to revise the organic waste diversion targets to better reflect Orange County's waste amounts, revise the jurisdictions' procurement requirements to better represent the limited options currently available for procurement, the jurisdictions' varying populations, population densities, and geographic size, and to delay associated enforcement actions by the State. RESPONSES The following excerpts from the California Penal Code provide the requirements for public agencies to respond to the Findings and Recommendations of this Grand Jury report: Section 933 (c) No later than 90 days after the grand jury submits a final report on the operations of any public agency subject to its reviewing authority, the governing body of the public agency shall comment to the presiding judge of the superior court on the findings and recommendations pertaining to matters under the control of the governing body, and every elected county officer or agency head for which the grand jury has responsibility pursuant to Section 914.1 shall comment within 60 days to the presiding judge of the superior court, with an information copy sent to the board of supervisors, on the findings and recommendations pertaining to matters under the control of that county officer or agency head and any agency or agencies which that officer or agency head supervises or controls. In any city and county, the mayor shall also comment on the findings and recommendations. All of these comments and reports shall forthwith be submitted to the presiding judge of the superior court who impaneled the grand jury. A copy of all responses to grand jury reports shall be placed on file with the clerk of the public agency and the office of the county clerk, or the mayor when applicable, and shall remain on file in those offices. One copy shall be placed on file with the applicable grand jury final report by, and in the control of the currently impaneled grand jury, where it shall be maintained for a minimum of five years. Section 933.05. (a) For purposes of subdivision (b) of Section 933, as to each grand jury finding, the responding person or entity shall indicate one of the following: (1) The respondent agrees with the finding. (2) The respondent disagrees wholly or partially with the finding, in which case the response shall specify the portion of the finding that is disputed and shall include an explanation of the reasons thereof. 2023-2024 Orange County Grand Jury Page 21 City Council 11 — 23 8/20/2024 Talking Trash: Recyclables and Organic Waste (b) For purposes of subdivision (b) of Section 933, as to each grand jury recommendation, the responding person or entity shall report one of the following actions: (1) The recommendation has been implemented, with a summary regarding the implemented action. (2) The recommendation has not yet been implemented, but will be implemented in the future, with a timeframe for implementation. (3) The recommendation requires further analysis, with an explanation and the scope and parameters of an analysis or study, and a timeframe for the matter to be prepared for discussion by the officer or head of the agency or department being investigated or reviewed, including the governing body of the public agency when applicable. This timeframe shall not exceed six months from the date of publication of the grand jury report. (4) The recommendation will not be implemented because it is not warranted or is not reasonable, with an explanation, thereof. Responses Required Comments to the Presiding Judge of the Superior Court in compliance with Penal Code Section 933.05 are required from: Findings - 90 Day Response Required OC Board of Supervisors: F1, F2, F3, F4, F5, F6, F7, F8, F9, F10 City Councils of: Aliso Viejo F1, F2, F3, F4, F5, F6, F7, F8, F9, F10 Anaheim F1, F2, F3, F4, F5, F6, F7, F8, F9, F10 Brea F1, F2, F3, F4, F5, F6, F7, F8, F9, F10 Buena Park F1, F2, F3, F4, F5, F6, F7, F8, F9, F10 Costa Mesa F 1, F2, F3, F4, F5, F6, F7, F8, F9, F 10 Cypress F1, F2, F3, F4, F5, F6, F7, F8, F9, F10 Dana Point F1, F2, F3, F4, F5, F6, F7, F8, F9, F10 Fountain Valley F1, F2, F3, F4, F5, F6, F7, F8, F9, F10 Fullerton F1, F2, F3, F4, F5, F6, F7, F8, F9, F10 2023-2024 Orange County Grand Jury Page 22 City Council 11 - 24 8/20/2024 Talking Trash: Recyclables and Organic Waste Garden Grove F1, F2, F3, F4, F5, F6, F7, F8, F9, F10 Huntington Beach F1, F2, F3, F4, F5, F6, F7, F8, F9, F10 Irvine F1, F2, F3, F4, F5, F6, F7, F8, F9, F10 La Habra F1, F2, F3, F4, F5, F6, F7, F8, F9, F10 La Palma F1, F2, F3, F4, F5, F6, F7, F8, F9, F10 Laguna Beach F1, F2, F3, F4, F5, F6, F7, F8, F9, F10 Laguna Hills F1, F2, F3, F4, F5, F6, F7, F8, F9, F10 Laguna Niguel F1, F2, F3, F4, F5, F6, F7, F8, F9, F10 Laguna Woods F1, F2, F3, F4, F5, F6, F7, F8, F9, F10 Lake Forest F1, F2, F3, F4, F5, F6, F7, F8, F9, F10 Los Alamitos F1, F2, F3, F4, F5, F6, F7, F8, F9, F10 Mission Viejo F1, F2, F3, F4, F5, F6, F7, F8, F9, F10 Newport Beach F1, F2, F3, F4, F5, F6, F7, F8, F9, F10 Orange F1, F2, F3, F4, F5, F6, F7, F8, F9, F10 Placentia F1, F2, F3, F4, F5, F6, F7, F8, F9, F10 Rancho Santa Margarita F1, F2, F3, F4, F5, F6, F7, F8, F9, F10 San Clemente F1, F2, F3, F4, F5, F6, F7, F8, F9, F10 San Juan Capistrano F1, F2, F3, F4, F5, F6, F7, F8, F9, F10 Seal Beach F1, F2, F3, F4, F5, F6, F7, F8, F9, F10 Stanton F1, F2, F3, F4, F5, F6, F7, F8, F9, F10 Tustin F1, F2, F3, F4, F5, F6, F7, F8, F9, F10 Villa Park F1, F2, F3, F4, F5, F6, F7, F8, F9, F10 Westminster F1, F2, F3, F4, F5, F6, F7, F8, F9, F10 2023-2024 Orange County Grand Jury Page 23 City Council 11 - 25 8/20/2024 Talking Trash: Recyclables and Organic Waste Yorba Linda F1, F2, F3, F4, F5, F6, F7, F8, F9, F10 Recommendations - 90 Day Response Required OC Board of Supervisors: R1, R2, R3, R4, R5, R6, R7 City Councils of: Aliso Viejo R1, R2, R3, R4, R5, R6, R7 Anaheim R1, R2, R3, R4, R5, R6, R7 Brea R1, R2, R3, R4, R5, R6, R7 Buena Park R1, R2, R3, R4, R5, R6, R7 Costa Mesa R1, R2, R3, R4, R5, R6, R7 Cypress R1, R2, R3, R4, R5, R6, R7 Dana Point R1, R2, R3, R4, R5, R6, R7 Fountain Valley R1, R2, R3, R4, R5, R6, R7 Fullerton R1, R2, R3, R4, R5, R6, R7 Garden Grove R1, R2, R3, R4, R5, R6, R7 Huntington Beach R1, R2, R3, R4, R5, R6, R7 Irvine R1, R2, R3, R4, R5, R6, R7 La Habra R1, R2, R3, R4, R5, R6, R7 La Palma R1, R2, R3, R4, R5, R6, R7 Laguna Beach R1, R2, R3, R4, R5, R6, R7 Laguna Hills R1, R2, R3, R4, R5, R6, R7 Laguna Niguel R1, R2, R3, R4, R5, R6, R7 Laguna Woods R1, R2, R3, R4, R5, R6, R7 Lake Forest R1, R2, R3, R4, R5, R6, R7 Los Alamitos R1, R2, R3, R4, R5, R6, R7 Mission Viejo R1, R2, R3, R4, R5, R6, R7 Newport Beach R1, R2, R3, R4, R5, R6, R7 Orange R1, R2, R3, R4, R5, R6, R7 2023-2024 Orange County Grand Jury Page 24 City Council 11 - 26 8/20/2024 Talking Trash: Recyclables and Organic Waste Placentia Rancho Santa Margarita San Clemente San Juan Capistrano Seal Beach Stanton Tustin Villa Park Westminster Yorba Linda REFERENCES R1, R2, R3, R4, R5, R6, R7 R1, R2, R3, R4, R5, R6, R7 R1, R2, R3, R4, R5, R6, R7 R1, R2, R3, R4, R5, R6, R7 R1, R2, R3, R4, R5, R6, R7 R1, R2, R3, R4, R5, R6, R7 R1, R2, R3, R4, R5, R6, R7 R1, R2, R3, R4, R5, R6, R7 R1, R2, R3, R4, R5, R6, R7 R1, R2, R3, R4, R5, R6, R7 California Air Resources Board. (2024). Short -Lived Climate Pollutants. Retrieved from https://ww2.arb.ca.gov/our-work/programs/slcp/about CalRecycle. (2019, October 2). Initial Statement of Reasons Appendix A: Cost Update. Retrieved from CalRecycle: https://www2.calrecVcle.ca.gov/Docs/Web/115980 CalRecycle. (2022, December 5). Procurement Questions and Answers. Retrieved from CalRecycle: https://calrecVcle.ca.gov/organics/slcp/fag/recVcledproducts / CalRecycle. (2023). SB1383 Education and Outreach Resources. Retrieved from CalRecicle: httos://calrecvcle.ca.aov/oraanics/slcD/education/ CalRecycle. (2024). 2022 State of Disposal and Recycling Report. Sacramento: Department of Resources Recycling and Recovery (CalRecycle). Retrieved from https://www2.calrecVcle.ca.gov/Publications/Details/1732 CalRecycle. (2024). Enforcement Questions and Answers. Retrieved from https://calrecycle.ca.gov/organics/slcp/fag/enforcement/ CalRecycle. (2024). SB 1383 Education and Outreach Resources. Retrieved from https://calrecycle.ca.gov/organics/slcp/education/ 2023-2024 Orange County Grand Jury Page 25 City Council 11 - 27 8/20/2024 Talking Trash: Recyclables and Organic Waste Center for Sustainable Behavior & Impact. (2022). Consumer Insights on Packaging, Labels, and Claims for Recycling. The Recycling Partnership. Retrieved from https://recVclingpartnership.org/wp- content/uploads/dlm uploads/2023/06/Consumer Labeling Research Final.pdf Christian Blanco, C. S. (2023, May 30). America's Broken Recycling System. Retrieved from California Management Review : https://cmr.berkeleV.edu/2023/05/america- s-broken-recycling-system/ Christian Blanco, C. S. (2023, May 30). Is it Time to Consider a National Recycling Standard? California Management Review. Retrieved from https://cmr.berkeleV.edu/2023/05/is-it-time-to-consider-a-national-recycling- standard / Little Hoover Commission. (2023). Reducing California's Landfill Methane Emissions: SB1383 Implementation. Sacramento: Little Hoover Commission. Mouchard, A. (2024, May 4). Tech meets trash in Orange County's landfill future. Orange County Register. Retrieved from https://www.ocregister.com/2024/05/04/tech-meets-trash-in-orange-countys- landfill-future/ OC Waste & Recycling. (2024). OCW&R. Retrieved from OCW&R: https://oclandfills.com/sites/ocwr/files/2024- 03/1383%201MAGINE%20WHAT%20CAN%20BE%20Presentaiton.pdf Recycling Inside. (2023, June 2). Revolutionizing Recycling: The Relevance of Artificial Intelligence in the Recycling Industry. Retrieved from https://recVclinginside.com/the-relevance-of-artificial-intelligence-in-the-recycling- industry/ Savage, S. (2023, February 16). Forbes. Retrieved from https://www.forbes.com/sites/stevensavage/2023/02/16/the-golden -states- circular-economv-aoals-is-that-lust-california-dream in-or-the- future/?sh=95c357338e58 GLOSSARY AB Assembly Bill CalRecycle California Department of Resources Recycling and Recovery 2023-2024 Orange County Grand Jury Page 26 City Council 11 — 28 8/20/2024 Talking Trash: Recyclables and Organic Waste Circular Economy Current economic models consist of acquiring materials, making them into products, and then those products become waste. A circular economy reduces material use, redesigns materials and products to be less resource intensive, and recaptures "waste" as a resource to manufacture new materials and products. Compost Compost is made from a variety of organic materials and is used to add nutrients and improve soil structure by mixing it into the soil. Mulch Mulch is typically made from a single material like straw, grass clippings, or wood chips and is spread on top of the soil to suppress weeds, retain moisture, regulate soil temperature, and protect plant roots. MRF Material Recovery Facility OCGJ Orange County Grand Jury OCW&R OC Waste & Recycling, a department of the County of Orange Organic Waste Solid wastes originated from living organisms and their metabolic waste products, and from petroleum, which contain naturally produced organic compounds, and which are biologically decomposable by microbial and fungal action into the constituent compounds of water, carbon dioxide, and other simpler organic compounds. Sometimes called biodegradable waste. ORNGE Organics to Natural Gas and Energy POTW Publicly Owned Treatment Work Recycling Using waste as material to manufacture a new product. Recycling involves altering the physical form of an object or material and making a new object from the altered material. RNG SB SLCP Solid Waste Waste Renewable Natural Gas Senate Bill Short -Lived Climate Pollutants Discarded or abandoned materials. Solid wastes can be solid, liquid, semi -solid or containerized gaseous material. Objects or materials for which no use or reuse is intended. Orange County Grand Jury Page 27 City Council 11 — 29 8/20/2024 Talking Trash: Recyclables and Organic Waste APPENDICES APPENDIX A - SURVEY RESULTS Survey participants were asked to mark their progress on a scale from 1 (significant challenges) to 5 (excellent progress) for each of the nine questions. On the following bar graphs, the `x' axis (horizontal) depicts the rating scale from 1 to 5. The `y' axis (vertical) represents the number of respondents that gave themselves a particular rating. Was your city successful in meeting the goal of reducing organic waste disposal 50% by 2020? 2.79 Average Rating Are you confident that your city will meet the goal of reducing organic waste 75% by 2025? to a a r } 5 7.40 5 Average Rating • 3 2 1 0 1 2 3 d 2023-2024 Orange County Grand Jury Page 28 City Council 11 — 30 8/20/2024 Talking Trash: Recyclables and Organic Waste How would you rate your city's success in providing organic waste collection services to all residents? •a 12 16 3.97 fi Average Rating a 2 How successful is your city in recycling these organic materials? 14 12 10 4.17 Average Rating fi a z C How would you rate your confidence that city residents have been educated to have sufficient knowledge of the composting requirements (and associated restrictions) with the proper disposal of yard trimmings and food scraps? ,4 a 7 3.60 5 Average Rating a 3 il 4 ■ ■ 2023-2024 Orange County Grand Jury Page 29 City Council 11 — 31 8/20/2024 Talking Trash: Recyclables and Organic Waste How successful was your city in procuring a quantity of recovered organic waste products annually? 12 10 3.31 Average Rating d 2 6 How would you rate your city's success in meeting the record -keeping requirements associated with S131383, including but not limited to, inspection and enforcement, compliance reviews, investigation of complaints, and alleged violations? 7 [] 6 3.90 5 Average Rating d 3 How satisfied are you that your current agreements(s) with the hauler(s) that service your city are adequate to comply with all provisions of residential services required by SB1383? 15 14 12 10 3.93 Average Rating 6 d a ■ � 1 z 2023-2024 Orange County Grand Jury Page 30 City Council 11 — 32 8/20/2024 Talking Trash: Recyclables and Organic Waste Are your city's current staffing levels that are, or will become, responsible for all aspects of full SB1383 compliance adequate to meet the tasks at hand? 3.48 a Average Rating 3 2 4 The following examples of additional comments or explanations for their answers to the questions above were provided by survey respondents: "Comprehensive implementation and effective management of SB 1383 would require additional resources and financial support. Despite our jurisdiction's] proactive approach, including securing a new hauler/franchise agreement ... that aligns with SB 1383's requirements and achieving near -complete adoption of these guidelines, there remains a widespread reluctance towards organic recycling. Ongoing educational efforts are in place and will continue; however, achieving significant behavioral change and compliance will require additional resources. " "[Our jurisdiction has] been working on compliance regarding SB 1383 with new franchise agreements, building out local infrastructure, meeting the SB 619 procurement targets, providing education and outreach, programs are being implemented to incrementally improve participation and increase diversion. We are increasing staffing levels to help with continued support for compliance as it requires increased effort for more inspections, waste characterizations, more education and outreach, further program development, market creation and development for compost and mulch, inspections, education, and enforcement support. Although meeting the 75% goal requires more heavy lifting, 1 anticipate we will see incremental improvements from our efforts. " "SB 1383 has proven to challenge the recycling habits of many throughout the jurisdiction]. Through updated franchise agreements ... and CalRecycle grant funding, we have been able to educate and encourage change in disposal habits as required via SB 1383. Additional outreach outlining the requirements and benefits of recycling organic material will be key in successfully transitioning residents and business owners to recycle organic material." "[We] started a new franchise agreement after an RFP process .... This allowed us to incorporate all hauler -related SB 1383 compliance activities and select an innovative 2023-2024 Orange County Grand Jury Page 31 City Council 11 — 33 8/20/2024 Talking Trash: Recyclables and Organic Waste organic waste collection program. We are facing procurement challenges as energy related products are not readily available (particularly) RNG for collection vehicles. Staffing may prove to be a challenge, depending upon the amount of complaints, inspections, and enforcement actions we are required to address." "Procurement his our] biggest challenge." "Our agreement with [the hauler] required that they implement 1383 compliant programming immediately for residential. It also includes education/outreach, contamination monitoring, purchase or compost/mulch on our behalf. Residential 3-cart was implemented on day one of the agreement. However, even with education, residents are hesitant to participate with food in the organics container due to not being allowed to use compostable bags and therefore attracting bugs and vermin." "Meeting the annual procurement target presents a significant challenge. [The hauler's] collection trucks are fueled with RNG. The RNG purchased is California produced, though not SB 1383 qualified. In addition, the formula used to calculate a jurisdiction's procurement target does not count for density or square miles. Denser areas equal less space to distribute mulch or compost. More people equals higher procurement target." "As with any new program where you need to change habits and behavior, it is going to a long-term project to get adults in the habit of separating their food scraps. State of CA should implement a statewide outreach campaign, and not just rely on local jurisdictions to provide all the outreach." 2023-2024 Orange County Grand Jury Page 32 City Council 11 — 34 8/20/2024 Talking Trash: Recyclables and Organic Waste APPENDIX B - CIRCULAR ECONOMY STARTS IN YOUR KITCHEN ircula conomy at work 2023-2024 Orange County Grand Jury Page 33 City Council 11 — 35 8/20/2024 Finance & Management Services www.santa-ana.org/finance Item # 12 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report August 20, 2024 TOPIC: Amazon Online Marketplace Purchase of Goods AGENDA TITLE Citywide Purchase Order Contract to Amazon Capital Services, Inc. for the Online Marketplace Purchase of Goods (Specification No. 24-091) (General Fund and Non - General Fund) RECOMMENDED ACTION Award a citywide purchase order contract to Amazon Capital Services, Inc. for online marketplace purchases of goods for a three and -a -half year term beginning August 1, 2024 and expiring January 18, 2028, for an annual amount not to exceed $650,000. GOVERNMENT CODE §84308 APPLIES: Yes DISCUSSION Since 2019, the City has incorporated Amazon Capital Services, Inc. as a trusted and reliable vendor to provide miscellaneous arts and crafts supplies, small technology - related accessories, hard to find and specialty items, as well as items that are currently unavailable under existing City contracts. In 2022, the City expanded the Amazon Online Marketplace to all City agencies, allowing approved City staff to create shopping carts and initiate returns. This has created efficiencies to secure department orders at a much quicker pace. Amazon's Business Prime online ordering system also provides tracking and payment information for the requesting agency and spend analysis reports for Purchasing Division staff. Currently, there are over 72,690 vendors located within Orange County selling on the Amazon Marketplace with over 5,145 located in Santa Ana. Amazon Capital Services, Inc. has also created a campaign to highlight Santa Ana vendors as a first -choice option, then Orange County vendors as a second choice, followed by various sellers while departments search for items. With the expansion of the Citywide Online Amazon Marketplace in 2022, orders for ergonomic chairs and related equipment have steadily increased due to their high quality and value pricing. The Human Resources Department, Risk Management Division utilizes this contract for the procurement of ergonomic equipment on a frequent City Council 12 — 1 8/20/2024 Amazon Online Marketplace Purchase of Goods August 20, 2024 Page 2 basis. Additionally, in Fiscal Year 2023-24, the Police Department began purchasing all required materials and apparel for incoming SAPD academy recruits under the direction of the Orange County Sheriff's Department through the Amazon Online Marketplace for the purpose of County -Wide standardization. A need for additional resources has also been identified due to a recent upsurge of purchases of community outreach and other event giveaways and activity -related arts and craft items by the Parks, Recreation and Community Services Agency, Library, and Water Resources Division. Lastly, with the closure of the City's Stores facility effective June 30, 2024, departments will now rely heavily on several citywide contracts, including Amazon Marketplace, to purchase approved items that were previously provided by Stores and are required for daily operations, including personal protective equipment (PPE), fleet degreaser, disinfectant supplies, batteries, and miscellaneous safety equipment (gloves, goggles, etc.). Santa Ana City Ordinance No. NS-3041 authorizes the City to purchase against contracts from any public agency utilizing a competitive bid process. Omnia Partners, a cooperative government purchasing agency, awarded a contract to Amazon Capital Services, Inc. (R-TC-17006) as a result of open, competitive bidding on behalf of its members, which includes government agencies. Purchasing staff researched available procurement options and determined that Amazon Capital Services, Inc. meets the City's immediate needs and can provide non - contracted miscellaneous items utilized by citywide departments. This contract offers convenient options including free expedited shipping with as soon as same -day and next -day delivery, the opportunity to purchase hard to find, discontinued, or obsolete manufacturer supplies, many other volume discounted items, and a simple return process. By leveraging the procurement power through cooperative purchasing, the City of Santa Ana is able to obtain nationally vetted, high quality products at competitive volume pricing, and in accordance with the City's existing Purchasing Guidelines. Therefore, staff recommends awarding a contract to Amazon Capital Services, Inc. for an estimated annual amount not -to -exceed $650,000, and a total contract not -to exceed amount of $2,275,000 during the entire contract term. ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT Funding is available in the FY 2024-25 budget for an amount of $650,000 in various departmental Miscellaneous Operating Expense account (no. 63001) and Operating Materials & Supplies Buildings/Grounds (no. 63200). Future fiscal year funding for a total amount not to exceed $2,275,000, including any remaining amounts not spent in previous fiscal years during the term of the contract, will be included in the proposed budgets for City Council consideration. Prior to utilizing the citywide contracts, the City Council 12 — 2 8/20/2024 Amazon Online Marketplace Purchase of Goods August 20, 2024 Page 3 requesting departments will follow the Purchasing Policies and Procedures (Policy) and ensure funds are available. Upon successful completion of the fiscal review, the Purchasing Division will approve orders in accordance with the Policy. The City's total annual budget for miscellaneous operating materials and supplies is $21,249,330, of which the contract with Amazon Capital Services would only represent approximately three percent (3%) of the City's expenditures for these accounts. EXHIBIT(S) 1. Omnia Executive Summary of Cooperative Contract #R-TC-17006 Submitted By: Kathryn Downs, Finance and Management Services Executive Director Approved By: Alvaro Nunez, City Manager City Council 12 — 3 8/20/2024 OMNIA P A R T N E R S ON-LINE MARKETPLACE FOR THE PURCHASES OF PRODUCTS AND SERVICES Executive Summary Lead Agency: Prince William County Public Schools Solicitation: R-TC-17006 RFP Issued: September 14, 2016 Pre -Proposal Date: N/A Response Due Date: October 14, 2016 Proposals Received: #12 Awarded to: Amazon Services, LLC, Contract #R-TC-17006 EXHIBIT 1 Prince William County Public Schools Purchasing Office issued RFP #R-TC-17006 on September 14, 2016, to establish a national cooperative contract for an On-line Marketplace for the Purchases of Products and Services. The solicitation included cooperative purchasing in Section 1. Purpose: The Purpose and Intent of this Request for Proposal (RFP) is to establish a cooperative contract, or contracts, for an On-line Marketplace for the purchase of the product categories in Section 4.1 for Prince William County Public Schools, Virginia, (herein referred to as "PWCS" or "Lead Public Agency") on behalf of all states, local governments, school districts, and higher education institutions in the United States of America, and other governmental agencies and nonprofit organizations (herein "Participating Public Agencies) through sealed proposals from qualified sources to establish term contract, to include delivery, through competitive negotiations in accordance with the statement of needs, terms and conditions stated herein. Notice of the solicitation was sent to potential offerors, as well as advertised in the following: • Daily Journal of Commerce, OR • Fauquier Times, VA • The Honolulu Star, HI • The Buy Line Blog-City Purchasing, Seattle.gov • The New York State Contract Reporter, NYSCR.ny.gov • ONVIA • Merx.com • U.S. Communities • Prince William County Public Schools, VA • Virginia's e-Procurement Portal, eVA, dgs.virginia.gov • Washington's Electronic Business Solutions On October 14, 2016 proposals were received from the following offerors: • American Product Distributors • Hi -Touch • Complete Book & Media Supply • Music and Arts • Innoseal • LD Products Page 1 of 2 City Council 12 — 4 8/20/2024 • World ERP • Scull Studios, LLC • Amazon Services, LLC/Amazon Business • Textbook Warehouse, LLC • Essendent Co. • Peripole, Inc. d.b.a. Peripole-Bergerault, Inc. Seven (7) proposals were deemed non -responsive, five (5) proposals were deemed responsive and evaluated by an evaluation committee. The five (5) responsive proposals are Amazon Services LLC/Amazon Business, Essendent, Peripole, Scull Studios and Textbook Warehouse. Using the evaluation criteria established in the RFP, the committee elected to award to Amazon Services, LLC /Amazon Business for an online marketplace. Contract includes: Amazon Business has everything you love about Amazon, tailored for the public sector, including state and local government agencies, public and private K-12 school districts and higher education organizations, and nonprofit businesses. Solution benefits include: • Offers comparison shopping • Tax Exemption Program • Enable spending controls Term: • Approval workflows • Level 3 transaction reporting • Reporting and analytics Initial five-year agreement from January 19, 2017 through January 18, 2022 with the option to renew for three (3) additional two (2) year periods through January 18, 2028. Pricing/Discount: The Prince William County Public Schools, VA awarded online marketplace makes it easy to compare prices and find the best deals. To begin, Amazon Business customers must be registered as participants of OMNIA Partners in order to use the contract. Please Register to Participate. There are no costs, minimum quantity requirements or spend limits with OMNIA Partners or to create an Amazon Business account. To get started, follow these steps: Register for a FREE Amazon Business account by clicking here. Already have an Amazon Business account and registered with OMNIA Partners? Please enroll to use the contract by completing the contract enrollment form below. Complete the contract enrollment form by clicking here. Once you complete the form, an Amazon Business Customer Advisor will contact you within three business days to complete the registration process. OMNIA Partners, Public Sector Landing Pages: https://www.omniapartners.conkpublicsector/contracts/soplier- contracts/amazon-business Page 2of2 City Council 12-5 8/20/2024 Finance and Management Services www.santa-ana.org/finance Item # 13 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report August 20, 2024 TOPIC: Aggregate Purchase Order Contracts for Promotional Items AGENDA TITLE Aggregate Purchase Order Contracts with Promotethis!, Impact PromoSource, LLC (previously Graphic Printsource, Inc.), and Superior Promos for Promotional Items (Specification No. 23-024) (General Fund and Non -General Fund) RECOMMENDED ACTION Authorize the City Manager to execute an amendment to increase the annual aggregate not -to -exceed amount of the citywide purchase order contracts with vendors listed below by $355,000 for promotional items, for a new annual aggregate amount not to exceed amount of $550,000. Vendor Location Impact PromoSource, LLC. Corona, CA Promotethis! Huntington Beach, CA Superior Promos Brooklyn, NY GOVERNMENT CODE 484308 APPLIES: Yes DISCUSSION The Purchasing Division establishes annual citywide purchase order contracts with vendors that provide services and materials required by City departments on a recurring basis. The City currently utilizes an assortment of promotional items for educational and outreach purposes to disperse information about the City of Santa Ana throughout the community at various community and professional events. On March 21, 2023, the City Council awarded aggregate citywide purchase order contracts to Promotethis!, Graphic Printsource, Inc., Superior Promos, and QCORP Printing Solutions for a not -to -exceed aggregate amount of $975,000, after a competitive Invitation for Bids process to supply promotional items to the City. The original award was for a term of one year, with four (4) one-year renewal options. If the City exercises all options, the aggregate purchase order will expire at the end of March 2027. Since then, Graphic Printsource, Inc. has become Impact PromoSource, LLC. A contract was not fully executed with QCORP Printing Solutions due to the vendor's City Council 13 — 1 8/20/2024 Amend Aggregate Citywide Purchase Order Contracts for Promotional Items August 20, 2024 Page 2 failure to respond to the City's requests for required documents to establish the contract. There is an increased need for promotional items throughout multiple departments, including the Public Works Agency, Human Resources, Parks, Recreation, and Community Services Agency, Community Development Agency, Planning and Building Agency, and Library. Therefore, staff recommends an amendment to increase the annual aggregate not -to -exceed amount of citywide purchase order contracts by $355,000 to provide sufficient resources for promotional items (i.e., lanyards, pens, coasters, key chains, reusable water bottles, water coloring books, colored pencils, etc. at community and professional events, such as job fairs, health fairs, neighborhood meetings, reading programs, and other various community engagement and marketing opportunities. ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT Funding is available in the FY 2024-25 budget for an annual aggregate amount of $550,000 in various departmental Miscellaneous Operating Expense accounts (no. 63001) and other various departmental accounts as listed below. Future fiscal year funding for a total aggregate amount not to exceed $2,200,000, including any remaining amounts not spent in previous fiscal years during the term of the contract, will be included in the proposed budgets for City Council consideration. Prior to utilizing the citywide contracts, the requesting departments will follow the Purchasing Policies and Procedures (Policy) and ensure funds are available. Upon successful completion of the fiscal review, the Purchasing Division will approve orders in accordance with the Policy. Department / Division Account PWA — Water Resources Division 06017644-63001 PWA— Parks, Fleet & Facilities 01117651-63001 PWA — Parks, Fleet & Facilities 07317100-63001 PWA — Parks, Fleet & Facilities 07517100-63001 PWA — Maintenance Division 06817640-63001 PWA — Engineering CIP 08617613-63001 PWA— Engineering CIP 01117611-63001 PWA — Engineering DEV 10117605-63001 PWA — Engineering Traffic 01117620-63001 PWA — Admin 10117601-63001 CDA — Economic Development 01118810-63001 CDA — Housing 13318780-63001 CDA Work Center SAY 01213020-63001 CDA Work Center One Stop 12318756-63001 HR — Benefits and Wellness Fair 08109053-62120 City Council 13 — 2 8/20/2024 Amend Aggregate Citywide Purchase Order Contracts for Promotional Items August 20, 2024 Page 3 HR — Benefits Event — Rideshare 03109050-69106 HR — Recruitment Job Fair 01109050-62200 HR — Organizational Development and Training 01109050-62120 HR — Admin 01109050-63001 PD — Various Accounts 01114420-63001 01114405-63001 01114404-63001 Library — Various Accounts 01111110-63001 01211020-63001 Parks, Recreation and Community Services — 01113230-63001 Various Accounts 01113220-63001 01213020-63001 Planning & Building Agency — Various Accounts 01116500-63001 01116510-63001 01116520-63001 01116530-63001 01116540-63001 01116550-63001 01116560-63001 01216010-63001 Finance & Management Services Agency 01110100-63001 City Clerk's Office 01107031-63001 City Manager's Office 01103010-63001 Submitted By: Kathryn Downs, Finance and Management Services Executive Director Approved By: Alvaro Nunez, City Manager City Council 13 — 3 8/20/2024 Information Technology www.santa-ana.org/information-technology Item # 14 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report August 20, 2024 TOPIC: Firewall Hardware and Services AGENDA TITLE Purchase Order to AirGap Labs, LLC for Firewall Hardware and Services (Specification No. 24-096) (Non -General Fund) RECOMMENDED ACTION Authorize a one-time purchase and payment of purchase order to AirGap Labs, LLC for firewall hardware, including installation services and five-year subscription, in an amount not to exceed $96,054. GOVERNMENT CODE 484308 APPLIES: No DISCUSSION The Information Technology Department (IT) provides support to both City Hall and the Santa Ana Police Department (SAPD)'s data centers. The need to protect and ensure the safety of the City's digital assets is one of the top concerns facing the City today. To accomplish this goal, the City uses firewalls that provide protection against outside cyberattacks by enforcing policies that shield the City's network and computer systems from malicious network traffic. Additionally, firewalls provide off -site and remote workers secure access into authorized data and network resources by facilitating VPN (Virtual Private Network) connections. The City of Santa Ana utilizes several firewall devices at various locations to provide adequate protection of the citywide network. Several firewalls are currently at the end of their useful lives and will no longer be supported by the vendor. To protect the City's network from vulnerabilities, staff recommends replacing these firewalls with upgraded devices. These upgraded devices are the latest in digital protection, helping to merge the best parts of traditional firewall technology with new security innovations that deliver optimal digital protection. The request includes assistance with the installation/configuration of the firewalls and a five-year subscription for maintenance, support, and threat protection updates. Santa Ana City Ordinance No. NS-3041 authorizes the City to purchase against City Council 14 — 1 8/20/2024 Purchase of Firewall Hardware and Services August 20, 2024 Page 2 contracts from any public agency utilizing a competitive bid process. Omnia Partners, a cooperative government purchasing agency, awarded a contract to AirGap Labs, LLC (Contract no. 01-154) for procurement of security products and data protection solutions as a result of open, competitive bidding, and meets the City's requirements. FISCAL IMPACT Funds in the amount of $96,054 are available for expenditure in the current Fiscal Year 2024-25 budget as follows: Fiscal Accounting Fund Accounting Unit, Amount Year Unit — Description Account Description Account FY 24-25 10920149-66400 Information IT Projects, Machinery $ 96,054 Technology & Equipment EXHIBIT(S) 1. Omnia Partners Contract Number 01-154 Submitted By: Jack Ciulla, Chief Technology Innovations Officer Approved By: Alvaro Nunez, City Manager City Council 14 — 2 8/20/2024 11 F:::RTinET PROPOSAL SUBMITTED TO: Region 14 Education Service Center and The National Cooperative Purchasing Alliance IN RESPONSE TO: RFP# 40-22 IT Security Products and Data Protection Solutions SUBMITTED BY: FORTINET, INC. 899 Kifer Road Sunnyvale, California 94086-5205 www.fortinet.com City CounO••••••••••••••••••14-3 8/20/2024 • • • .11 Y Y • Y ■ ■ Y Yjr Y ■ • Y ■ • F:::RTnET Response to RFP# 40-22 D = 11 1 Fortinet, Inc. is pleased to respond to this Request for Proposal (RFP) for IT Security Products and Data Protection Solutions issued by the Texas Region 14 Education Service Center (ESC) on behalf of the National Cooperative Purchasing Alliance (NCPA). Fortinet is one of the world's top cybersecurity brands, delivering broad, integrated, and automated protection to enable organizations to securely accelerate their digital journey. We rank number one in the most security appliances shipped worldwide and more than 500,000 customers trust Fortinet to protect their businesses. For over 20 years, Fortinet's mission has been to secure people, devices, and data. Fortinet has been the driving force in the evolution of cybersecurity and the convergence of networking and security. Fortinet's network security solutions are the most deployed, most patented, and among the most validated in the industry. Fortinet secures the largest enterprises, service providers, and government organizations around the world. Fortinet empowers its customers with intelligent, seamless protection across the expanding attack surface and the power to take on ever-increasing performance requirements of the borderless network —today and into the future. We appreciate the opportunity to submit this response and in the event we are awarded a contract, we look forward to working with the Region 14 ESC and NCPA. In keeping with the RFP instructions, our proposal consists of the following information: Tabs Tab 1 — Master Agreement / Signature Form Tab 2 — NCPA Administration Agreement Tab 3 — Vendor Questionnaire Tab 4 — Vendor Profile Tab 5 — Products and Services / Scope Tab 6 — References Tab 7 — Pricing Tab 8 — Value Added Products and Services Tab 9 — Required Documents Should you have any questions about our proposal, please do not hesitate to contact me. Best regards, r Jerilyn Bailey Public Sector Contracts Manager F:::ArinET Phone: (850) 728-6504 1 Email: baileyj@fortinet.com City Council 14-4 8/20/2024 TAB 1 MASTER AGREEMENT - GENERAL TERMS AND CONDITIONS Customer Support The vendor shall provide timely and accurate technical advice and sales support. The vendor shall respond to such requests within one (1) working day after receipt of the request. Disclosures Respondent affirms that he/she has not given, offered to give, nor intends to give at any time hereafter any economic opportunity, future employment, gift, loan, gratuity, special discount, trip, favor or service to a public servant in connection with this contract. The respondent affirms that, to the best of his/her knowledge, the offer has been arrived at independently, and is submitted without collusion with anyone to obtain information or gain any favoritism that would in any way limit competition or give an unfair advantage over other vendors in the award of this contract. Renewal of Contract Unless otherwise stated, all contracts are for a period of three (3) years with an option to renew for up to two (2) additional one-year terms or any combination of time equally not more than 2 years if agreed to by Region 14 ESC and the vendor. Funding Out Clause Any/all contracts exceeding one (1) year shall include a standard "funding out" clause. A contract for the acquisition, including lease, of real or personal property is a commitment of the entity's current revenue only, provided the contract contains either or both of the following provisions: Retains to the entity the continuing right to terminate the contract at the expiration of each budget period during the term of the contract and is conditioned on a best efforts attempt by the entity to obtain appropriate funds for payment of the contract. Shipments (if applicable) The awarded vendor shall ship ordered products within seven (7) working days for goods available and within four (4) to six (6) weeks for specialty items after the receipt of the order unless modified. If a product cannot be shipped within that time, the awarded vendor shall notify the entity placing the order as to why the product has not shipped and shall provide an estimated shipping date. At this point the participating entity may cancel the order if estimated shipping time is not acceptable. Tax Exempt Status Since this is a national contract, knowing the tax laws in each state is the sole responsibility of the vendor. City Council 14 — 5 8/20/2024 Payments The entity using the contract will make payments directly to the awarded vendor or their affiliates (distributors/business partners/resellers) as long as written request and approval by NCPA is provided to the awarded vendor. Adding Authorized Distributors/Dealers Awarded vendors may submit a list of distributors/partners/resellers to sell under their contract throughout the life of the contract. Vendor must receive written approval from NCPA before such distributors/partners/resellers considered authorized. Purchase orders and payment can only be made to awarded vendor or distributors/ business partners/resellers previously approved by NCPA. Pricing provided to members by added distributors or dealers must also be less than or equal to the pricing offered by the awarded contract holder. All distributors/partners/resellers are required to abide by the Terms and Conditions of the vendor's agreement with NCPA. Pricing All pricing submitted shall include the administrative fee to be remitted to NCPA by the awarded vendor. It is the awarded vendor's responsibility to keep all pricing up to date and on file with NCPA. All deliveries shall be freight prepaid, F.O.B. destination and shall be included in all pricing offered unless otherwise clearly stated in writing Warranty Proposal should address the following warranty information: • Applicable warranty and/or guarantees of equipment and installations including any conditions and response time for repair and/or replacement of any components during the warranty period. • Availability of replacement parts • Life expectancy of equipment under normal use • Detailed information as to proposed return policy on all equipment Products: Vendor shall provide equipment, materials and products that are new unless otherwise specified, of good quality and free of defects Construction: Vendor shall perform services in a good and workmanlike manner and in accordance with industry standards for the service provided. Safety Vendors performing services shall comply with occupational safety and health rules and regulations. Also all vendors and subcontractors shall be held responsible for the safety of their employees and any conditions that may cause injury or damage to persons or property. City Council 14 — 6 8/20/2024 Permits Since this is a national contract, knowing the permit laws in each state is the sole responsibility of the vendor. Indemnity The awarded vendor shall protect, indemnify, and hold harmless Region 14 ESC and its participants, administrators, employees and agents against all claims, damages, losses and expenses arising out of or resulting from the actions of the vendor, vendor employees or vendor subcontractors in the preparation of the solicitation and the later execution of the contract. Franchise Tax The respondent hereby certifies that he/she is not currently delinquent in the payment of any franchise taxes. Supplemental Agreements The entity participating in this contract and awarded vendor may enter into a separate supplemental agreement to further define the level of service requirements over and above the minimum defined in this contract i.e. invoice requirements, ordering requirements, specialized delivery, etc. Any supplemental agreement developed as a result of this contract is exclusively between the participating entity and awarded vendor. Certificates of Insurance Certificates of insurance shall be delivered to the Public Agency prior to commencement of work. The insurance company shall be licensed in the applicable state in which work is being conducted. The awarded vendor shall give the participating entity a minimum of ten (10) days notice prior to any modifications or cancellation of policies. The awarded vendor shall require all subcontractors performing any work to maintain coverage as specified. Legal Obligations It is the Respondent's responsibility to be aware of and comply with all local, state, and federal laws governing the sale of products/services identified in this RFP and any awarded contract and shall comply with all while fulfilling the RFP. Applicable laws and regulation must be followed even if not specifically identified herein. Protest A protest of an award or proposed award must be filed in writing within ten (10) days from the date of the official award notification and must be received by 5:00 pm CST. Protests shall be filed with Region 14 ESC and shall include the following: • Name, address and telephone number of protester • Original signature of protester or its representative • Identification of the solicitation by RFP number • Detailed statement of legal and factual grounds including copies of relevant documents and the form of relief requested City Council 14-7 8/20/2024 Any protest review and action shall be considered final with no further formalities being considered. Force Majeure If by reason of Force Majeure, either party hereto shall be rendered unable wholly or in part to carry out its obligations under this Agreement then such party shall give notice and full particulars of Force Majeure in writing to the other party within a reasonable time after occurrence of the event or cause relied upon, and the obligation of the party giving such notice, so far as it is affected by such Force Majeure, shall be suspended during the continuance of the inability then claimed, except as hereinafter provided, but for no longer period, and such party shall endeavor to remove or overcome such inability with all reasonable dispatch. The term Force Majeure as employed herein, shall mean acts of God, strikes, lockouts, or other industrial disturbances, act of public enemy, orders and regulation of any kind of government of the United States or any civil or military authority; insurrections; riots; epidemics; pandemic; landslides; lighting; earthquake; fires; hurricanes; storms; floods; washouts; droughts; arrests; restraint of government and people; civil disturbances; explosions, breakage or accidents to machinery, pipelines or canals, or other causes not reasonably within the control of the party claiming such inability. It is understood and agreed that the settlement of strikes and lockouts shall be entirely within the discretion of the party having the difficulty, and that the above requirement that any Force Majeure shall be remedied with all reasonable dispatch shall not require the settlement of strikes and lockouts by acceding to the demands of the opposing party or parties when such settlement is unfavorable in the judgment of the party having the difficulty Prevailing Wage It shall be the responsibility of the Vendor to comply, when applicable, with the prevailing wage legislation in effect in the jurisdiction of the purchaser. It shall further be the responsibility of the Vendor to monitor the prevailing wage rates as established by the appropriate department of labor for any increase in rates during the term of this contract and adjust wage rates accordingly. Termination Either party may cancel this contract in whole or in part by providing written notice. The cancellation will take effect 30 business days after the other party receives the notice of cancellation. After the 30th business day all work will cease following completion of final purchase order. Open Records Policy Because Region 14 ESC is a governmental entity responses submitted are subject to release as public information after contracts are executed. If a vendor believes that its response, or parts of its response, may be exempted from disclosure, the vendor must specify page -by -page and line -by-line the parts of the response, which it believes, are exempt. In addition, the respondent must specify which exception(s) are applicable and provide detailed reasons to substantiate the exception(s). The determination of whether information is confidential and not subject to disclosure is the duty of the Office of Attorney General (OAG). Region 14 ESC must provide the OAG sufficient City Council 14-8 8/20/2024 information to render an opinion and therefore, vague and general claims to confidentiality by the respondent are not acceptable. Region 14 ESC must comply with the opinions of the OAG. Region14 ESC assumes no responsibility for asserting legal arguments on behalf of any vendor. Respondent are advised to consult with their legal counsel concerning disclosure issues resulting from this procurement process and to take precautions to safeguard trade secrets and other proprietary information. City Council 14 — 9 8/20/2024 PROCESS Region 14 ESC will evaluate proposals in accordance with, and subject to, the relevant statutes, ordinances, rules, and regulations that govern its procurement practices. NCPA will assist Region 14 ESC in evaluating proposals. Award(s) will be made to the prospective vendor whose response is determined to be the most advantageous to Region 14 ESC, NCPA, and its participating agencies. To qualify for evaluation, response must have been submitted on time, and satisfy all mandatory requirements identified in this document. Contract Administration The contract will be administered by Region 14 ESC. The National Program will be administered by NCPA on behalf of Region 14 ESC. Contract Term The contract term will be for three (3) year starting from the date of the award. The contract may be renewed for up to two (2) additional one-year terms or any combination of time equally not more than 2 years. It should be noted that maintenance/service agreements may be issued for up to (5) years under this contract even if the contract only lasts for the initial term of the contract. NCPA will monitor any maintenance agreements for the term of the agreement provided they are signed prior to the termination or expiration of this contract. Contract Waiver Any waiver of any provision of this contract shall be in writing and shall be signed by the duly authorized agent of Region 14 ESC. The waiver by either party of any term or condition of this contract shall not be deemed to constitute waiver thereof nor a waiver of any further or additional right that such party may hold under this contract. Price Increases Should it become necessary, price increase requests may be submitted at any point during the term of the contract by written amendment. Included with the request must be documentation and/or formal cost justification for these changes. Requests will be formally reviewed, and if justified, the amendment will be approved. Products and Services Additions New Products and/or Services may be added to the resulting contract at any time during the term by written amendment, to the extent that those products and/or services are within the scope of this RFP. Competitive Range It may be necessary for Region 14 ESC to establish a competitive range. Responses not in the competitive range are unacceptable and do not receive further award consideration. City Council 14 — 10 8/20/2024 Deviations and Exceptions Deviations or exceptions stipulated in response may result in disqualification. It is the intent of Region 14 ESC to award a vendor's complete line of products and/or services, when possible. Estimated Quantities While no minimum volume is guaranteed, the estimated (but not limited to) annual volume for Products and Services purchased under the proposed Master Agreement is $50 million dollars annually. This estimate is based on the anticipated volume of Region 14 ESC and current sales within the NCPA program. Evaluation Region 14 ESC will review and evaluate all responses in accordance with, and subject to, the relevant statutes, ordinances, rules and regulations that govern its procurement practices. NCPA will assist the lead agency in evaluating proposals. Recommendations for contract awards will be based on multiple factors, each factor being assigned a point value based on its importance. Formation of Contract A response to this solicitation is an offer to contract with Region 14 ESC based upon the terms, conditions, scope of work, and specifications contained in this request. A solicitation does not become a contract until it is accepted by Region 14 ESC. The prospective vendor must submit a signed Signature Form with the response thus, eliminating the need for a formal signing process. Contract award letter issued by Region 14 ESC is the counter -signature document establishing acceptance of the contract. NCPA Administrative Agreement The vendor will be required to enter and execute the National Cooperative Purchasing Alliance Administration Agreement with NCPA upon award with Region 14 ESC. The agreement establishes the requirements of the vendor with respect to a nationwide contract effort. Clarifications/Discussions Region 14 ESC may request additional information or clarification from any of the respondents after review of the proposals received for the sole purpose of elimination minor irregularities, informalities, or apparent clerical mistakes in the proposal. Clarification does not give respondent an opportunity to revise or modify its proposal, except to the extent that correction of apparent clerical mistakes results in a revision. After the initial receipt of proposals, Region 14 ESC reserves the right to conduct discussions with those respondent's whose proposals are determined to be reasonably susceptible of being selected for award. Discussions occur when oral or written communications between Region 14 ESC and respondent's are conducted for the purpose clarifications involving information essential for determining the acceptability of a proposal or that provides respondent an opportunity to revise or modify its proposal. Region 14 ESC will not assist respondent bring its proposal up to the level of other proposals through discussions. Region 14 ESC will not indicate to respondent a cost or price that it must meet to neither obtain further consideration nor will it provide any information about other respondents' proposals or prices. City Council 14 —11 8/20/2024 Multiple Awards Multiple Contracts may be awarded as a result of the solicitation. Multiple Awards will ensure that any ensuing contracts fulfill current and future requirements of the diverse and large number of participating public agencies. Past Performance Past performance is relevant information regarding a vendor's actions under previously awarded contracts; including the administrative aspects of performance; the vendor's history of reasonable and cooperative behavior and commitment to customer satisfaction; and generally, the vendor's businesslike concern for the interests of the customer. City Council 14 — 12 8/20/2024 EVALUATION CRITERIA Pricing (40 points) Electronic Price Lists • Products, Services, Warranties, etc. price list • Prices listed will be used to establish both the extent of a vendor's product lines, services, warranties, etc. available from a particular bidder and the pricing per item. Ability to Provide and Perform the Required Services for the Contract (25 points) • Product Delivery within participating entities specified parameters • Number of line items delivered complete within the normal delivery time as a percentage of line items ordered. • Vendor's ability to perform towards above requirements and desired specifications. • Past Cooperative Program Performance • Quantity of line items available that are commonly purchased by the entity. • Quality of line items available compared to normal participating entity standards. References and Experience (20 points) • A minimum of ten (10) customer references for product and/or services of similar scope dating within past 3 years • Respondent Reputation in marketplace • Past Experience working with public sector. • Exhibited understanding of cooperative purchasing Value Added Products/Services Description, (8 points) • Additional Products/Services related to the scope of RFP • Marketing and Training • Minority and Women Business Enterprise (MWBE) and (HUB) Participation • Customer Service Technology for Supporting the Program (7 points) • Electronic on-line catalog, order entry use by and suitability for the entity's needs • Quality of vendor's on-line resources for NCPA members. • Specifications and features offered by respondent's products and/or services City Council 14 — 13 8/20/2024 TAB 1 SIGNATURE FORM The undersigned hereby proposes and agrees to furnish goods and/or services in strict compliance with the terms, specifications and conditions at the prices proposed within response unless noted in writing. The undersigned further certifies that he/she is an officer of the company and has authority to negotiate and bind the company named below and has not prepared this bid in collusion with any other Respondent and that the contents of this proposal as to prices, terms or conditions of said bid have not been communicated by the undersigned nor by any employee or agent to any person engaged in this type of business prior to the official opening of this proposal. Prices are guaranteed: 120 days Fortinet, Inc. Company Name 899 Kifer Road Address Sunnyvale California 94086 City State Zip (850) 728-6504 Telephone Number baileyj@fortinet.com Email Address Jerilyn Bailey Printed Name Authorized Signature N/A Fax Number Public Sector Contracts Manager Position City Council 14 — 14 8/20/2024 FKMrinEr TAB 2 NCPA ADMINISTRATION AGREEMENT This Administration Agreement is made as of December 1, 2022 by and between National Cooperative Purchasing Alliance ("NCPA") and Fortinet, Inc. ("Vendor"). Recitals WHEREAS, Region 14 ESC has entered into a certain Master Agreement dated December 1, 2022 , referenced as Contract Number 01-154 , by and between Region 14 ESC and Vendor, as may be amended from time to time in accordance with the terms thereof (the "Master Agreement"), for the purchase of IT Security Products and Data Protection Solutions; WHEREAS, said Master Agreement provides that any state, city, special district, local government, school district, private K-12 school, technical or vocational school, higher education institution, other government agency or nonprofit organization (hereinafter referred to as "public agency" or collectively, "public agencies") may purchase products and services at the prices indicated in the Master Agreement; WHEREAS, NCPA has the administrative and legal capacity to administer purchases under the Master Agreement to public agencies; WHEREAS, NCPA serves as the administrative agent for Region 14 ESC in connection with other master agreements offered by NCPA WHEREAS, Region 14 ESC desires NCPA to proceed with administration of the Master Agreement; WHEREAS, NCPA and Vendor desire to enter into this Agreement to make available the Master Agreement to public agencies on a national basis; NOW, THEREFORE, in consideration of the payments to be made hereunder and the mutual covenants contained in this Agreement, NCPA and Vendor hereby agree as follows: General Terms and Conditions The Master Agreement, attached hereto as Exhibit 1 and incorporated herein by reference as though fully set forth herein, and the terms and conditions contained therein shall apply to this Administration Agreement except as expressly changed or modified by this Administration Agreement. NCPA shall be afforded all of the rights, privileges and indemnifications afforded to Region 14 ESC under the Master Agreement, and such rights, privileges and indemnifications shall accrue and apply with equal effect to NCPA under this Administration Agreement including, but not limited to, Contractor's obligation to provide appropriate insurance and certain indemnifications to Region 14 ESC. City Council 14 — 15 8/20/2024 • Contractor shall perform all duties, responsibilities and obligations required under the Master Agreement in the time and manner specified by the Master Agreement. • NCPA shall perform all of its duties, responsibilities, and obligations as administrator of purchases under the Master Agreement as set forth herein, and Contractor acknowledges that NCPA shall act in the capacity of administrator of purchases under the Master Agreement. • With respect to any purchases made by Region 14 ESC or any Participating Agency pursuant to the Master Agreement, NCPA (a) shall not be construed as a dealer, re - marketer, representative, partner, or agent of any type of Contractor, Region 14 ESC, or such Participating Agency, (b) shall not be obligated, liable or responsible (i) for any orders made by Region 14 ESC, any Participating Agency or any employee of Region 14 ESC or Participating Agency under the Master Agreement, or (ii) for any payments required to be made with respect to such order, and (c) shall not be obligated, liable or responsible for any failure by the Participating Agency to (i) comply with procedures or requirements of applicable law, or (ii) obtain the due authorization and approval necessary to purchase under the Master Agreement. NCPA makes no representations or guaranties with respect to any minimum purchases required to be made by Region 14 ESC, any Participating Agency, or any employee of Region 14 ESC or Participating Agency under this Administration Agreement or the Master Agreement. • With respect to any supplemental agreement entered into between a Participating Agency and Contractor pursuant to the Master Agreement, NCPA, its agents, members and employees shall not be made party to any claim for breach of such agreement. • This Administration Agreement supersedes any and all other agreements, either oral or in writing, between the parties hereto with respect to the subject matter hereof, and no other agreement, statement, or promise relating to the subject matter of this Administrative Agreement which is not contained herein shall be valid or binding. • Contractor agrees to allow NCPA to use their name and logo within website, marketing materials and advertisement. Any use of NCPA name and logo or any form of publicity regarding this Administration Agreement or the Master Agreement by Contractor must have prior approval from NCPA. • If any action at law or in equity is brought to enforce or interpret the provisions of this Administration Agreement or to recover any administrative fee and accrued interest, the prevailing party shall be entitled to reasonable attorney's fees and costs in addition to any other relief to which such party may be entitled. • Neither this Administration Agreement nor any rights or obligations hereunder shall be assignable by Contractor without prior written consent of NCPA, provided, however, that the Contractor may, without such written consent, assign this Administration Agreement and its rights and delegate its obligations hereunder in connection with the transfer or sale of all or substantially all of its assets or business related to this Administration Agreement, or in the event of its merger, consolidation, change in control or similar transaction. Any permitted assignee shall assume all assigned obligations of its assignor under this Administration Agreement. • This Administration Agreement and NCPA's rights and obligations hereunder may be assigned at NCPA's sole discretion, to an existing or newly established legal entity that has the authority and capacity to perform NCPA's obligations hereunder. Term of Agreement This Agreement shall be in effect so long as the Master Agreement remains in effect, provided, however, that the obligation to pay all amounts owed by Vendor to NCPA through the City Council 14 — 16 8/20/2024 termination of this Agreement and all indemnifications afforded by Vendor to NCPA shall survive the term of this Agreement. Fees and Reporting The awarded vendor shall electronically provide NCPA with a detailed quarterly report showing the dollar volume of all sales under the contract for the previous quarter. Reports are due on the fifteenth (15th) day after the close of the previous quarter. It is the responsibility of the awarded vendor to collect and compile all sales under the contract from participating members and submit one (1) report. The report shall include at least the following information as listed in the example below: Entity Name I Zip Code State PO or Job # Sale Amount Total Each quarter NCPA will invoice the vendor based on the total of sale amount(s) reported. From the invoice the vendor shall pay to NCPA an administrative fee based upon the tiered fee schedule below. Vendor's annual sales shall be measured on a calendar year basis. Deadline for term of payment will be included in the invoice NCPA provides. Annual Sales Through Contract Administrative Fee 0 - $30,000,000 2% $30,000,001 - $50,000,000 1.5% $50,000,001 + 1 % Supplier shall maintain an accounting of all purchases made by Public Agencies under the Master Agreement. NCPA and Region 14 ESC reserve the right to audit the accounting for a period of four (4) years from the date NCPA receives the accounting. In the event of such an audit, the requested materials shall be provided at the location designated by Region 14 ESC or NCPA. In the event such audit reveals an under reporting of Contract Sales and a resulting underpayment of administrative fees, Vendor shall promptly pay NCPA the amount of such underpayment, together with interest on such amount and shall be obligated to reimburse NCPA's costs and expenses for such audit. City Council 14 — 17 8/20/2024 VUI.U01Y1I CI IVVIUPV IL/. rJJJMDM--F-VD I I-'-FLJL-.7JClJ-D C4FIL/LV LJOJI�J ACKNOWLEDGMENT OF CONTRACTOR REQUIREMENTS National Cooperative Purchasing Alliance Organization Matthew Mackel Name Director, Business Development Title PO Box 701273 Address Houston, TX 77270 Address Signature December 1, 2022 Date Fortinet, Inc. Vendor Name John Whittle Name EVP of Corporate Development, Chief Legal Officer Title 899 Kifer Road Address Sunnyvale, CA 94086 Address EDocuSigned by: aL WL& 9ERD4ARCR9nE44D Signature 12/7/2022 Date DocuSigned by: 12/7/2022 City Council 14 — 18 8/20/2024 F RnnET TAB 3 VENDOR QUESTIONAIRE Please provide responses to the following questions that address your company's operations, organization, structure, and processes for providing products and services. Locations Covered • Bidder must indicate any and all locations where products and services can be offered. • Please indicate the price co -efficient for each location if it varies. X❑ All 50 States & District of Columbia (Selecting this box is equal to checking all boxes below) ❑ Alabama ❑ Alaska ❑ Arizona ❑ Arkansas ❑ California ❑ Colorado ❑ Connecticut ❑ Delaware ❑ D.C. ❑ Florida ❑ Georgia ❑ Hawaii ❑ Idaho ❑ Illinois ❑ Indiana ❑ Iowa ❑ Kansas ❑ Massachusetts ❑ Michigan ❑ Minnesota ❑ Mississippi ❑ Missouri ❑ Kentucky ❑ Louisiana ❑ Maine ❑ Maryland ❑ Montana ❑ Nebraska ❑ Nevada ❑ New Hampshire ❑ New Jersey ❑ New Mexico ❑ New York ❑ North Carolina ❑ North Dakota ❑ Ohio ❑ Oklahoma ❑ Oregon ❑ Pennsylvania X❑ All U.S. Territories and Outlying Areas (Selecting this box is equal to checking all boxes below) ❑ American Somoa ❑ Federated States of Micrones ❑ Guam ❑ Midway Islands ❑ Rhode Island ❑ South Carolina ❑ South Dakota ❑ Tennessee ❑ Texas ❑ Utah ❑ Vermont ❑ Virginia ❑ Washington ❑ West Virginia ❑ Wisconsin ❑ Wyoming ❑ Northern Marina Island ❑ Puerto Rico ❑ U.S. Virgin Islands City Council 14 — 19 8/20/2024 X❑ All Canada Provinces and Territories (Selecting this box is equal to checking all I boxes below) ❑ Alberta ❑ Prince Edward Island ❑ British Columbia ❑ Quebec ❑ Manitoba ❑ Saskatchewan ❑ New Brunswick ❑ Northwest Territories ❑ Newfoundland and Labrador ❑ Nunavut ❑ Nova Scotia ❑ Yukon ❑ Ontario If awarded a Master Agreement, will your company extend the terms offered in your Proposal to public agencies in Canada? If no or maybe, please explain. RI Yes ❑ Maybe ❑ No If awarded a Master Agreement, will your company extend the terms offered in your Proposal to private sector customers? ❑ Yes ❑ Maybe ❑X No Minority and Women Business Enterprise (MWBE) and (HUB) Participation It is the policy of some entities participating in NCPA to involve minority and women business enterprises (MWBE) and historically underutilized businesses (HUB) in the purchase of goods and services. Respondents shall indicate below whether or not they are an M/WBE or HUB certified. ❑ Minority/Women Business Enterprise Respondent Certifies that this firm a Minority / Women Business Enterprise ❑ Historically Underutilized Business Respondent Certifies that this firm is a Historically Underutilized Business Small Business, MWBE and HUB Growth If Proposer is a Large, National or Multinational Organization/Corporation, what programs are in place that partners or supports the growth of small and MWEB and HUB business? If yes, please describe. ❑ N/A, we are a recognized small, MWEB or HUB organization ❑ No, we do not have any programs in place. x❑ Yes, we have programs in place. City Council 14 — 20 8/20/2024 Residency Responding Company's principal place of business is in the city of Sunnyvale State of California Felony Conviction Notice Please Check Applicable Box (If the 3Id box is checked, a detailed explanation of the names and convictions must be attached): ❑X A publicly held corporation; therefore, this reporting requirement is not applicable. ❑ Is not owned or operated by anyone who has been convicted of a felony. ❑ Is owned or operated by the following individual(s) who has/have been convicted of a felony Distribution Channel Which best describes your company's position in the distribution channel: ❑ Manufacturer Direct ❑ Certified education/government reseller ❑ Authorized Distributor X❑ Manufacturer marketing through reseller ❑ Value-added reseller ❑ Other: Processing Contact Information Contact Person Jerilyn Bailey Title Public Sector Contracts Manager Company Fortinet, Inc. Address 899 Kifer Road City/State/Zip Sunnyvale, CA 94086 Phone (850) 728-6504 Email baileyj@fortint.com Pricing Information In addition to the current typical unit pricing furnished herein, the Vendor agrees to offer all future product introductions at prices that are proportionate to Contract Pricing. If answer is no, attach a statement detailing how pricing for NCPA participants would be calculated for future product introductions. RI Yes ❑ No City Council 14 — 21 8/20/2024 Pricing submitted includes the required NCPA administrative fee. The NCPA fee is calculated based on the invoice price to the customer. © Yes ❑ No City Council 14 — 22 8/20/2024 F:.: R T n E T Response to RFP# 40-22 TAB 4 VENGvK PROFILE Please provide the following information about your company: • Company's official registered name. Our company's official registered name is Fortinet, Inc. • Brief history of your company, including the year it was established. Fortinet, headquartered in Sunnyvale, California, is a profitable and rapidly growing US company whose core competencies are cyber threat research; cybersecurity product research and development; and the design, implementation and support of integrated cybersecurity solutions based on our extensive portfolio of proprietary products. Fortinet was founded in 2000 by Ken Xie and is led by a strong management team with deep experience in networking and security. Fortinet is the only security leader to develop and build custom security processing unit (SPU) technology that offers the best performance and value in the industry with Security Compute Ratings that are much higher than other vendors that offer software -oriented or CPU -driven approaches. Each day the Fortinet FortiGuard Labs use one of the most effective and proven artificial intelligence (AI) and machine learning systems in the industry to process and analyze more than 100 billion events daily, and send actionable real-time threat intelligence to customers. The Fortinet Security Fabric (Attachment 1) is at the heart of the Fortinet security strategy that delivers security without compromise to address the most critical security challenges, whether in networked, application, cloud, or mobile environments. It is a platform organically built around a common operating system and management framework to enable broad visibility, seamless integration and interoperability between critical security elements, and granular control and automation. Fortinet has its products tested by the industry's most prominent and impartial third party performance and effectiveness testing organizations and our products have achieved consistent positive test results! Fortinet is commitment to cybersecurity innovation and excellence and Fortinet has been recognized as a LEADER three years in a row on four Gartner® Magic QuadrantTM reports. The Fortinet market position and solution effectiveness have been widely validated by industry analysts, independent testing labs, business organizations, and media outlets worldwide. Fortinet is proud to count the majority of Fortune 500 companies among its satisfied customers. See Fortinet's Corporate Brochure (Attachment 2) for additional information. Yaw FowMaA Headquarters Stock Symbol 2Ila 00Q Sunnyvale. FTNT ® CaVo,ma AD PD. Mmtimew 2WY 11 Customers Units Shipped to Onto Global Patents 595,000 a.8M• 12791�-1 0141.0 247 P—r— Number of Employees Financial H4 hllghts -J {UA IAA �� I.�rc / S• 9aH c.�n �m m..�rm.m� 11,508 $1.03B $1.308 City Council 14 — 23 8/20/2024 F:::RTnET Response to RFP# 40-22 • Company's Dun & Bradstreet (D&B) number. Our D&B Number is 040806445. • Company's organizational chart of those individuals that would be involved in the contract. Felix Alvarez Director SLED Contracts Team Jerilyn Bailey I Amy Lee RFP Response Contract Manager SLED Contracts Team SLED Contracts Team • Corporate office location. o List the number of sales and services offices for states being bid in solicitation. If awarded a contract in response to this RFP, Fortinet's entire line of products and services will be available to NCPA customers in all 50 states, the District of Columbia, and in US territories. Fortinet sells its products and services through its established distribution channel that includes US -based distributors and resellers across the country. Fortinet provides pre -sales guidance and account management to our customers, distributors, and resellers through strategically placed district sales teams. SALES OFFICES COVERAGE North Central District ND, SD, NE, MN, IA, WI, IL Ohio Valley District MI, IN, OH, KY New England District Upstate NY, VT, NH, ME, MA, CT, RI Northeast District PA, NJ, NYC, DE Mid -Atlantic District WV, VA, TN, NC, SC Florida/ Georgia District FL, GA South Central District KS, MO, OK, AR, LA, MS, AL Texas District TX California District CA West District WA, OR, MT, ID, WY, NV, UT, CO, AZ, NM Great Lakes District WI, IL Fortinet supports its products and services through the following Regional Technical Assistance Centers and Supply Depots: OFFICES LOCATIONS Regional Technical Assistance Plano, Texas Centers* Ottawa, Ontario ON Canada Burnaby, BC Canada Supply Depots pP Y p Fortinet maintains 35 hardware storage facilities worldwide and 200 regional equipment depots. City Council 14 — 24 8/20/2024 F:::FRTinET Response to RFP# 40-22 * Fortinet uses a follow -the -sun model for technical assistance. Support will therefore be provided to NCPA customers from these North American centers during regular business hours and will roll over to TACs in other regions after hours (except in the case of contracts/purchase orders that require support from US TA Cs only). o List the names of key contacts at each with title, address, phone and e-mail address. Responsibility Name and Contact Information Jerilyn Bailey RFP Response Public Sector Contracts Manager baile ' fortinet.com Amy Lee Contract Management and Reporting Public Sector Contracts Manager leea@fortinet.com Contract Administration Fortinet SLED Contracts Team SLED Contracts fortinet.com • Define your standard terms of payment. If awarded a contract in response to this RFP, customers will make payments directly to the Fortinet-approved distributor or reseller with whom the order was placed. Payment terms are net thirty (30) days from the date of the invoice. Late fees may be charged on all amounts not paid when due at the rate of one and one half percent (1.5%) per month or the highest rate permitted by law, whichever is lower. • Who is your competition in the marketplace? The table below provides information on our competitors per segment within the market: Market Segment Competitors Enterprise Firewalls Definition: Purpose -built appliances for securing enterprise networks. Able to support single- • Palo Alto enterprise firewall deployments and large and/or complex deployments. The ability to provide virtual versions for the data center is now an expectation as is the ability to deploy in cloud • Check Point environments. Unified Threat Management Devices Definition: Multifunctional network security products designed for small to medium -size • Check Point organizations (100 to 1,000 employees). Typical capabilities provided include enterprise firewall, intrusion prevention, remote access, secure web/email gateway, routing and wan • Sophos connectivity. • Barracuda • Checkpoint Next -Generation Firewall • Cisco Definition. Deep packet inspection firewalls that move beyond port/protocol inspection and • Forcepoint blocking to add application -level inspection, intrusion prevention, and to bring in intelligence Palo Alto from outside the firewall. Sophos • SonicWall • WatchGuard Data Center Security Gateway (DCSG) Definition. DCSGs protects data center servers and the applications that run on them (i.e., web • Juniper servers, mail servers, DNS servers, application servers, etc)from potential threats. They . Palo Alto converge data center firewall and data center intrusion prevention system technologies and perform access control and deep packet inspection to protect server applications from remote ' Cisco attacks. City Council 14 — 25 8/20/2024 F:::RTnET Response to RFP# 40-22 Data Center Intrusion Protection Systems (DCIPS) Definition. Data center network security devices are deployed to protect servers and • Juniper applications hosted in the data center. Data center intrusion prevention systems (DCIPS) are • McAfee deployed at critical points in the network. Their role is to identify and block sophisticated threats against web servers, application servers, and database servers without false positives . Trend Micro or degradation of network performance. Breach Detection (or Advanced Threat Protection) Definition. These products provide enhanced detection of advanced malware, zero -day attacks, • Trend Micro and targeted attacks that could bypass defenses such as next generation firewalls, intrusion • Lastline prevention systems, intrusion detection systems, antivirus/endpoint protection (including host . Check Point IPS), and secure web gateways. Web Application Firewalls • F5 Definition: Physical or virtual appliance to protect public and internal web applications, . Imperva whether deployed on premise or remotely hosted. Should protect against a variety of attacks including injection attacks and application -layer denial of service DoS . • Akamai Wired and Wireless LAN Access Infrastructure • Riverbed Definition: This market segment consists of vendors supplying wired and wireless networking • Dell EMC hardware and software that enables devices to connect to the enterprise wired LAN or Wi-Fi • Juniper network. • New 113C • Sentinel One Advanced Endpoint Protection (AEP) 0 McAfee Definition: AEP products protect endpoints from a multitude of attack threat vectors targeting o Symantec a very dynamic enterprise class endpoint attack surface. They should also be resistant to 0 Cylance evasion techniques and provide low false positive results. 0 Trend Micro • ESET • Provide Annual Sales for last 3 years broken out into the following categories: o Cities / Counties o K-12 o Higher Education o Other government agencies or nonprofit organizations • Provide the revenue that your organization anticipates each year for the first three (3) years of this agreement. City Council 14 — 26 8/20/2024 F:::RTnET Response to RFP# 40-22 • What differentiates your company from competitors? Fortinet offers the most cost effective networking and cyber security solutions in the market providing the best total cost per protected megabit of traffic as tested by independent sources such as NSS labs. Recognized as a leader by technology research firm Garter, Fortinet lowers total cost of ownership by integrating cyber security into all of our products and simplifying administration through near single -pane of glass management. With the added benefit of our integrated FortiGuard Services, Fortinet provides near real-time effectiveness to cyber threats by ensuring that all threats known and unknown can be identified and mitigated as close to the source and as quickly as possible. In summary, Fortinet products protect your entire digital attack surface more effectively, at lower total cost and can be managed more efficiently than any other product on the market today. • Describe how your company will market this contract if awarded. Fortinet provides marketing on its products and services throughout the sales lifecycle. Fortinet's marketing strategy is geared towards nurturing our relationships with our customers to grow business, lock in brand loyalty, and foster customer advocacy for our solutions. Fortinet has created marketing materials specifically geared toward public sector customers and intends to market the NCPA contract in a multitude of ways to reach our intended audience. Each of these avenues will promote awareness of the NCPA contract and highlight our products and services. Fortinet understands the importance of marketing NCPA contracts to public sector customers and during the life of the contract Fortinet's marketing plan will include the following: =� Website advertisement and social media awareness campaigns. General media exposure in various digital and print publications. Sales team trainings to inform them of the contract and teach them how to promote the II contract to our customers. Customer outreach activities from our sales team, within their respective areas of jA operation or vertical focus, to get our current customers acquainted with the NCPA contract. t: Conference calls and webinars to inform and educate potential new customers on the value proposition of the NCPA contract. Participation in advisory councils, sponsored regional events, and attendance at annual public sector tradeshows to promote NCPA contract awareness. Fortinet will also provide support on marketing efforts executed by our authorized resellers. While each reseller will operate their own marketing program, Fortinet will assist its authorized resellers by providing in depth information on its products and will also outline the value proposition of the NCPA contract. • Describe how you intend to introduce NCPA to your company. Fortinet understands that effective communication to our sales team regarding the awarded NCPA contract is crucial to our success as a NCPA contract holder. Our SLED Contracts Team will take the lead on introducing the NCPA contract to Fortinet Sales Account Managers responsible for sales to the SLED market. This team will also introduce the contract to Channel Managers responsible for recruiting and supporting resellers who serve this market. City Council 14 — 27 8/20/2024 F:::RTnET Response to RFP# 40-22 Upon contract award, our SLED Contracts Team will utilize the following methods to introduce NCPA to our company: • Group Conference Calls • Training Webinars • Training Materials • Ongoing Contract Use Monitoring • Ongoing Contract Promotion • Describe your firm's capabilities and functionality of your on-line catalog / ordering website. Since Fortinet uses a channel model for sales, we do not have, nor do we intend to implement, an ordering website for the NCPA contract. What we do provide is our website (www.fortinet.com) that SLED customers can use to find detailed information on our products and services and to access technical support. In addition, we have a contracts site (www.fortinet.com/resources/sled- contracts- rg ants) within our website that will have a dedicated page for the NCPA contract that will provide information on how to use our NCPA contract and assists customers to connect with qualified and capable authorized resellers who serve their geographic market. • Describe your company's Customer Service Department (hours of operation, number of service centers, etc.) To provide effective support to a customer base that spans the globe, Fortinet has made it a priority to build a best -in class global infrastructure for technical assistance and warranty/maintenance support. This infrastructure features three global Centers of Expertise (COE) supplemented by regional Technical Assistance Centers (TACs). It also includes 35 hardware storage facilities worldwide and 200 regional depots. This infrastructure provides the foundation for FortiCare Services (Attachment 3), the program through which we will provide support for products covered by warranty and, thereafter, maintenance support for products covered by a FortiCare maintenance plan. Green Initiatives (if applicable) o As our business grows, we want to make sure we minimize our impact on the Earth's climate. We are taking every step we can to implement innovative and responsible environmental practices throughout NCPA to reduce our carbon footprint, reduce waste, energy conservation, ensure efficient computing and much more. To that effort we ask respondents to provide their companies environmental policy and/or green initiative. Fortinet is focused on reducing the environmental footprint of our customers by innovating highly efficient, integrated appliances and cloud -based security solutions. Product Design & Life Cycle Mana eg ment: When it comes to our products, environmental sustainability is a top priority at the design stage and throughout the entire product lifecycle. This includes product energy use and efficiency, the safety of material inputs required for proper product operations (e.g., chemicals, water), ease of reuse and recycling, and proper disposal at the end of life. All of our products comply with all globally recognized product environmental compliance directives and regulations. We are also working to eliminate PVC from Product Packaging. City Council 14 — 28 8/20/2024 F:::RTnET Response to RFP# 40-22 Regarding compliance with the WEEE directive, Fortinet requires its distributors and resellers worldwide to perform an environmentally friendly, WEEE-compliant collection of discarded products at no charge to the user. Energy Management: Years of dedicated innovation and the development of the industry's only security -focused processors have allowed Fortinet to integrate multiple security and networking functions into a single, energy -efficient platform. This has resulted in appliances that use less power, space, and cooling. In addition, Fortinet's family of proprietary secure processor units (SPUs) are built for power and efficiency. As a result, Fortinet produces the most energy -efficient appliances in the industry, helping our customers and partners reduce their environmental footprint. These advanced security solutions consume as much as 3X fewer resources than traditional appliances, helping lower the ecological impact of data centers, which consume around 2% of all energy worldwide. Climate Change and Environmental Mana eg ment: Fortinet takes its responsibility to the environment seriously. We have pledged to reduce our impact on climate change and have taken steps to mitigate our environmental footprint. From an operations standpoint, we are committed to driving an environmentally low impact business, including energy, air pollution, waste, and water, across our globally distributed offices, facilities, and data centers. This includes monitoring and managing our impact on the climate from owned operations and supply chains related to greenhouse gas emissions, energy efficiency, and renewable energy procurement; the ability to recover from and manage risks, such as the impact of more extreme weather events and natural disasters; and transition risks, such as the increasing cost of energy and customer expectations related to energy and emissions. Fortinet invests in renewable electricity and sustainable projects. All of Fortinet's owned facilities around the world run on 100% renewable electricity. Furthermore, Fortinet's recent headquarters expansion is a state-of-the-art 172,000-square-foot and LEED-Gold certified. This all electric, net -zero facility has implemented multiple energy efficiency measures including solar panels and radiant cooling, which uses 30% less energy than a standard building and conserves 76,800 gallons of water annually. Fortinet also incentivizes employees at its headquarters to reduce their environmental footprint by providing onsite solar -powered EV Charging Stations, preferred parking spaces for sustainable energy vehicles, and installed bike racks. Fortinet works with supply chain and logistics service providers committed to ensuring the application and enforcement of environmental policies aimed at reducing air emissions and pollutions by promoting the use of clean fuels, transportation network optimization, and investing in fuel -saving technologies. We have local RMA depots in over 20 countries and central regional depots in North America, Europe, and Asia. These help us reduce transportation -related emissions by minimizing shipping distances and consolidating shipments, collecting defective products at centralized locations, performing local repairs, and recycling defective units in compliance with local regulations. • Anti -Discrimination Policy (if applicable) o Describe your organizations' anti -discrimination policy. At Fortinet we believe everyone should be treated equally regardless of race, sex, gender identification, sexual orientation, national origin, native language, religion, age, disability, marital status, citizenship, genetic information, pregnancy, or any other characteristic protected by law. In support of this Fortinet strives to provide a work environment where everyone can work City Council 14 — 29 8/20/2024 F:::RTnET Response to RFP# 40-22 together comfortably and productively. Each individual has the right to work in a professional atmosphere that promotes equal opportunity and prohibits discriminatory practices, including sexual and other forms of prohibited harassment. Fortinet's anti -discrimination and anti - harassment policy prohibits all forms of harassment based on an individual's race, color, religion, sex (including pregnancy, childbirth, breastfeeding, and related medical condition), age, national origin, disability, sexual orientation, gender (including gender identity and expression), marital status (including registered domestic partnership status), civil union status, familial status, ancestry, physical or mental disability, medical condition, genetic information or traits, caregiver status, citizenship status, Civil Air Patrol status, military or veteran status, status as a victim of domestic violence, assault, or stalking, or any other characteristic protected by applicable federal, state, or local laws. This policies applies to all employees of Fortinet, including supervisors and managers, as well as to customers, partners, vendors, and any other third parties we do business with. Vendor Certifications (if applicable) Provide a copy of all current licenses, registrations and certifications issued by federal, state and local agencies, and any other licenses, registrations or certifications from any other governmental entity with jurisdiction, allowing respondent to perform the covered services including, but not limited to, licenses, registrations, or certifications. Certifications can include M/WBE, HUB, and manufacturer certifications for sales and service. Fortinet is committed to innovation and excellence and we are our proud to meet and exceed a wide range of national, regional, and international requirements, and our solutions and services have earned the respect of independent third -party testing labs around the world. Fortinet's submitted Product Certifications Brochure (Attachment 4) outlines the certifications our products have received and contains access to our Certifications Resource Center that serves as the repository for product compliance reports, certifications, and independent validation results. In addition to the product certifications outlined in our Product Certifications Brochure, we wish to make you aware of the following certifications: • ISO 9001:2015, Quality Management System: the scope of this certificate covers the design, development, and manufacture of Network Security Products and the Delivery of Associated Security Services and Support. Our price list includes selected products that are certified for compliance under the US National Information Assurance Program Common Criteria Evaluation and Validation Scheme (CCEVS). • Our price list includes selected products certified by the National Institute of Standards and Technology for compliance with FIPS 140-2, Security Requirements for Cryptographic Modules. City Council 14 — 30 8/20/2024 F:::RTnET Response to RFP# 40-22 TAB 5 PRODUCTS AND SERVICES Respondent shall perform and provide these products and/or services under the terms of this agreement. The supplier shall assist the end user with making a determination of their individual needs. Fortinet's goal, if awarded a contract, is to establish a productive and mutually beneficial partnership with the Texas Region 14 ESC and NCPA. To accomplish this, Fortinet is proud to offer our entire line of products and services in response to this RFP and Fortinet agrees to work closely with customers utilizing the awarded contract to assist them in determining their individual needs for IT Security Products and Data Protection Solutions. Warranty Proposal should address the following warranty information: • Applicable warranty and/or guarantees of equipment and installations including any conditions and response time for repair and/or replacement of any components during the warranty period. • Availability of replacement parts • Life expectancy of equipment under normal use • Detailed information as to proposed return policy on all equipment Fortinet's submitted EULA and Warranty Terms (Attachment 5) complies with this requirement. Products • Vendor shall provide equipment, materials and products that are new unless otherwise specified, of good quality and free of defects As the manufacturer Fortinet understands that good quality is critical to satisfying customers and retaining their loyalty. In our endeavor to continuously achieve this objective, Fortinet has actively participated in third -party audits and testing since we first opened our doors. Through these third - party audits and testing we validate our design and development processes which help us guarantee that our products and solutions meet and exceed a wide range of regional, national, and international standard quality requirements. Construction • Vendor shall perform services in a good and workmanlike manner and in accordance with industry standards for the service provided. Fortinet is committed to ensuring that all of our products and services consistently exceed industry benchmarks and remain compliant with public sector regulatory frameworks and standards. The following is a list of suggested (but not limited to) IT Security Products and Data Protection Solutions categories. List all categories along with manufacturer that you are responding with: • Security Threat Intelligence Products and Services • Security Information and Event Management (SIEM) • Managed Security Services • Security awareness training • Security Consulting Services • Content Filtering • Anti -Virus / Anti -Spam • Network Forensics / Real — Time Monitoring • Network Access Control • Firewalls Network Sterage / Ornhiyinn City Council 14 — 31 8/20/2024 F:::RTnET Response to RFP# 40-22 • Wireless Networks • Networking Hardware • Application Security • Cloud Security • Email Security and +v+eg • Data Protection o Risk Assessments o Encryption and Pseudonymization o Data Destruction • Data Loss Prevention (DLP) • Consulting Services We have edited the list above to show which suggested capabilities Fortinet's products and services address. Described at a high level, our products and services include: Physical and virtual cybersecurity appliances (hardware appliances and perpetual software licenses) that provide functional capabilities in these areas: o Network Security o Cloud Security o Web Application Security o Email Security o Advanced Threat Protection o Secure Unified Access o Endpoint Security o Management and Analytics FortiGuard Security Subscriptions (term software licenses) for: o Application control o Intrusion prevention o Antivirus o Sandboxing o IP reputation and anti-botnet o Web filtering o Web application security o Credential stuffing defense o Database security o Virus outbreak protection o Content disarm and reconstruction o Security rating • Hardware and software maintenance plans (as described in Section 4.12) 0 8 x 5 support 0 24 x 7 support 0 360o support (24 x 7 support with proactive monitoring and health checks) o Premium support services Professional Services o Remote engineering support o Onsite engineering support • Training o Onsite courses o Self -paced courses o Instructor -led virtual courses City Council 14 — 32 8/20/2024 F:::RTinET Response to RFP# 40-22 TAB REFERENCES Provide at least ten (10) customer references for products and/or services of similar scope dating within the past three (3) years. Please provide a range of references across all eligible government entity groups including K-12, higher education, city, county, or non-profit entities. All references should include the following information from the entity: • Entity Name • Contact Name and Title • City and State • Phone • Email • Years Serviced • Description of Services • Annual Volume NCPA also accepts Procurated review scores to evaluate relationships with their customers. Vendors without a current Procurated score will be rated based solely on the references provided, and will not be penalized for lack of Procurated scoring. To find out your company's Procurated score please go to https://www.procurated.com. City Council 14 — 33 8/20/2024 F:::RTnET Response to RFP# 40-22 TAB 7 PRICING Please submit price list electronically via our online Bonfire portal (pricing can be submitted as Discount off MSRP, cost plus, etc). Products, services, warranties, etc. should be included in price list. Prices submitted will be used to establish the extent of a respondent's products and services (Tab 5) that are available and also establish pricing per item. Price lists must contain the following: • Product name and part number (include both manufacturer part number and respondent part number if different from manufacturers). • Description • Vendor's List Price • Percent Discount to NCPA participating entities Fortinet's submitted price list complies with this requirement. Not To Exceed Pricing • NCPA requests pricing be submitted as "not to exceed pricing" for any participating entity. • The awarded vendor can adjust submitted pricing lower but cannot exceed original pricing submitted for solicitation. • NCPA requests that vendor honor lower pricing for similar size and scope purchases to other members. Fortinet will ensure that all resellers authorized to sell through an awarded NCPA contract understand that the prices on our price list are "not to exceed prices"; however, since size and scope are only two of multiple factors that can impact the price of a customer's unique security solution, we cannot honor the request to honor lower pricing for similar size and scope purchases. City Council 14 — 34 8/20/2024 F:.: R T n E T Response to RFP# 40-22 TAB 8 VALUE ADDED PRODUCTS AND SERVICES Include any additional products and/or services available that vendor currently performs in their normal course of business that is not included in the scope of the solicitation that you think will enhance and add value to this contract for Region 14 ESC and all NCPA participating entities. If awarded a NCPA contract in response to this RFP, as value adds to our submitted offer of our entire line of products and services, Fortinet is proud to offer the following two FREE additional programs: 1. FORTINET'S FREE GRANT SUPPORT PROGRAM Public sector organizations face unique challenges in defending against the constant changing cyber threats landscape and most public sector agencies lack adequate funding to purchase the protection resources they need. Federal and state grants can provide valuable funding to the public sector that initiates or expands purchases they otherwise would not be able to. Through Fortinet's free Grant Support Program, Fortinet helps empower public sector customers to find and access grant funding to make their mission critical projects happen! Our FREE Grant Support Program helps public sector agencies by: a. Providing comprehensive grants information for entities that are understaffed or lack experience with grant applications and don't know where to start. Finding and applying for grants can be a daunting and complicated task, but doing so is imperative right now for the public sector since currently there are billions of dollars in funding available for cybersecurity projects and solutions. Our Grant Support Program was created to assist entities successfully find and apply for grants. Our Grants Support Program consultants provide extensive grant resources and services, such as: in-depth grant research, grant funding availability reports, and grant application development assistance. We of course cannot guarantee funding, but we will do everything we can to assist an entity in submitting a successful grant application. b. Identifying all available grant funding for technology -rich projects. With a few specifics about an entity's needs, our Grants Support Program consultants will develop customized reports on funding opportunities that are the best fit for the project. The reports will identify the most relevant fenders based on the project type, the organization type (or types, in the case of a consortium project), and the geographic location where the project will be deployed. Then our consultants will review their findings with the entity on a conference call scheduled at the entity's convenience. We will also continually monitor granting sources and will provide notifications to the entity when grants or funding opportunities are released that best serve their project. c. Providing customized consultation services that help develop project ideas and even expand cybersecurity modernization initiatives. Grants tend to be awarded to projects that address a clearly identified need, either for a specific population or a defined geographic community. In addition, fundable projects City Council 14 — 35 8/20/2024 F:::RTnET Response to RFP# 40-22 should have measurable objectives and a compelling reason for including the security technology needed to achieve those objectives. Our Grants Support Program consultants will help entities clarify and articulate their specific technology needs, assist in the development of measurable objectives, and provide input on other elements that might further strengthen the entities project proposal, application or other information required by the grant. Grants Support Program Frequently Asked Questions: • What's the benefit of utilizing Fortinet's Grants Support Program? Our Grants Support Program is designed to help public sector entities overcome financial barriers that prevent our customers from purchasing Fortinet's cybersecurity solutions. We provide free support by assigning a grant expert who works with the entity throughout the entire grants process. • What entities are eligible to receive grant funds? The public sector entities listed below are generally eligible to apply for federal or state grant funding opportunities as long as the project identified on the entity's submitted grant application meets the grant requirements. Government Organizations o State governments o County governments o City or township governments o Special district governments o Native American tribal governments Education Organizations o Independent school districts o Public and state controlled institutions of higher education o Private institutions of higher education Public Housing Organizations o Public housing authorities o Native American housing authorities • What are the top grant funding streams for cybersecurity? Thousands of grant opportunities are made available each year in the US, providing billions of dollars in funding. Of course, not all of these opportunities are technology -friendly; however the following grant opportunities have been identified as the top funding streams for cybersecurity: o Infrastructure Investment and Jobs Act, including State and Local Cybersecurity Grant Program ($550B) o Stimulus funding from the American Rescue Plan ($1.9T) o Tying into energy and climate funding available through Inflation Reduction Act ($36913) o Tying into annual funding available from 26 federal grant -making agencies ($70013) • Where do I get more information on Fortinet's Grants Support Program? For more information on this program, please email us at: sled_ capture(&fortinet.com. City Council 14 — 36 8/20/2024 F:::RTnET Response to RFP# 40-22 2. FORTINET'S FREE SECURITY AWARENESS AND TRAINING PROGRAM The US education sector is in the midst of a cyber crisis. The shift to cloud -based virtual learning during COVID-19 created the perfect storm for threat actors to capitalize on. Education IT departments, already weathering a shortage of physical resources, funding, and staffing, unexpectedly faced an even greater challenge. Without the human resources and advanced solutions to secure vulnerabilities in their networks, K-12 school districts and higher- ed institutions became easy targets. In July 2022, Fortinet participated in the White House National Cyber Workforce and Education Summit where Fortinet participated in important discussions around solutions to help address this significant challenge facing the cybersecurity industry in the United States. As a result of these discussions, Fortinet announced its commitment to expand its existing Information Security Awareness and Training program to make it available to all K-12 school districts and systems across the United States for FREE! Schools that take advantage of this free offering will be training their staff and faculty with skillsets and knowledge that could prevent them from falling victim to popular threat methods, such as social engineering attempts, reducing the likelihood of a security breach. Fortinet's Security Awareness and Training program was developed by Fortinet's award -winning Training Institute. With content incorporating threat intelligence insights from FortiGuard Labs, this training arms faculty and staff with the latest knowledge, guidance, and tips to make smarter choices when confronted by cyberattacks and other security risks. Security Awareness and Training Frequently Asked Questions: • What key benefits will K-12 school districts and systems gain from participating in this training? By participating in our Security Awareness and Training K-12 school districts and systems will: o Have trained faculty and staff that will prevent or recognize and report potential security threats whether in an email, online, or in a physical setting. o Satisfy city, county, state, and national requirements for security and awareness training across major frameworks (this training aligns to the National Institute of Standards and Technology framework -NIST 800-50 and NIST 800-16). o Prevent the impact of breaches caused by faculty and staff errors and/or poor judgement. o Ensure faculty and staff are properly trained on data privacy and security, and are motivated to protect personally identifiable information and other sensitive data. • How comprehensive is this free training program? We are offering the premium version of our Information Security Awareness and Training program free of charge to K-12 school districts and systems. This premium training consists of 23 Base Modules, 10 Re -engagement Modules and 18 Reinforcement Modules and is delivered in multiple formats, including video, text, audio, imagery, and animation, which appeals to different learning styles to ensure that the training is understood and applied. • Where do I get more information on this training? For more information on this program visiting our website at htip://fortinet.com/Kl2traininizUS, or to register for this training, please email us at kl2trainingUS06ortinet.com. City Council 14 — 37 8/20/2024 FEW: :RTinET Response to RFP# 40-22 TAB 9 REQUIRED DOCUMENTS • Federal Funds Certifications • Clean Air and Water Act & Debarment Notice • Contractors Requirements • Required Clauses for Federal Assistance by FTA • Federal Required Signatures • Antitrust Certification Statements Texas Government Code § 2155.005 • State Notice Addendum City Council 14 — 38 8/20/2024 FEDERAL FUNDS CERTIFICATIONS Participating Agencies may elect to use federal funds to purchase under the Master Agreement. The following certifications and provisions may be required and apply when a Participating Agency expends federal funds for any purchase resulting from this procurement process. Pursuant to 2 C.F.R. § 200.326, all contracts, including small purchases, awarded by the Participating Agency and the Participating Agency's subcontractors shall contain the procurement provisions of Appendix II to Part 200, as applicable. APPENDIX II TO 2 CFR PART 200 (A) Contracts for more than the simplified acquisition threshold currently set at $250,000, which is the inflation adjusted amount determined by the Civilian Agency Acquisition Council and the Defense Acquisition Regulations Council (Councils) as authorized by 41 U.S.C. 1908, must address administrative, contractual, or legal remedies in instances where contractors violate or breach contract terms, and provide for such sanctions and penalties as appropriate. • Pursuant to Federal Rule (A) above, when a Participating Agency expends federal funds, the Participating Agency and Offeror reserves all rights and privileges under the applicable laws and regulations with respect to this procurement in the event of breach of contract by either party. (B) Termination for cause and for convenience by the grantee or subgrantee including the manner by which it will be effected and the basis for settlement. (All contracts in excess of $10,000) • Pursuant to Federal Rule (B) above, when a Participating Agency expends federal funds, the Participating Agency reserves the right to terminate any agreement in excess of $10,000 resulting from this procurement process in the event of a breach or default of the agreement by Offeror as detailed in the terms of the contract (C) Equal Employment Opportunity. Except as otherwise provided under 41 CFR Part 60, all contracts that meet the definition of "federally assisted construction contract" in 41 CFR Part 60- 1.3 must include the equal opportunity clause provided under 41 CFR 60-1.4(b), in accordance with Executive Order 11246, "Equal Employment Opportunity" (30 CFR 12319, 12935, 3 CFR Part, 1964-1965 Comp., p. 339), as amended by Executive Order 11375, "Amending Executive Order 11246 Relating to Equal Employment Opportunity," and implementing regulations at 41 CFR part 60, "Office of Federal Contract Compliance Programs, Equal Employment Opportunity, Department of Labor." • Pursuant to Federal Rule (C) above, when a Participating Agency expends federal funds on any federally assisted construction contract, the equal opportunity clause is incorporated by reference herein. (D) Davis -Bacon Act, as amended (40 U.S.C. 3141-3148). When required by Federal program legislation, all prime construction contracts in excess of $2,000 awarded by non -Federal entities must include a provision for compliance with the Davis -Bacon Act (40 U.S.C. 3141-3144, and 3146-3148) as supplemented by Department of Labor regulations (29 CFR Part 5, "Labor Standards Provisions Applicable to Contracts Covering Federally Financed and Assisted Construction"). In accordance with the statute, contractors must be required to pay wages to laborers and mechanics at a rate not less than the prevailing wages specified in a wage determination made by the Secretary of Labor. In addition, contractors must be required to pay City Council 14 — 39 8/20/2024 wages not less than once a week. The non -Federal entity must place a copy of the current prevailing wage determination issued by the Department of Labor in each solicitation. The decision to award a contract or subcontract must be conditioned upon the acceptance of the wage determination. The non- Federal entity must report all suspected or reported violations to the Federal awarding agency. The contracts must also include a provision for compliance with the Copeland "Anti -Kickback" Act (40 U.S.C. 3145), as supplemented by Department of Labor regulations (29 CFR Part 3, "Contractors and Subcontractors on Public Building or Public Work Financed in Whole or in Part by Loans or Grants from the United States"). The Act provides that each contractor or subrecipient must be prohibited from inducing, by any means, any person employed in the construction, completion, or repair of public work, to give up any part of the compensation to which he or she is otherwise entitled. The non -Federal entity must report all suspected or reported violations to the Federal awarding agency. Pursuant to Federal Rule (D) above, when a Participating Agency expends federal funds during the term of an award for all contracts and subgrants for construction or repair, offeror will be in compliance with all applicable Davis -Bacon Act provisions Any Participating Agency will include any current and applicable prevailing wage determination in each issued solicitation and provide Offeror with any required documentation and/or forms that must be completed by Offeror to remain in compliance the applicable Davis -Bacon Act provisions. (E) Contract Work Hours and Safety Standards Act (40 U.S.C. 3701-3708). Where applicable, all contracts awarded by the non -Federal entity in excess of $100,000 that involve the employment of mechanics or laborers must include a provision for compliance with 40 U.S.C. 3702 and 3704, as supplemented by Department of Labor regulations (29 CFR Part 5). Under 40 U.S.C. 3702 of the Act, each contractor must be required to compute the wages of every mechanic and laborer on the basis of a standard work week of 40 hours. Work in excess of the standard work week is permissible provided that the worker is compensated at a rate of not less than one and a half times the basic rate of pay for all hours worked in excess of 40 hours in the work week. The requirements of 40 U.S.C. 3704 are applicable to construction work and provide that no laborer or mechanic must be required to work in surroundings or under working conditions which are unsanitary, hazardous or dangerous. These requirements do not apply to the purchases of supplies or materials or articles ordinarily available on the open market, or contracts for transportation or transmission of intelligence. • Pursuant to Federal Rule (E) above, when a Participating Agency expends federal funds, offeror certifies that offeror will be in compliance with all applicable provisions of the Contract Work Hours and Safety Standards Act during the term of an award for all contracts by Participating Agency resulting from this procurement process. (F) Rights to Inventions Made Under a Contract or Agreement. If the Federal award meets the definition of "funding agreement" under 37 CFR §401.2 (a) and the recipient or subrecipient wishes to enter into a contract with a small business firm or nonprofit organization regarding the substitution of parties, assignment or performance of experimental, developmental, or research work under that "funding agreement," the recipient or subrecipient must comply with the requirements of 37 CFR Part 401, "Rights to Inventions Made by Nonprofit Organizations and Small Business Firms Under Government Grants, Contracts and Cooperative Agreements," and any implementing regulations issued by the awarding agency. City Council 14 — 40 8/20/2024 • Pursuant to Federal Rule (F) above, when federal funds are expended by Participating Agency, the offeror certifies that during the term of an award for all contracts by Participating Agency resulting from this procurement process, the offeror agrees to comply with all applicable requirements as referenced in Federal Rule (F) above (G) Clean Air Act (42 U.S.C. 7401-7671q.) and the Federal Water Pollution Control Act (33 U.S.C. 1251-1387), as amended— Contracts and subgrants of amounts in excess of $150,000 must contain a provision that requires the non- Federal award to agree to comply with all applicable standards, orders or regulations issued pursuant to the Clean Air Act (42 U.S.C. 7401- 7671q) and the Federal Water Pollution Control Act as amended (33 U.S.C. 1251- 1387). Violations must be reported to the Federal awarding agency and the Regional Office of the Environmental Protection Agency (EPA). • Pursuant to Federal Rule (G) above, when federal funds are expended by Participating Agency, the offeror certifies that during the term of an award for all contracts by Participating Agency member resulting from this procurement process, the offeror agrees to comply with all applicable requirements as referenced in Federal Rule (G) above (H) Debarment and Suspension (Executive Orders 12549 and 12689)—A contract award (see 2 CFR 180.220) must not be made to parties listed on the government wide exclusions in the System for Award Management (SAM), in accordance with the OMB guidelines at 2 CFR 180 that implement Executive Orders 12549 (3 CFR part 1986 Comp., p. 189) and 12689 (3 CFR part 1989 Comp., p. 235), "Debarment and Suspension." SAM Exclusions contains the names of parties debarred, suspended, or otherwise excluded by agencies, as well as parties declared ineligible under statutory or regulatory authority other than Executive Order 12549. Pursuant to Federal Rule (H) above, when federal funds are expended by Participating Agency, the offeror certifies that during the term of an award for all contracts by Participating Agency resulting from this procurement process, the offeror certifies that neither it nor its principals is presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participation by any federal department or agency. If at any time during the term of an award the offeror or its principals becomes debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participation by any federal department or agency, the offeror will notify the Participating Agency (1) Byrd Anti -Lobbying Amendment (31 U.S.C. 1352)—Contractors that apply or bid for an award exceeding $100,000 must file the required certification. Each tier certifies to the tier above that it will not and has not used Federal appropriated funds to pay any person or organization for influencing or attempting to influence an officer or employee of any agency, a member of Congress, officer or employee of Congress, or an employee of a member of Congress in connection with obtaining any Federal contract, grant or any other award covered by 31 U.S.C. 1352. Each tier must also disclose any lobbying with non -Federal funds that takes place in connection with obtaining any Federal award. Such disclosures are forwarded from tier to tier up to the non -Federal award. • Pursuant to Federal Rule (1) above, when federal funds are expended by Participating Agency, the offeror certifies that during the term and after the awarded term of an award for all contracts by Participating Agency resulting from this procurement process, the City Council 14 — 41 8/20/2024 offeror certifies that it is in compliance with all applicable provisions of the Byrd Anti - Lobbying Amendment (31 U.S.C. 1352). The undersigned further certifies that: o No Federal appropriated funds have been paid or will be paid for on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of congress, or an employee of a Member of Congress in connection with the awarding of a Federal contract, the making of a Federal grant, the making of a Federal loan, the entering into a cooperative agreement, and the extension, continuation, renewal, amendment, or modification of a Federal contract, grant, loan, or cooperative agreement. o If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of congress, or an employee of a Member of Congress in connection with this Federal grant or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying", in accordance with its instructions. o The undersigned shall require that the language of this certification be included in the award documents for all covered sub -awards exceeding $100,000 in Federal funds at all appropriate tiers and all subrecipients shall certify and disclose accordingly. RECORD RETENTION REQUIREMENTS FOR CONTRACTS INVOLVING FEDERAL FUNDS When federal funds are expended by Participating Agency for any contract resulting from this procurement process, offeror certifies that it will comply with the record retention requirements detailed in 2 CFR § 200.334. The offeror further certifies that offeror will retain all records as required by 2 CFR § 200.334 for a period of three years after grantees or subgrantees submit final expenditure reports or quarterly or annual financial reports, as applicable, and all other pending matters are closed. CERTIFICATION OF COMPLIANCE WITH THE ENERGY POLICY AND CONSERVATION ACT When Participating Agency expends federal funds for any contract resulting from this procurement process, offeror certifies that it will comply with the mandatory standards and policies relating to energy efficiency which are contained in the state energy conservation plan issued in compliance with the Energy Policy and Conservation Act (42 U.S.C. 6321 et seq.; 49 C.F.R. Part 18). CERTIFICATION OF COMPLIANCE WITH BUY AMERICA PROVISIONS To the extent purchases are made with Federal Highway Administration, Federal Railroad Administration, or Federal Transit Administration funds, offeror certifies that its products comply with all applicable provisions of the Buy America Act and agrees to provide such certification or applicable waiver with respect to specific products to any Participating Agency upon request. Participating Agencies will clearly identify whether Buy America Provisions apply in any issued solicitation. Purchases made in accordance with the Buy America Act must still follow the applicable procurement rules calling for free and open competition. City Council 14 — 42 8/20/2024 CERTIFICATION OF ACCESS TO RECORDS Offeror agrees that the Inspector General of the Agency or any of their duly authorized representatives shall have access to any non -financial documents, papers, or other records of offeror that are pertinent to offeror's discharge of its obligations under the Contract for the purpose of making audits, examinations, excerpts, and transcriptions. The right also includes timely and reasonable access to offeror's personnel for the purpose of interview and discussion relating to such documents. This right of access will last only as long as the records are retained. CERTIFICATION OF APPLICABILITY TO SUBCONTRACTORS Offeror agrees that all contracts it awards pursuant to the Contract shall be bound by the foregoing terms and conditions. City Council 14 — 43 8/20/2024 CLEAN AIR AND WATER ACT AND DEBARMENT NOTICE By the signature below (Under Federal Required Signatures), I, the Vendor, am in compliance with all applicable standards, orders or regulations issued pursuant to the Clean Air Act of 1970, as Amended (42 U.S. C. 1857 (h), Section 508 of the Clean Water Act, as amended (33 U.S.C. 1368), Executive Order 117389 and Environmental Protection Agency Regulation, 40 CFR Part 15 as required under OMB Circular A-102, Attachment O, Paragraph 14 (1) regarding reporting violations to the grantor agency and to the United States Environment Protection Agency Assistant Administrator for the Enforcement. I hereby further certify that my company has not been debarred, suspended or otherwise ineligible for participation in Federal Assistance programs under Executive Order 12549, "Debarment and Suspension", as described in the Federal Register and Rules and Regulations. City Council 14 — 44 8/20/2024 CONTRACTOR REQUIRMENTS Contractor Certification Contractor's Employment Eligibility By entering the contract, Contractor warrants compliance with the Federal Immigration and Nationality Act (FINA), and all other federal and state immigration laws and regulations. The Contractor further warrants that it is in compliance with the various state statues of the states it is will operate this contract in. Participating Government Entities including School Districts may request verification of compliance from any Contractor or subcontractor performing work under this Contract. These Entities reserve the right to confirm compliance in accordance with applicable laws. Should the Participating Entities suspect or find that the Contractor or any of its subcontractors are not in compliance, they may pursue any and all remedies allowed by law, including, but not limited to: suspension of work, termination of the Contract for default, and suspension and/or debarment of the Contractor. All costs necessary to verify compliance are the responsibility of the Contractor. The offeror complies and maintains compliance with the appropriate statutes which requires compliance with federal immigration laws by State employers, State contractors and State subcontractors in accordance with the E-Verify Employee Eligibility Verification Program. Contractor shall comply with governing board policy of the NCPA Participating entities in which work is being performed. Fingerprint & Background Checks If required to provide services on school district property at least five (5) times during a month, contractor shall submit a full set of fingerprints to the school district if requested of each person or employee who may provide such service. Alternately, the school district may fingerprint those persons or employees. An exception to this requirement may be made as authorized in Governing Board policy. The district shall conduct a fingerprint check in accordance with the appropriate state and federal laws of all contractors, subcontractors or vendors and their employees for which fingerprints are submitted to the district. Contractor, subcontractors, vendors and their employees shall not provide services on school district properties until authorized by the District. The offeror shall comply with fingerprinting requirements in accordance with appropriate statutes in the state in which the work is being performed unless otherwise exempted. Contractor shall comply with governing board policy in the school district or Participating Entity in which work is being performed. Business Operations in Sudan, Iran In accordance with A.R.S. 35-391 and A.R.S. 35-393, the Contractor hereby certifies that the contractor does not have scrutinized business operations in Sudan and/or Iran. City Council 14 — 45 8/20/2024 REQUIRED CLAUSES FOR FEDERAL ASSISTANCE PROVIDED BY FTA ACCESS TO RECORDS AND REPORTS Contractor agrees to: a) Maintain all non -financial books, records, accounts and reports required under this Contract for a period of not less than two (2) years after the date of termination or expiration of this Contract or any extensions thereof except in the event of litigation or settlement of claims arising from the performance of this Contract, in which case Contractor agrees to maintain same until the FTA Administrator, the U.S. DOT Office of the Inspector General, the Comptroller General, or any of their duly authorized representatives, have disposed of all such litigation, appeals, claims or exceptions related thereto. b) Permit any of the foregoing parties to inspect all non -financial work, materials, and other data and records that pertain to the Project, and to audit the non -financial books, records, and accounts that pertain to the Project and to reproduce by any means whatsoever or to copy excerpts and transcriptions as reasonably needed for the purpose of audit and examination. The right of access detailed in this section continues only as long as the records are retained. FTA does not require the inclusion of these requirements of Article 1.01 in subcontracts. CIVIL RIGHTS / TITLE VI REQUIREMENTS 1) Non-discrimination. In accordance with Title VI of the Civil Rights Act of 1964, as amended, 42 U.S.C. § 2000d, Section 303 of the Age Discrimination Act of 1975, as amended, 42 U.S.C. § 6102, Section 202 of the Americans with Disabilities Act of 1990, as amended, 42 U.S.C. § 12132, and Federal Transit Law at 49 U.S.C. § 5332, Contractor or subcontractor agrees that it will not discriminate against any employee or applicant for employment because of race, color, creed, national origin, sex, marital status age, or disability. In addition, Contractor agrees to comply with applicable Federal implementing regulations and other applicable implementing requirements FTA may issue that are flowed to Contractor from Awarding Participating Agency. 2) Equal Employment Opportunity. The following Equal Employment Opportunity requirements apply to this Contract: a. Race, Color, Creed, National Origin, Sex. In accordance with Title VII of the Civil Rights Act, as amended, 42 U.S.C. § 2000e, and Federal Transit Law at 49 U.S.C. § 5332, the Contractor agrees to comply with all applicable Equal Employment Opportunity requirements of U.S. Dept. of Labor regulations, "Office of Federal Contract Compliance Programs, Equal Employment Opportunity, Department of Labor, 41 CFR, Parts 60 et seq., and with any applicable Federal statutes, executive orders, regulations, and Federal policies that may affect construction activities undertaken in the course of this Project. Contractor agrees City Council 14 — 46 8/20/2024 to take affirmative action to ensure that applicants are employed, and that employees are treated during employment, without regard to their race, color, creed, national origin, sex, marital status, or age. Such action shall include, but not be limited to, the following: employment, upgrading, demotion or transfer, recruitment or recruitment advertising, layoff or termination, rates of pay or other forms of compensation; and selection for training, including apprenticeship. In addition, Contractor agrees to comply with any implementing requirements FTA may issue that are flowed to Contractor from Awarding Participating Agency. b. Acme. In accordance with the Age Discrimination in Employment Act (ADEA) of 1967, as amended, 29 U.S.C. Sections 621 through 634, and Equal Employment Opportunity Commission (EEOC) implementing regulations, "Age Discrimination in Employment Act", 29 CFR Part 1625, prohibit employment discrimination by Contractor against individuals on the basis of age, including present and prospective employees. In addition, Contractor agrees to comply with any implementing requirements FTA may issue that are flowed to Contractor from Awarding Participating Agency. c. Disabilities. In accordance with Section 102 of the Americans with Disabilities Act of 1990, as amended (ADA), 42 U.S.C. Sections 12101 et seq., prohibits discrimination against qualified individuals with disabilities in programs, activities, and services, and imposes specific requirements on public and private entities. Contractor agrees that it will comply with the requirements of the Equal Employment Opportunity Commission (EEOC), "Regulations to Implement the Equal Employment Provisions of the Americans with Disabilities Act," 29 CFR, Part 1630, pertaining to employment of persons with disabilities and with their responsibilities under Titles I through V of the ADA in employment, public services, public accommodations, telecommunications, and other provisions. d. Segregated Facilities. Contractor certifies that their company does not and will not maintain or provide for their employees any segregated facilities at any of their establishments, and that they do not and will not permit their employees to perform their services at any location under the Contractor's control where segregated facilities are maintained. As used in this certification the term "segregated facilities" means any waiting rooms, work areas, restrooms and washrooms, restaurants and other eating areas, parking lots, drinking fountains, recreation or entertainment areas, transportation, and housing facilities provided for employees which are segregated by explicit directive or are in fact segregated on the basis of race, color, religion or national origin because of habit, local custom, or otherwise. Contractor agrees that a breach of this certification will be a violation of this Civil Rights clause. 3) Solicitations for Subcontracts, Including Procurements of Materials and Equipment. In all solicitations, either by competitive bidding or negotiation, made by Contractor for work to be performed under a subcontract, including procurements of materials or leases of equipment, each potential subcontractor or supplier shall be notified by Contractor of Contractor's obligations under this Contract and the regulations relative to non-discrimination on the grounds of race, color, creed, sex, disability, age or national origin. City Council 14 — 47 8/20/2024 4) Sanctions of Non -Compliance. In the event of Contractor's non-compliance with the non-discrimination provisions of this Contract, Public Agency shall impose such Contract sanctions as it or the FTA may determine to be appropriate, including, but not limited to: 1) Withholding of payments to Contractor under the Contract until Contractor complies, and/or; 2) Cancellation, termination or suspension of the Contract, in whole or in part. Contractor agrees to include the requirements of this clause in each subcontract financed in whole or in part with Federal assistance provided by FTA, modified only if necessary to identify the affected parties. DISADVANTAGED BUSINESS PARTICIPATION This Contract is subject to the requirements of Title 49, Code of Federal Regulations, Part 26, "Participation by Disadvantaged Business Enterprises in Department of Transportation Financial Assistance Programs", therefore, it is the policy of the Department of Transportation (DOT) to ensure that Disadvantaged Business Enterprises (DBEs), as defined in 49 CFR Part 26, have an equal opportunity to receive and participate in the performance of DOT -assisted contracts. 1) Non -Discrimination Assurances. Contractor or subcontractor shall not discriminate on the basis of race, color, national origin, or sex in the performance of this Contract. Contractor shall carry out all applicable requirements of 49 CFR Part 26 in the award and administration of DOT -assisted contracts. Failure by Contractor to carry out these requirements is a material breach of this Contract, which may result in the termination of this Contract or other such remedy as public agency deems appropriate. Each subcontract Contractor signs with a subcontractor must include the assurance in this paragraph. (See 49 CFR 26.13(b)). 2) Prompt Payment. Contractor is required to pay each subcontractor performing Work under this prime Contract for satisfactory performance of that work no later than thirty (30) days after Contractor's receipt of payment for that Work from public agency. In addition, Contractor is required to return any retainage payments to those subcontractors within thirty (30) days after the subcontractor's work related to this Contract is satisfactorily completed and any liens have been secured. Any delay or postponement of payment from the above time frames may occur only for good cause following written approval of public agency. This clause applies to both DBE and non -DBE subcontractors. Contractor must promptly notify public agency whenever a DBE subcontractor performing Work related to this Contract is terminated or fails to complete its Work, and must make good faith efforts to engage another DBE subcontractor to perform at least the same amount of work. Contractor may not terminate any DBE subcontractor and perform that Work through its own forces, or those of an affiliate, without prior written consent of public agency. 3) DBE Program. In connection with the performance of this Contract, Contractor will cooperate with public agency in meeting its commitments and goals to ensure that DBEs shall have the maximum practicable opportunity to compete for subcontract work, regardless of whether a contract goal is set for this Contract. Contractor agrees to use good faith efforts to carry out a policy in the award of its subcontracts, agent agreements, and procurement contracts which will, to the fullest extent, utilize DBEs consistent with the efficient performance of the Contract. City Council 14 — 48 8/20/2024 ENERGY CONSERVATION REQUIREMENTS Contractor agrees to comply with mandatory standards and policies relating to energy efficiency which are contained in the State energy conservation plans issued under the Energy Policy and Conservation Act, as amended, 42 U.S.C. Sections 6321 et seq. and 41 CFR Part 301-10. FEDERAL CHANGES Contractor shall at all times comply with all applicable FTA regulations, policies, procedures and directives, listed directly or by reference in the Contract between Public Agency and the FTA, and those applicable regulatory and procedural updates that are communicated to Contractor by Public Agency, as they may be amended or promulgated from time to time during the term of this contract. Contractor's failure to so comply shall constitute a material breach of this Contract. INCORPORATION OF FEDERAL TRANSIT ADMINISTRATION (FTA) TERMS The provisions include, in part, certain Standard Terms and Conditions required by the U.S. Department of Transportation (DOT), whether or not expressly set forth in the preceding Contract provisions. All contractual provisions required by the DOT and applicable to the scope of a particular Contract awarded to Contractor by a Public Agency as a result of solicitation, as set forth in the most current FTA Circular 4220.1 F, published February 8`", 2016, are hereby incorporated by reference. Anything to the contrary herein notwithstanding, all FTA mandated terms shall be deemed to control in the event of a conflict with other provisions contained in this Contract. Contractor agrees not to knowingly perform any act, knowingly fail to perform any act, or refuse to comply with any reasonable public agency requests that would directly cause public agency to be in violation of the FTA terms and conditions. NO FEDERAL GOVERNMENT OBLIGATIONS TO THIRD PARTIES Agency and Contractor acknowledge and agree that, absent the Federal Government's express written consent and notwithstanding any concurrence by the Federal Government in or approval of the solicitation or award of the underlying Contract, the Federal Government is not a party to this Contract and shall not be subject to any obligations or liabilities to agency, Contractor, or any other party (whether or not a party to that contract) pertaining to any matter resulting from the underlying Contract. Contractor agrees to include the above clause in each subcontract financed in whole or in part with federal assistance provided by the FTA. It is further agreed that the clause shall not be modified, except to identify the subcontractor who will be subject to its provisions. PROGRAM FRAUD AND FALSE OR FRAUDULENT STATEMENTS Contractor acknowledges that the provisions of the Program Fraud Civil Remedies Act of 1986, as amended, 31 U.S.C. §§ 3801 et seq. and U.S. DOT regulations, "Program Fraud Civil Remedies," 49 CFR Part 31, apply to its actions pertaining to this Contract. Upon execution of the underlying Contract, Contractor certifies or affirms, to the best of its knowledge, the truthfulness and accuracy of any statement it has made, it makes, it may make, or causes to me City Council 14 — 49 8/20/2024 made, pertaining to the underlying Contract or the FTA assisted project for which this Contract Work is being performed. In addition to other penalties that may be applicable, Contractor further acknowledges that if it makes, or causes to be made, a false, fictitious, or fraudulent claim, statement, submission, or certification, the Federal Government reserves the right to impose the penalties of the Program Fraud Civil Remedies Act of 1986 on Contractor to the extent the Federal Government deems appropriate. Contractor also acknowledges that if it makes, or causes to me made, a false, fictitious, or fraudulent claim, statement, submission, or certification to the Federal Government under a contract connected with a project that is financed in whole or in part with Federal assistance originally awarded by FTA under the authority of 49 U.S.C. § 5307, the Government reserves the right to impose the penalties of 18 U.S.C. § 1001 and 49 U.S.C. § 5307 (n)(1) on the Contractor, to the extent the Federal Government deems appropriate. Contractor agrees to include the above clauses in each subcontract financed in whole or in part with Federal assistance provided by FTA. It is further agreed that the clauses shall not be modified, except to identify the subcontractor who will be subject to the provisions. City Council 14 — 50 8/20/2024 FEDERAL REQUIRED SIGNATURES Offeror certifies compliance with all provisions, laws, acts, regulations, etc. as specifically noted in the pages above. It is further acknowledged that offeror agrees to comply with all federal, state, and local laws, rules, regulations and ordinances as applicable. Offeror Fortinet, Inc. Address 899 Kifer Road City/State/Zip Sunnyvale, CA 94086 Authorized Signature __- Date 11 /15/2022 City Council 14 — 51 8/20/2024 ANTITRUST CERTIFICATION STATEMENTS TEXAS GOVERNMENT CODE § 2155.005 I affirm under penalty of perjury of the laws of the State of Texas that: (1) 1 am duly authorized to execute this contract on my own behalf or on behalf of the company, corporation, firm, partnership or individual (Company) listed below; (2) In connection with this bid, neither I nor any representative of the Company has violated any provision of the Texas Free Enterprise and Antitrust Act, Tex. Bus. & Comm. Code Chapter 15; (3) In connection with this bid, neither I nor any representative of the Company has violated any federal antitrust law; and (4) Neither I nor any representative of the Company has directly or indirectly communicated any of the contents of this bid to a competitor of the Company or any other company, corporation, firm, partnership or individual engaged in the same line of business as the Company. Company Name Fortinet, Inc. Address 899 Kifer Road City/State/Zip Sunnyvale, CA 94086 Telephone Number (850) 728-6504 Fax Number N/A Email Address baileyj@fortinet.com Printed Name Jerilyn Bailey Title Public Sector Contracts Manager Authorized Signature (1-y�.1 City Council 14 — 52 8/20/2024 STATE NOTICE ADDENDUM The National Cooperative Purchasing Alliance (NCPA), on behalf of NCPA and its current and potential participants to include all county, city, special district, local government, school district, private K-12 school, higher education institution, state, tribal government, other government agency, healthcare organization, nonprofit organization and all other Public Agencies located nationally in all fifty states, issues this Request for Proposal (RFP) to result in a national contract. For your reference, the links below include some, but not all, of the entities included in this proposal: http://www.usa.gov/Agencies/State and Territories. shtmI https://www.usa.gov/local-governments City Council 14 — 53 8/20/2024 FEW: :RTinET Response to RFP# 40-22 ATTACHMENTS 1. Fortinet Security Fabric 2. Fortinet Corporate Brochure (Q3 2022 — Convergence of Networking and Security) 3. Fortinet Support Services 4. Fortinet Product Certifications Brochure 5. Fortinet EULA and Warranty City Council 14 — 54 8/20/2024 Fortinet Security Fabric Icons on this document link to additional information The industry s highest -performing integrated cybersecurity mesh platform Security -Driven Cloud Zero Trust Fabric Management Fabric Management FortiCare Networking 0 Security 0 Access 0 Center: NOC Center: SOC 0 Support Services 0 IIIFortiGate FortiGate VM For iNAC j�j FortiManager FortiDeceptor NGFW w1 SOC acceleration and III NGFW wl SOC acceleration and ��) Enforce dynamic network access lul Centralized management of your //��//�� Discover active attackers inside industry -leading secure SD -WAN industry -leading secure SD -WAN control and network segmentation Fortinet security infrastructure I_J with decoy assets ' •�• FortiGate SD -WAN Application -centric, scalable, and FortiDDoS Machine -learning quickly inspects ZTNA Agent Remote access, application N�.o iGate FortCloud Sees w/ zero touch deployment, I { �,iK FortiNDR Accelerate mitigation of evolving • Secure SD -WAN with NGFW traffic at layers 3, 4, and 7. access, and risk reduction configuration, and management threats and threat investigation FortiExtender Extend scalable and resilient FortiCWP Manage risk and compliance FortiAuthenticator CP Identify users wherever they are FortiMonitor Analysis tool to provide NOC and �,� I I Fort1EDR Automated protection and LTE and LAN connectivity through multi -cloud infrastructures and enforce strong authentication SOC monitoring capabilities orchestrated incident response ForiAP Protect LAN Edge deployments with wireless connectivity FortiSwitch Deliver security, performance, and manageable access to data Linksys HomeWRK Enterprise networking solution for remote and hybrid workers FortiSASE Scalable, Simple, and Secure Access for Remote Workforce ®FortiProxy Enforce Internet compliance and granular application control Fotator ain an "air -gap' between Maintain browser and web content FortiDevSec FortiToken 111 FortiAlOps (X) Continuous application security * 38°fi'9 One-time password application Network inspection to rapidly testing in CIICD pipelines with push notification analyze, enable, and correlate FortiWeb FortiClient Fabric Agent FortiExtender Cloud Prevent web application attacks g IPSec and SSL VPN tunnel, Deploy, manage, and customize against critical web assets endpoint telemetry and more LTE intemet access FortiADC FortiConnect FNDN Application -aware intelligence for Simplified guest access, BYOD, Exclusive developer community for distribution of application traffic and policy management access to advanced tools & scripts q Q FortiGSLB Cloud Ensure business continuity during FortiGuard Open A unexpected network downtime p Threat Intelligence Ecosystem ®FortiMail Powered by FortiGuard Labs 0 Secure mail gateway to protect The ystemrof i most extensive against SPAM and virus attacks ecosystem of integrated solutions Conbnt Fabric Connectors FortICASB 01 y ® Fortinet-developed Prevent misconfigurations of SaaS , n 3 Threat Map Devi s Tools & Scripts applications and meet compliance ® �, � � p P Fortinet & community -driven fy� Fabric API Integrations � � ••. �+.� Partner-leu c /1 III _ n _ °e*,�a ,o�*r Extended Ecosystem FortiSandbox I FortiAl Secure virtual runtime environment U to expose unknown threats VA rtiAnalyzer Co reporting, and log vCorrelation, management in Security Fabric �, ♦ FotiSlEM 1 Integrated security, performance, and availability monitoring FortiSOAR Automated security operations, analytics, and response Fooer a Network rk performance testing and breach attack simulation (BAS) FortiCare Essentials 15% of hardware, FG-80 & below FortiCare Premium* FortiCare Elite** 20% of hardware 25% of hardware* ForllCare Premium is formerly 247 Support. Lower support price for Switches and APs Response time for High Priority tickets. Available for FortiGate, FortiManager, ForliAnalyzer, FortiSwitch, and FortiAP 7- Fortinet Brochure •" Highlighting our broad, integrated, and automated solutions, quarterly Free Training _ O_ Fortinet is committed to training over 1 million people by 2025 fc!hn _Th Free Assessments Validate existing network controls for NGFW, Email, and SD -WAN FortiOS OS The Heart of the Fortinet Security Fabric SOC as a Service Continuous awareness and control n� .T FortiCamera Centrally -managed HDTV -quality of events, alerts, and threats VVVV security coverage reliability Incident Response Service FortiFone Digital forensic analysis, response, 51 I Robust IP Phones wl HD Audio containment, and guidance with centralized management city co 14-55 Revised June 1, 2022 © Fortinnet lOc� fights Reserved. Q3 / 2022 FEERTmET Convergence of Networking and Security Digital Security, everywhere you need it. Strong Growth in Annual Billings and Profitability BILLINGS GAAP OPERATING MARGIN CAGR:24% 1.813 2.213 2.613 3.113 4.213 Z5% 13.0% 16.2% 20.5 % 19.5% 2017 2018 2019 2020 2021 2017 2018 2019 2020 2021 Highly Diversified Across Regions and Segments 022022 022022 REVENUE BY REGION BILLINGS BY SEGMENT ■ EMEA ■ AMERICAS IN APAC Technological Leadership Nearly 3X more patents than comparable Network Security companies N Palo Alto Networks 344 = ate+ Sonic Wall 219 NZscaler 139 Check Point 95 Source: US Patent Office, As of June 30, 2022 ■ HIGH -END ■ MIDRANGE ■ ENTRY-LEVEL 925 1279 Global Patents 925 U.S. Patents 354 International Patents (247 Pending Patents) A Large and Growing Total Available Market Total Addressable market of $13813 in 2022 growing to $19913 by 2026 Source: Fortinet estimates based on recent analyst research. 2026 opportunity shown. The Most Deployed Network Security Solutior Over One -Third of All Firewall Shipments 40.0% 35.0%— `IDC 30.0% 25.0 % R s N 20.0 'e 15.0% Fe:eRrinET Cisco 10.0 Check Point 5.0 {� f�Palo Alto Networks 0.07 City Council 2009 2010 2011 1*12 5713 2014 2015 2016 2017 8/219/2024 2020 2021 Source: IDC Worldwide Security Appliance Tracker, February 2022 (based on unit shipments of Firewall, UTM, and VPN appliances) Fortinet - Making possible a digital world you can always trust For over 20 years, Fortinet has been a driving force in the evolution of cybersecurity and the convergence of networking and security. Our network security solutions are the most deployed, most patented, and among the most validated in the industry. Our broad, complementary portfolio of cybersecurity solutions are built from the ground up with integration and automation in mind, enabling more efficient, self -healing operations and a rapid response to known and unknown threats. Investing In Global Scale • With over 2M square feet of real estate owned, we are investing in long term economic growth. • Commitment to carbon neutral by 2030. • New state-of-the-art LEED- Gold Certified 172,000 sqft HQ building. BURNABV BAV AREA FRIS Mission: to secure people, devices and data everywhere Founded: October 2000 Headquarters: Sunnyvale, CA Fortinet IPO (FTNT): November 2009 NASDAQ 100 and S&P 500: Only cybersecurity company in both Corporate Social Responsibility $l: Learn more at Fortinet.com/CSR A digital world you can always trust is essential to achieving just and sustainable societies. At Fortinet, we believe it is our corporate social responsibility to deliver on that vision by innovating sustainable security technologies, diversifying cybersecurity talent, and promoting responsible business across our value chain. 11 Innovative for a Safe Internet Growing an Inclusive Cybersecurity Workforce Key Fortinet Advantages I!� Security Fabric SPU Respecting the Environment Security Processors G✓ G Promoting Responsible Business Value & Performance <5 1 Integration <50 1 Prevention 100s+ I Detection # of companies Organically developed, highly Superior NGFW and The only company to integrated and automated SD -WAN performance excel at all key stages cyb City Counci 1 - 58 /20/2024 ity The Convergence of Networking and Security Traditional networking lacks awareness of content, applications, users, devices, location and more. Organizations have overlaid security solutions on to the network later to account for this shortcoming — but doing so has led to increased management complexity, performance bottlenecks, poor user experience, and the potential introduction of new exploitable gaps or vulnerabilities. A better Security -driven Networking approach converges networking and security into a single, accelerated solution. A specially designed operating system and security processors work in concert to greatly improve network performance and security posture, adding greater awareness while also improving user experience, easing management complexity, and decreasing footprint and power consumption. Networking 000 Appliances Lack Awareness Security g Device O O OI �IOo User Content Application Q A 0-1-0 d b Location N O 0 Software Delivers Network Awareness Security -Driven Networking l7 o \ ZTNA (WLA'N/LAN oo©X o00cure NGFW SD -WAN SWG .10 s'u Q , ' Appliance ' vM SaaS ------------- Consolidation of Vendors and Point Solutions to a Platform Cybersecurity has traditionally been deployed one solution at time, in response to each emerging problem or challenge. However, individual security solutions — typically from a new vendor — are not designed to work well with the other deployed solutions. With meaningful levels of cross -vendor integration and automation proving difficult to achieve, management complexity is massively increased, and effective response to new threats is simply too slow. A more effective approach is to consolidate point product vendors into a cybersecurity platform, allowing for much tighter integration, increased automation, and a more rapid, coordinated, and effective response to threats across the network. Cybersecurity Point Products SOAR DLP EASM IAM CASB XDR EMAIL EPP SIEM WAF EDR ZTNA CWP NAC 0LAN 0 NGFW Cybersecurity Platform Approach ?n Vonrl— A-P, Platfnrmc City Council 14 — 59 8/20/2024 The Fortinet Security Fabric The Fortinet Security Fabric is at the heart of the Fortinet security strategy. It is a platform organically built around a common operating system and management framework to enable broad visibility, seamless integration and interoperability between critical security elements, and granular control and automation. Broad visibility and protection of the entire digital attack surface to better manage risk. Integrated solution that reduces management complexity and shares threat intelligence. Automated self -healing networks with AI -driven security for fast and efficient operations. Learn more at Fortinet.com/SecurityFabric Network Security Operations Operations i Cloud Security Zero Trust Access ForGuard ■Irk abs Threat Intelligence 19 Open Secure Ecosystem Networking Adlik 1� Broad Portfolio of Solutions to Protect Your Digital Attack Surface r, 11 �IlaW (: IF) ' * Zero Trust Secure Cloud Network Security Open Access Networking Security Operations Operations Ecosystem • ZTNA Agent • Network • Cloud -native • Network • Endpoint (EDR/ • Fabric • Authentication Firewall Protection Management XDR) Connectors • MFA/Token • SD -WAN • DevSecOps • Network • Automation: • Fabric API • SASE • SD -Branch • Cloud Firewall Orchestration STEM/ SOAR . Fabric DevOps • Web Proxy • SD -WAN for • Network • Managed SOC e Extended • Wi-Fi Multi -cloud Monitoring & MDR Ecosystem • Switching • WAF • Cloud • DRPS, EASM • 490+ Open • 5G/LTE •Email Security Management . Deception Ecosystem • Digital • Integrations • Network •ADC / GSLB Experience Access Control • Anti-DDOS Monitoring • And More... • CASB City Council ' = 4 - 60 8/20/2024 FortiGuard Labs - Industry -leading Threat Intelligence IVFounded in 2002, FortiGuard Labs is Fortinet's elite cybersecurity threat intelligence and research organization. Partnering with law enforcement agencies, government organizations, and security vendor alliances worldwide to fight emerging global security risks. FortiGuard labs maintain real-time threat intelligence and innovative prevention tactics and tools across the Fortinet Security Fabric in three key categories: Trusted ML and Al 4P Real -Time Threat Stop unknown faster with Intelligence Powerful combination of Proactive security posture actionable local learning and through continuous security Al & ML models on large-scale updates based on in-house cloud -driven data lakes. research and collaboration. Global Leadership & Collaboration: THREAAT ER WO'RLp EC NOMIC ALLIANCE F RUM `1 FortiGuard AI -Powered Security Threat hunting and UMU Outbreak Alerts Faster remediation with Alerts, analysis and detection, prevention and remediation tools including outbreaks. �.f INTERPOL A G E N C Y Rich set of industry leading security capabilities unified into one security framework. Delivering coordinated, context - aware policy for hybrid deployments across networks, endpoints, and clouds. The services continually assess the risk and automatically adjust the prevention to counter known and unknown threats in real-time. Market Leading Security as a Service ML-enabled security, deployed close to the protected assets powered by FortiGuard Labs Consistent Context Aware Policy Centralized detection and prevention delivered from the cloud built for hybrid environments Coordinated Real -Time Prevention Continuously assess the risks and automatically respond and counter known and unknown threats FortiGuard Security Integration Across the Security Fabric FortiGate soc (HWIVMISASE) Proxv FortiTrust XDR FortiWeb FortiMail FortiADC Platforms FortiNDR Content Security Credential Stuffing Web • Security ����_ Device Security Application SecurityThreat MITRE ATT&CK Hunting SocSecurity • ' Content a 20 New in FortiOS 7.2 NEW FortiSandbox Inline Blocking NEW IoT/ IT Device protection NEW Dedicated IPS NEW SOC as a Service NEW Outbreak Detection Enhanced Web Security More FortiGuard olivrnaffaices are available across our broad Security Fabriwrtfol off solutions Learn nN26Y�er,F 74 com/fortiguard FortiOS - The Foundation of the Security Learn more at Fortinet.com/fortiOS FortiOS is the foundation of the Fortinet Security Fabric, converging and consolidating many security and networking technologies and use cases into a simplified, single policy, and management framework. OS What's New In FortiOS 7.2 °o°® FortiGate SD -WAN 13=0 Automated Overlay Orchestration and Large Scale Zero Touch Provisioning QZTNA Unified Policy Configuration in a Single GUI o© FortiGate Firewall E3C7p FortiGate is the first next -generation firewall to support HTTP/3.0 FortiToken / FortiToken Cloud Fido-based passwordless Authentication p® SD -Branch 13O13 Automation, simplified Deployment, and Orchestration for Global Scale management FortiCare - Expertise At Your Service SASE Automated provisioning of ZTNA agents & Apps from FortiSASE =0 LAN Edge 1300 Zero Touch Provisioning Campus and Large -Scale SD -Branch Identity Zero Touch Provisioning Campus and Large -Scale SD -Branch Learn more at Fortinet.com/support EDFortiCare Services help thousands of organizations every year to get the most out of their Fortinet Security Fabric solutions. We have over 1,400 experts providing accelerated implementation, reliable assistance, and proactive care through advanced support and professional services to maximize your security and performance. 1400+ O 24x7 C EXPERTS TECHNICAL �t ►� SUPPORT 23 GLOBAL SUPPORT CENTERS Adopting new technologies is not a project with a start and a finish. Instead, it is a journey from design and implementation to optimization, operations, and ongoing management of the solution. Fortinet has you covered every step of the way, freeing up your resources to focus on your business needs. Design Deploy Operate Optimize Evolve Business Accelerated Reliable Performance Personalized Alignment Implementation Assistance Excellence Care • High-level design • Migration • 24x7 Support • Health checks • Product upgrade • Low-level design • Configuration • Premium hardware • Software upgrade assistance • Product -agnostic • Implementation replacement recommendation • Transformation workshops • Validation • Technical account • Incident readiness readiness • Knowledge Transfer management • Penetration testing • Migration & • Proactive Incident replacement avoidance • Software upgrade City Council • Dedicated res44-62 8/20/2024 The SPU Advantage Fortinet's Security Processors (SPUs) radically increase the speed, scale, efficiency and value of Fortinet solutions while greatly improving user experience, reducing footprint and power requirements. From entry-level to high -end solutions, SPU-powered Fortinet appliances deliver superior Security Compute Ratings versus industry alternatives. Network Processor 7 NP7 All Network Processors operate in - line to deliver unmatched performance for network functions and hyperscale for stateful firewall functions. Content Processor 9 CP9 cc�Q P�QF m F rya As a co -processor to the main CPU, Content Processors offload resource -intensive processing and drive content inspection to accelerate security functions. System - on -a -Chip 4 SoC4 The System -on -a -Chip consolidates network and content processing, delivering fast application identification, steering, and overlay performance. Security Compute Ratings are benchmarks that compare the performance metrics of Fortinet SPU-based next -generation firewalls to similarly priced solutions from vendors that utilize generic processors for networking and security. Entry-level Appliances SSL Inspection Connections Per (Gbps) Second (K) 4 6x 3 More 2 1 0-9 Industry FG 20OF Avg (1) (2) 400 9X More 300 200 100 0 Industry FG Avg (1) 20OF (2) Mm SoC4 Power Consumption (Watts/Gbps FW) 30 20 7x 10 Less 5 0 Industry FG Avg (1) 20OF (2) High -end Appliances SSL Inspection Connections Per (Gbps) Second (M) 80 9x 60 More 40 20 0 Industry FG Avg (1) 4401F(2) 10 9X More 8 6 4 2 0 Industry FG Avg (1) 4401F(2) oo© o� 0 oioo ❑o❑ NP7 CP9 Power Consumption (Watts/Gbps FW) 10 8 6 7x Less 4 2 0 Industry FG Avg (1) 4401F(2) Industry average (entry-level) is calculated as the average of the similarly priced PAN-820, Cisco FPR-1120, Juniper SRX-345, and Check Point SG-3600. Industry average (high end) is calculated as the average of the similarly priced PAN-7050, Cisco FPR-9300, Juniper SRX-5400, and Check Point SG-28000. All data from public datasheets. z Fortinet metrics from public datasheets. New Product Spotlight: FortiGate 480OF series Deliver ultra -high performance to secure Hyperscale data centers and 5G © Ultra -scalable and high-performance 'I' Security Flexible, scalable -Q- QOQ dynamic, segmentation Q„ Secure, ultra -high- performance DCI with 40OG support FortiGate Security Industry PAN Check Point Specification 48011`' Compute gverage' PA-5450' Quantum 1111— Rating 28000 Firewall 2.4 Tbps 1 5x 158 Gbps 136.4 Gbps 145 Gbps IPsec VPN 800 Gbps 19X 42 Gbps 34.8 Gbps 49 Gbps Threat Prevention 70 Gbps 1.5X 46 Gbps 61.8 Gbps 30 Gbps SSL Inspection 55 Gbps 5.5X 10 Gbps N/A N/A Concurrent 280l S4X 51M 40M 32M Sessions Connections 900l 19x 1.31VI 1.45M 615K persecond KI't- 1. Fortinet: Enabled by a Hyperscale License 2. PAN: Calculated with 2xNC and 2xDPC cards, no services and support. PAN App:i,;, t,on Firewall used as they don't publish statefui Fly 3. Juniper: SRX5400E-B2 Cisco Juniper FPR-4145 SRX-54004 80 Gbps 270 Gbps 23 Mbps 60 Gbps N/A N/A 10 Gbps N/A 40M 91M 1.5M 1.7M Training and Certifications Fortinet NSE Certification Program The Fortinet Network Security Expert (NSE) Certification Program is an 8-level training and assessment program designed for customers, partners, and employees to help close the cybersecurity skills gap. With over 840,000 security certifications to date, Fortinet delivers expert -level training in local languages in 136 countries and territories worldwide through our ecosystem of Authorized Training Centers, academic partners, and a variety of online options (many of them free of charge). Fortinet Training & Education Partner Programs The Fortinet Training Institute's ecosystem of public and private partnerships help Fortinet address the skills gap by increasing the access and reach of our cybersecurity certifications and training. The Academic Partner program works with academic institutions including K-12 and higher education. The Education Outreach program partners with industry, academia, government, and nonprofits to reach a broad population, in 94 countries and territories, while also focusing on recruiting women, minorities, veterans, and other underrepresented groups. 9301000+ � 471 iop 29 CERTIFICATIONS ACADEMIES EDUCATION OUTREACH PARTNERS PARTNERS Information Security Awareness A�_ Analyst 1 Learn about today's cyberthreats and how you can 5 Develop a detailed understanding of how to implement network security secure your information. management and analytics. 0 Security Associate Specialist Learn about security solutions that have been created to Develop an understanding of the Security Fabric products that augment address security problems faced by organizations. FortiGate, providing deeper and more comprehensive network security. Security Associate Architect Learn about the key Fortinet products and the cybersecurity 0 Develop the knowledge required to integrate Fortinet products into problems they address. network security solution deployment and administration. Professional _ Expert 4 Develop the knowledge required to manage the day-to-day Demonstrate the ability to design, configure, install, and troubleshoot configuration, monitoring, and operation of FortiGate devices a comprehensive network security solution in a live environment. to support corporate network security policies. Learn more at Fortinet.com/nse-training Figures as of June 30, 2022 New Fortinet Security Awareness and Training Service The Security Awareness and Training service offers every organization the ability to further protect their critical digital assets from cyber threats by building employee cybersecurity awareness and creating a cyber-aware culture. Free cybersecurity awareness and training for all U.S. School Districts At the National Cyber Workforce and Education Summit at the White House on July 19, 2022, Fortinet announced it is offering a customized academic version of its Security Awareness and Training service free to all U.S school districts starting with more than 8 million staff and faculty. This offering is part of Fortinet's mission to help close the cybersecurity skills gap. Our Pledge to Train 1 Million People by 2026 CYBER Fortinet has pledged to train 1 million people globally over 5 years through its Training SECURITY Advancement Agenda (TAA) and Fortinet Training Institute programs to help close the EXCELLENCEAWARDS �p22 .�� . cybersecurity skills gap. January 2022 marked the start of this five-year pledge that CYSIR SSCURISY * WINNER RLQML IXOLUNCF will use Fortlnets award -winning certification program content as the basls for meeting this goal. The Fortinet Training Institute has been recognized by various organizations ' MIll for our contribution to excellence in cybersecurity training and certification as well as our many pronod a p close the cybersecurity skills gap. 14 — 64 8/20/2024 Our Global Partner Commitment Fortinet is a channel -centric company that has created a large, global network of trusted advisors that customers can rely on to secure their digital transformation and strategically drive their business growth. ENGAGE60,000+ Fe:eRTIr1ErPARTNER PROGRAM ACTIVE PARTNERS The Engage Partner Program is designed to help partners built a valuable, highly -differentiated security practice that leverages the industry's best solutions to drive customer success. Fortinet's global partner program is driven by three basic concepts: Growth Through Technology Differentiation Fortinet's breadth of products are tightly integrated into one highly -automated, high -performing platform that spans endpoint, network, and cloud, and includes tools to easily connect with adjacent technologies. Analyst Recognition • Network Firewall Gartner • DIM • SD -WAN • VPN • WLAN/LAN MARKET NAC • Endpoint GUIDES • EMAIL • SIEM • IRM • WAAP • • XDR • Indoor Location • SOAR Services • Indoor Location Services • Enterprise Email Security • ICS • Endpoint Detection and Response • Enterprise Firewalls • IT/OT Security Platform • WAF • All -In -One • „ ZeroTrust Edge • Software - Defined WAN • Endpoint Detection and Response • Enterprise EmailSecurity • SIEM • ICS Business Success with Proven Credibility Fortinet's superior technology innovation and industry leading threat intelligence, alongside our customer ratings and independent analyst reports leadership validates and differentiates our partners' offerings. Long-term, Sustained Growth The Engage Partner Program offers sustained sales, marketing, and executive support so you can grow productive, predictable, and successful relationships. With drivers of growth built into the program, like our Specializations, we provide paths to expertise for solutions that are driving demand in the market — ensuring you are positioned for success. SPECIALIZATION a SPECIALIZATION a SPECIALIZATION Zero Trust ® Security Access Operations M e-5 SPECIALIZATION 0:=7� Operational ® Adaptive Technology Cloud Security .. SPECIALIZATION ® LAN Edge and SD -Branch Network Firewall • Data -Center Edge • Distributed Edge SD -WAN • Security w/ SD -WAN • Small Branch WAN • Remote Workforce • SD -WAN • Critical Infrastructure •SWG • NAC • WAN Edge Infrastructure • North America Healthcare • Security Service Access (SSA) - Forward Mover • Zero -Trust Network Access (ZTNA) - Fast • Network Firewall • WLAN/LAN Access Infrastructure • Email Security • WAN Edge Infrastructure • Worldwide SD -WAN Infrastructure • Modern Endpoint ity Council 10 8/20/2024 Gartner Fortinet is recognized as a LEADER in 2 Gartner® 2021 Magic QuadrantTM Reports: oo© • 00o Network Firewalls •�• WAN Edge Infrastructure Fortinet is also recognized in 4 additional Gartner 2021 Magic Quadrant Reports, including a wide range of technologies: ^, Web Application and API Protection Wired and \\ / WLAN And Fortinet is an 'Honorable Mention' in 2 additional ® Secure Web Gartner 2020/2021 Magic Gateway Quadrant Reports: Learn more at Fortinet.com/solutions/gartner-magic-quadrants l ~ SIEM Endpoint • Protection Platforms Ou� Indoor Location Services GARTNER and MAGIC QUADRANT are registered trademarks and service marks of Gartner, Inc. and/or its affiliates in the U.S. and internationally and are used herein with permission. All rights reserved. Gartner Peer Insights content consists of the opinions of individual end users based on their own experiences with the vendors listed on the platform, should not be construed as statements of fact, nor do they represent the views of Gartner or its affiliates. Gartner does not endorse any vendor, product or service depicted in this content nor makes any warranties, expressed or implied, with respect to this content, about its accuracy or completeness, including any warranties of merchantability or fitness for a particular purpose. Third Party Testing and Certifications Fortinet submits its products for impartial, third party performance and effectiveness testing with the most prominent organizations in the industry, with consistent positive results. virus Certified in 5 technology areas: • Only vendor with all three • Anti-Malware Network V6100, VBSpam, and VBWeb �abs • Network Firewall certifications CUSTOMER RECOGNITION Gartner peerinsights customers' choice i Gartner Peer Insights Customers' Choice distinctions are based on the ratings of vendors by verified end -user professionals across a variety of industries and from locations around the world. These distinctions take into account both the number of end -user reviews a vendor receives, along with the overall ratings score a vendor receives from those end users. Fortinet is proud to be named a Gartner Peer Insights Customers' Choice in several critical areas: Network pee I Sights customers' choice Firewalls Wired and PeeriGnbw customers' Wireless customers' choice LAN Access Infrastructure G §.lght� pe cuEmail Security Peerinsights WAN Edge Customers' Choice 2022 Infrastructure See our Gartner Peer Insights reviews and distinctions at www.gartner.com/reviews • IPsec VPN Gartner, Gartner Peer Insights 'Voice of the Customer': • Highest "VBSpam+" rating Network Firewalls, Peer Contributors, g April 2021 • Web Application Firewall Gartner, Gartner Peer Insights 'Voice of the Customer': • Advanced Threat Defense Wired and Wireless LAN Access Infrastructure, Peer Contributors, 12 May 2021 Gartner, Gartner Peer Insights 'Voice of the Customer': Email Security, Peer Contributors, 5 February 2021 Gartner, Gartner Peer Insights 'Voice of the Customer': 100% Protection, 2 Years in a Row WAN Edge Infrastructure, Peer Contributors, 5February 2021 • Anti hishin A roved p g pp • All Test Cases The GARTNER PEER INSIGHTS CUSTOMERS' CHOICE MITRE • All signature -Independent badge is a trademark and service mark of Gartner, Inc. and/or its affiliates and is used herein with permission. All • Top Analytical Detection rights reserved. Gartner Peer Insights Customers' Choice constitute the subjective opinions of individual end -user reviews, ratings, and data applied against a documented methodology; they neither represent the views of, nor ^' S�tner or its affiliates. City Council 14 — 66 8/20/2024 11 Fortinet secures over half a million enterprises, service providers, and government organizations around the world. 741IMSIV-9. A I R L I N E S 5th largest airline in the United States. HQ: United States Checkers, A chain of double drive-thru restaurants in the United States. The company operates Checkers and Rally's restaurants in 28 states, and the District of Columbia. HQ: United States HOWNG HEES A global leader in managed services providing end -to -end fully managed cybersecurity, networking, and digital signage solutions tailored to the unique business requirements of today's enterprise. HQ: United States ARegion Stockholm Sweden's largest regional health provider. HQ: Sweden jo t?yIV[,RSI'fY()i. q;�F BIRMINGHAM One of the UK's largest universities, the University of Birmingham is over 100 years old with over 30,000 students across the world. HQ: United Kingdom Business Services Orange is one of the world's leading telecommunications operators and global provider of IT and telecommunication services. HQ: France Visit Fortinet.com/Customers to see how many of our customers benefit from Fortinet solutions and the Fortinet Security Fabric. SoftBank SoftBank is a multinational conglomerate that aspires to drive towards digital transformation. HQ: Japan (0 WeLab Provider of online financial services to more than 42 million individual users and more than 300 corporate users in Hong Kong, Mainland China, and Indonesia. HQ: Hong Kong macQuarie CLOUD SERVICES Provider of flexible hybrid IT solutions for business and government. HQ: Austrailia V f in I Copyright © 2022 rortinet, Inc. All rights reserved. Fortinet' FortiGate; i-ortiCare' and FortiGuard,and certain other marks are registered trademarks of Fortinet, Inc., and other Fortinet names herein may also be registered and/or common law trademarks of Fortinet. All other product or company names may be trademarks of their respective owners. Performance and other metrics contained herein were attained In Internal lab tests under Ideal conditions, and actual performance and other results may vary. Network variables, different network environments and other conditions may affect performance results. Nothing herein represents any binding commitment by Fortinet, and Fortinet disclaims all warranties, whether express or Implied, except to the extent Fortinet enters a binding written contract, signed by Fortinet's General Counsel, with a purchaser that expressly warrants that the identified product will perform according to certain expressly -identified performance metrics and, in such event, only the specific performance metrics expressly Identified In such binding written contract shall be binding on Fortlnet. For absolute clarity, any such warranty will be limited to performance In the same Ideal conditions as in Fortinet's Internal lab testa Fortinet disclaims In full any covenants, representations, and guarantees pursuant hereto, whether express or Implied. Certain offerings mentioned herein may not be generally ava�+p shall be applicable Revision: 02 / 2022 �A# council 14 — 67 8/20/ 024 F:::RrinET FortiCare Services Technical Support, Advanced Services, and Professional Services Q Q Hit the ground running with new capabilities o-*-0 d b Fast -track return on investment with streamlined migration and deployment ®Get expert help when you need it Accelerate incident resolution and maximize efficacy with 24x7 assistance from technical experts ral Enhance your security with tailored guidance o Increase productivity and avoid incidents with operational reviews, account planning, and upgrade assistance Confidence in Your Investment Businesses are making huge investments in security and Fortinet Security Fabric technologies to provide essential services critical to securing their most valuable assets. Organizations often lack the in-house expertise or resources for initial deployment, product support, and ongoing operations. At Fortinet, we understand these challenges and provide FortiCare Services to thousands of organizations every year to address them. We want organizations to feel confident that they are maximizing the value of their investments quickly and realizing efficiency and efficacy gains over time. Whether migrating to a Fortinet Next -Generation Firewall (NGFW), implementing software - defined wide -area networking (SD -WAN) to protect your branch locations, or automating security operations functions, we will work with you to match the proper services with your unique business needs. We are dedicated to your success and provide the expertise you need when you need it. Services FortiCare Support Services is per -device support services, and it provides customers access to over 1,400 experts to ensure efficient and effective operations and maintenance of their Fortinet capabilities. Global technical support is offered 24x7 with flexible add-ons, including enhanced service level agreements (SLAs) and premium hardware replacement through 200+ in -country depots. Advanced Services is account -based services, and provides high -touch account management and business guidance through designated resources to meet the needs of enterprises and service providers. Additionally, Enterprise Support Agreements (ESAs) are available to simplify consumption of the services. City Council 14-68 8/20/2024 0 FortiCare Services I Technical Support, Advanced Services, and Professional Services Professional Services provides accelerated implementation and configuration optimization through QuickStart or custom engagements leveraging the services of highly skilled experts to promote first-time accuracy and avoid costly post -deployment issues. The Journey Adopting new technologies is not a project with a start and a finish. Instead, it is a journey from design and implementation to operations, optimization, and ongoing management of the solution. Fortinet has you covered every step of the way, freeing up your resources to focus on your business. Feature Highlights: Technical Support Organizations depend on Fortinet solutions to provide critical services. If any issues arise, they need to be addressed quickly to help ensure security and business continuity. Flexible support options help organizations maximize uptime, security, and performance according to the individual needs of each business. Fortinet offers three different per -device support options to meet the needs of different devices, i.e., FortiCare Essential, FortiCare Premium, and FortiCare Elite. Organizations have the flexibility to buy different levels of service for different devices based on their needs. FortiCare Essential FortiCare Essential is the base -level service, and it is targeted toward devices that require a limited amount of support and can tolerate next -business -day, web -only response for critical as well as non -critical issues. This service is only offered to FortiGate models 8x and below and to low -end FortiWifi devices. FortiCare Premium FortiCare Premium is targeted toward devices that require 24x7x365 with one -hour response for critical issues and the next business -day response for non -critical issues. FortiCare Elite FortiCare Elite services offers enhanced service -level agreements (SLAs) and accelerated issue resolution. This advanced support offering provides access to a dedicated support team. Single -touch ticket handling by the expert technical team streamlines resolution. This option also provides Extended End -of -Engineering -Support (EoE's) of 18 months for added flexibility and access to the new FortiCare Elite Portal. This intuitive portal provides a single unified view of device and security health. City Council � -F 8/20/2024 FortiCare Services I Technical Support, Advanced Services, and Professional Services FortiCare Service Offerings Per -device Service Options FortiCare Included Features FortiCare FortiCare FortiCare ESSENTIAL PREMIUM ELITE RMA Return and replace only Advanced replacement Advanced replacement (PRMA available) (PRMA available) Web Support Telephone Support — Firmware Updates V V V Asset Management Portal V V V Response Time (Critical Issue) Next business day 1 hour 15 mins Response Time (Non -critical Issue) Next business day Next business day 2 business hours Extended End -of -Engineering -Support (E-EoES) for Long Term Supported Firmware (LTS) of 18 months* Device Insights and Monitoring Portal (FortiCare Elite Portal) * Currently available for FortiGate only FortiCare Services is provided by the support teams located in the three regional Technical Assistance Centers (TACs) and three regional Centers of Excellence (COE). Fortinet Technical Assistance Centers Q • • oo • 0 Q� 0 0 0 0 O 0 ORegional COE: O AMER Regional TAC: O EMEA Regional TAC: O APAC Regional TAC: ■ Vancouver ■ Ottawa ■ Sunrise ■ Bangalore ■ Prague ■ Beijing ■ Tokyo ■ Sophia Antipolis ■ Chicago ■ Mexico City ■ Dubai ■ Lisbon ■ Sydney ■ Manila ■ Kuala Lumpur ■ Sunnyvale ■ Bogota ■ Frankfurt ■ Tel Aviv ■ Seoul ■ Singapore ■ Plano ■ Uberlandia City Council 14 — 70 8/20/2024 W 3 FortiCare Services I Technical Support, Advanced Services, and Professional Services Self-service Resources For expedited answers, Fortinet maintains ample self-service resources to get you the answers you need, fast. All the answers to your questions are now in one place. The Fortinet community is a knowledge -sharing hub for customers, partners, Fortinet experts, and colleagues. The community is a place to collaborate, share insights and experiences, and get answers to questions. communitv.fortinet.com Feature Highlights: Advanced Services For enhanced security and tailored guidance, FortiCare Advanced Services gives you direct assistance from technical experts who know your business and can help accelerate issue resolution. With designated account management and service delivery, you can focus on your business while we focus on your success. Entitlements vary by level but can include: Designated Advanced Technical Support for focused resolution of incoming technical support issues. Service Relationship annual service and performance review. Quarterly operational review to cover technical ticket Management statistics, quality issues, overall ongoing ticket analysis, product life cycle, ongoing activity, and 90-day project planning. Root Cause Analysis of critital incidents (Priority-1 and Priority-2) related to Fortinet appliances. Upgrade Assistance which may include software recommendation, upgrade testing, and planning assistance. Advanced Service Points for remote after-hours assistance, product upgrade assistance, and software recommendations. Annual Training Package including NSE 4 and NSE Straining and certification vouchers. City Council 14 — 71 8/20/2024 FortiCare Services I Technical Support, Advanced Services, and Professional Services Enterprise Services offerings come in four levels: Premium, Business, First, and Global First.. FortiCare Account -level Advanced Ser Included Features Premium Business First Global First Technical Support 24x7x365 24x7x365 24x7x365 24x7x365 Direct Access to ASE Team V Designated ASE Lead TAM 3 Regional TAMs Enhanced Reponse SLA Business Review — Biannual Quarterly Quarterly Account Planning V V V V Device Performance Advice — — Device Configuration Advice V V Root Cause Analysis — P1 P1/P2 P1/P2 NSE 4 Training & Certification NSE 5 Training & Certification 3 3 3 5 5 15 15 Advanced Services Points — 6 16 Service Provider offerings come in two levels: Select and Elite. Benefits vary by level. FortiCare Account -level Advanced Services InaLmded Featur Select Elite ■ 48 Global Elite M Technical Support 24x7x365 24x7x365 24x7x365 Direct Access to ASE Team V Lead TAM Lead TAM Enhanced Reponse SLA V V V Business Review — Quarterly Quarterly Account Planning V V V Performance/Configuration Advice — V V Designated Relationship Manager V V 18-month Extended Firmware — V V Lab Testing 5 Days 5 Days 15 Days Upgrade Assistance — 2 Products 6 Products Root Cause Analysis P1/P2 P1/P2 P1/P2 NSE 4 Training & Certification 3 5 15 NSE 5 Training & Certification 3 5 15 Advanced Services Points City Council V WMN 6 14-72 12 36 8/20/2024 5 FortiCare Services I Technical Support, Advanced Services, and Professional Services In addition, Global First for Enterprises and Global Elite for Service Providers are available to extend the geographical coverage of the service. These service levels provide a designated lead engineer per region covering EMEA, Americas, and Asia Pacific. The service features, as described in the First service, are provided within each region with global coordination. Feature Highlights: Professional Services As networks and threats rapidly evolve, it's critical to make sure security capabilities can keep up. Given the global cybersecurity skills shortage, today's organizations often lack the in-house expertise or enough staff to deploy, operate, and maintain the new technologies required to close security gaps. FortiCare Professional Services delivers expert help to ensure Fortinet deployments are optimized for each customer's unique needs. Professional Services provides Design, Deploy, Operate, Optimize, and Evolve services. In addition, Professional Services also offers product -agnostic consulting services. Evolve Personalized Care • Product Upgrade Assistance • Transformation Readiness • Migration and Replacement • Lab Testing Optimize Performance Excellence • Health Checks • Software Upgrade Recommendation • Incident Readiness • Penetration Testing Design Ddr�i2@ �e�tie Key benefits to engaging Fortinet Professional Services: Design Business Alignment • High-level Design • Low-level Design • Product -agnostic Workshops • Site Survey Deploy Acceleated Implementation • Migration • Configuration • Validation • Knowledge Transfer Operate Reliable Assistance • Resident Engineer • Training Faster Time -to -Value Hit the ground running with new capabilities, achieve faster time -to -value with streamlined expert deployment of Fortinet products and solutions. Increased Service Uptime Achieve increased uptime by leveraging subject matter experts who can proactively review changes, performance, and policies for reliability and sustained security. Access to Industry Experti Supplement in-house teams with dedicated resources that can bring industry expertise to perform upgrades or handle technical incidents. Increased Productivity Increase staff productivity by offloading redundant operational tasks including configurations to Fortinet domain experts who know your business City Council 14-73 8/20/2024 FortiCare Services I Technical Support, Advanced Services, and Professional Services Cybersecurity Advisory and Consulting Services allow our experts to partner with business leaders, helping organizations be at their best through this ever -changing environment. Fortinet experts discover existing security posture elements through a vendor -agnostic approach; align findings to business goals, strategic objectives, and compliance requirements; and guide existing projects and future planning toward framework maturity. 0104� Discover Align Guide Business Goals Security Framework Architectural Design Security Posture Compliance Requirements Operational Practices Systems/Objectives Strategic Objectives Maturity Roadmap FortiGuard Labs Consulting Consulting services are designed to help your organization address your specific threat landscapes and improve your organization's ability to use threat intelligence to meet that challenge. These services leverage the expertise and experience of the FortiGuard Labs team and provide the answers to the questions organizations are asking most: Threats What are the most important threats on which I should focus? Faim: :FlrinEr i Environment cco Operations Is my environment as Li --F-d Are my people secure as it needs to be? properly trained to defend us against the threats we face? www.fortinet.com Copyright ® 2022 Fortinet, Inc. All rights reserved. Fortinet', FortiGate', FortiCare° and FortiGuard', antl certain other marks are registered trademarks of Fortinet, Inc., and other Fortinet names herein may also be registered and/or common law trademarks of Fortinet. All other product or r company names may be trademarks of their respective owners. Performance and other metrics contained herein were attained In internal lab tests under ideal conditions, and actual performance and other results may vary. Network variables, different network environments onmes and other comdltions may affect performance results. Nothing herein represents any binding commitment by Fortinet, and Fortinet disclaims all warranties, whether express or implied, except to the extent Fortinet enters a binding written contract, signed by Fortinet's General Counsel, with a purchaser that expressly warrants that the identified product will perform according to certain expressly -identified performance metrics and, in such event, only the specific performance metrics expressly identified in such musing written contract shall be binding ou Fortinet For absolute clarity, any such warranty will be limited to performance in the same ideal conditions as in Fortinet's internal lab tests. Fortinet disclaims in full any covenants, representations, and guarantees pursuant hereto, whether express or implied. Fortinet reserves the right to change, modify, transfer, or otherwise revise this publication without notice, and the most current version of the publication shall be applicable. City Council 14-74 April 29, 202212:09 PM FIDDLE LEAF:Graphic Design:Fortinet:Prolects:fa-forticare-services-bmchure:fa-forticare-services-brochure-042922 Foldenfa-forticare-services-brochure-042922 1563571-0-0-EN 8/20/2024 F:::RTinET 2 H'21 BROCHURE Fortinet Product Certifications City Council 1 I ' 0 — 75 M 8/20/ 024 N M . BROCHURE I Fortinet Product Certifications Fortinet Product Certifications Organizations looking to expand, upgrade, or replace their security solutions often find themselves struggling to compare solutions from different vendors. In addition to consistent information about features and functions, they also need information about the compliance and certification level of individual solutions and whether they will enable them to meet regulatory requirements. To help companies navigate this process, third -party labs and auditors conduct independent testing to enable a fair comparison between products for things like performance, compliance, and functionality. Using industry standards and advanced benchmarking technologies, such as independent validation of products and services, is essential for businesses to evaluate whether a solution will meet their unique business requirements. Third -party Testing Fortinet has actively participated in third -party testing since we first opened our doors. We are committed to the testing and certification process and believe that it provides three key benefits: It validates our design and development process. Third -party labs set standards for functionality, performance, and real -world use cases that help drive the development of key features. ■ It helps improve our technology. Direct feedback from standardized benchmark testing helps us in our effort to continually improve our technologies. ■ It allows our customers to easily compare our technologies against solutions from other vendors. Annual testing helps us set the bar higher every year, with the objective of achieving a leadership position in every test in which we participate. Certifications and Regulatory Compliance Public and private sector organizations alike require solutions that meet regulatory and compliance requirements. Fortinet is committed to meeting a wide range of national, regional, and international requirements, and we subject our solutions and services to independent third -party audits and testing to guarantee compliance. The Fortinet Certifications Resource Center (CRC) Fortinet's CRC is the repository for product compliance reports, certifications, and independent validation results from unbiased agencies. The scope of Fortinet's product certifications includes the following categories: Product Certifications r�** 0 * 0 * 0 * 0 * I Independent lab testing of Fortinet products using industry standards, best practices, and real -world testing environments Information Security Certifications and examinations of Fortinet's infrastructure security and networking solutions Compliance Certifications attesting to Fortinet products' compliance with public sector regulatory frameworks and standards City Council 14-76 8/20/2024 BROCHURE I Fortinet Product Certifications Product Certifications Overview ICSA Labs is an independent division of Verizon. They provide third -party IPsec VPN 08/10/2021 ICSA Labs testing and certification of security and health -related IT products and Firewall 08/25/2021 network -connected devices to measure product compliance, reliability, and performance. WAF 09/27/2021 AV -Comparatives is an independent lab offering systematic testing to determine whether security software —such as PC/Mac-based antivirus products and mobile security solutions —lives up to its claims. Using one of the Business Security Test: AV -Comparatives largest sample collections in the world, they create a real -world environment Mar -Jun 2021 for truly accurate testing. Certification by AV -Comparatives provides a globally recognized seal of approval for software performance. SE Labs tests a range of solutions, including endpoint software, network Email Security Services SE Labs appliances, and cloud services, on their ability to detect attacks, protect Protection: Jan -Mar 2020 against intrusions, or both. MEF 3.0 is an SD -WAN Certification Program that uses Spirent as their SD - Product WAN Authorized Certification and Test Partner (ACTP). Certification involves Certifications MEF 3.0 rigorous tests of the service attributes and requirements defined in MEF MEF 3.0 SD -WAN: 70 and described in detail in the upcoming MEF SD -WAN Certification Test Jun 2020 Requirements (MEF W90) standard. VB is a world leader in security software testing. Their publicly available test VBSpam Sept 2021 Virus Bulletin reports cover anti-malware protections of all types as well as enterprise -level email and web security solutions. VB100 Sept 2021 MITRE Engenuity's ATT&CKTm evaluations assess the ability of a vendor's solutions to defend against specific adversary tactics and techniques. They openly publish these results to provide end -users with the information needed to make good purchasing decisions. These evaluations are not a competitive Round 3: Fin7/Carbanak: MITRE Engenuity analysis. There are no scores, rankings, or ratings. Instead, they show how Apr 2021 each vendor approaches threat detection in the context of the MITRE ATT&CK knowledge base to provide an unbiased assessment of detection and protection capabilities and highlight potential gaps to drive the industry forward. SOC2 is an auditing procedure that ensures that service providers securely manage their customers' data. It covers their security, availability, processing SOC2 Type 2: SOC2 integrity, confidentiality, and/or privacy controls. Compliance is based on the AICPA's (American Institute of Certified Public Accountants) TSC (Trust Apr -Sept 2021 Information Services Criteria). Security ISO/IEC 27001 is an international standard for managing information security. It defines requirements and controls for establishing, implementing, maintaining, ISO/IEC 27001: ISO and continually improving an organization's Information Security Management Jun 2021-Jun 2024 System (ISMS). The Federal Information Processing Standard 140-2 (FIPS 140-2) is an FIPS 140-2Level 1 Aug 2021 FIPS Validated information technology security accreditation program for validating cryptographic modules developed by vendors that meet well-defined security standards. 40-2 FIPS 12 Sept 2021 Level 2 Government Regulations Common Criteria is an international standard (ISO/IEC 15408) operated by CC EAL4+ Oct 2021 17 certificate -authorizing nations. 31 countries have accepted it for their Common Criteria respective government acquisition requirements for their IT/networking infrastructures. FWcPP+IPS Jan 2021 +VPN -4 City Council 14 — 77 8/20/2024 V.0 3 BROCHURE I Fortinet Product Certifications Summary Fortinet is committed to the independent testing and certification of its products and services. ICSA, AV -Comparatives, Virus Bulletin, and other independent testing organizations have consistently validated the effectiveness of Fortinet solutions. Fortinet earned ICSAs prestigious Excellence in Information Security Testing (EIST) award for 15 years of participation in 2017 and has been recognized by ICSA for outstanding achievement in information security certification testing 10 years in a row. Fa:iRTinET www.fortinet.com Copyright ® 2021 Fortinet, Inc. All rights reserved. Fortinet*, FortiGale°, FortiCare' and FortiGuartl', and certain other marks are registered trademarks of Fortinet, Inc., and other Fortinet names herein may also be registered and/or common law trademarks of Fortinet. All other product or company names may be trademarks of their respective owners. Performance and other metrics contained herein were attained in internal lab tests under ideal conditions, and actual performance and other results may vary. Network variables, different network environments and other contlitions may affect performance results. Nothing herein represents any binding commitment by Fortinet, and Fortinet disclaims all warranties, whether express or Implied, except to the extent Fortinet enters a binding written contract, signed by Fortinel's General Counsel, with a purchaser that expressly warrants that the identified product will perform according to certain expressly -identified performance metrics and, in such event, only the specific performance metrics expressly identified in such binding written contract shall be binding on Fortinet For absolute clarity, any such warranty will be limited to performance in the same ideal conditions as in Fortinet's Internal lab tests. Fortinet disclaims in full any covenants, representations, and guarantees pursuant hereto, whether express or implietl. Fortinet reserves the right to change, modify, transfer, or otherwise revise this publication witho December,], 20219:47 AM City Council 14 — 78 8/20/2024 1380665-0-0-EN F=13FITInET Product License Agreement / EULA and Warranty Terms Product License Agreement The parties to this agreement are you (the end -customer) and Fortinet, Inc. ("Fortinet"). CAREFULLY READTHE FOLLOWING LEGAL AGREEMENT )THE OR THIS "AGREEMENT" OR "EUW). USE OR INSTALLATION OF FORTINET PRODUCT(S) AN D ANY UPDATES THERETO, INCLUDING HARDWARE APPLIANCE PRODUCTS, SOFTWARE AND FIRMWARE INCLUDED THEREIN BY FORTINET, AND STAND-ALONE SOFTWARE PRODUCTS SOLD BY FORTINET (TOGETHER, THE "PRODUCTS") CONSTITUTES ACCEPTANCE BY YOU OF THE TERMS IN THIS AGREEMENT, AS AMENDED OR UPDATED FROM TIME TO TIME IN FORTINET'S DISCRETION BY FORTINET PUBLISHING AN AMENDED OR UPDATED VERSION. FORTINET SHALL NOT BE BOUND BY ANY ADDITIONAL AND/OR CONFLICTING PROVISIONS IN ANY ORDER, RELEASE, ACCEPTANCE OR OTHER WRITTEN CORRESPONDENCE OR OTHER WRITTEN OR VERBAL COMMUNICATION UNLESS EXPRESSLY AGREED TO IN A WRITING SIGNED BY THE GENERAL COUNSEL OF FORTINET. IF YOU DO NOT AGREE TO ALL OF THE TERMS OF THIS AGREEMENT, DO NOT START THE INSTALLATION PROCESS OR USE THE PRODUCTS. IF YOU DON AGREE TO THE TERMS OF THIS AGREEMENT, YOU SHOULD IMMEDIATELY, AND IN NO EVENT LATER THAN FIVE (5) CALENDAR DAYS AFTER YOUR RECEIPT OF THE PRODUCT, IMMEDIATELY NOTIFY FORTI N ET LEGAL LEGALCaFORTINET COM OF REQUESTED EULA CHANGES. 1. License Grant. This is a license agreement between you and Fortinet, not a sales agreement. The term "Software", as used throughout this Agreement, includes all Fortinet and third party firmware and software provided to you with, or incorporated into, Fortinet appliances and any stand-alone software provided to you by Fortinet, with the exception of any open source software contained in Fortinet's Products which is discussed in detail in section 15 below, and the term "Software" includes any accompanying documentation, any updates and enhancements of the software or firmware provided to you by Fortinet, at its option. Fortinet grants to you a non- transferable (except as provided in section 5 ("Transfer") and section 15 ("Open Source Software") below), non-exclusive, revocable (in the event of your failure to comply with these terms, in the event of termination, or in the event Fortinet is not properly paid for the applicable Product) license to use the Software solely for your internal business purposes (provided, if (a) agreed by Fortinet in writing, (b) you are authorized by Fortinet in writing to provide managed service provider services ("MSSP") to your endcustomers, and d) you pay for an MSSP license, then you may use the Software and/or Software embedded in Fortinet Hardware to provide those services, subject to the other restrictions in this Agreement), in accordance with the terms set forth in this Agreement and subject to any further restrictions in Fortinet documentation (including license term restrictions), and solely on the Fortinet appliance, or,inthecase of blades, CPUs, platform, devices or databases, on the single blade, CPU, platform, device or database on which Fortinet installed the Software, or, for stand-alone Software, solely on a single computer running a validly -licensed copy of the operating system for which the Software was designed unless and except set forth in the published documentation otherwise. For clarity, notwithstanding anything to the contrary, all licenses of Software to be installed on blades, CPUs, platforms, devices or databases are licensed per blade, solely for one blade and not for multiple blades that may be installed in a chassis, per CPU, per platform, per device, or per database basis, up to the blade, CPU, platform, device, database number defined in the license and as applicable and in accordance with the documentation. The Software is "in use" on any appliances, blades, CPUs, platforms, devices, or databases when it is loaded into temporary memory (i.e. RAM), accessed, downloaded, installed, or used on an appliance, blade, CPU, platform, device, or database. You agree that, except for the limited, specific license rights granted in this section 1, you receive no license rights to the Software. 2. Limitation on Use. You are prohibited from and may not attempt to, and, if you are a corporation, you are responsible to prevent your employees and contractors from attempting to: (a) modify, translate, reverse engineer, decompile, disassemble, create derivative works based on, sublicense, or distribute the Software; (b) rent or lease any rights in the Software in any form to any third party or make the Software vai'able or accessible to third parties in any other manner (except as expressly permitted for MSSP partners); (c) transfer assign or sublicense right to any other person or entity (except as provided in section 5): (d) remove any proprietary notice, labels, or marks on the Software, Products, and containers; (e) use the Software to determine, or disclose the results of, any benchmarking or performance measurements; (f) interfere with a platform for use of the Software; (g) use the Software on a device not owned and controlled by you; (h) use automated means to access online portions of the platform for the Software; (1) use the Software for third - party training, commercial time-sharing or service bureau use or (except as expressly set forth in this Agreement) use the Software to provide services to third parties, 0) share non-public features or content of the software with any third party; (k) access the software n order to build a competitive product or service, to build a product using similar ideas, features, functions or graphics of the software, or to copy any ideas, features, functions or graphics of the software; or, (1) engage in web scraping or data scraping on or related to the software, including without limitation, collection of information through any software that simulates human activity or any bot or web crawler. 3. Proprietary Rights. All rights (including copyrights, trade secret, patent and other intellectual property rights), title, interest in and to the Software and any Product, and any copy thereof remain with Fortinet. You acknowledge that no title or other intellectual property rights in the Software orother Products is transferred to you and you will not acquire any rights to the Software or other Products except for the specifc limited license as expressly set forth in section 1("License Grant") above. You expressly agree and acknowledge that Fortinet retains, and shall retain all intellectual property rights in and to, and you have no intellectual property rights in and to, the Products and the Software other than the License Grant. You agree to keep confidential all Fortinet confidential information and only to use such information for the purposes for which Fortinet disclosed it. 4. Term and Termination. The term of the license is the shorter of (a) the term as set forth in the ordering documents, other Fortinet documentation, or per Fortinet practices or policies (such as with evaluation or beta licenses or subscription or other term licenses) and (b) for the duration of Fortinet's copyright in the Software. Fortinet may terminate this Agreement, and the licenses and other rights herein, immediately without notice if you breach or fail to comply with any of the terms and conditions of this Agreement or for other reasons as stated in Ford net's other documentation. You agree that, upon such termination, you will cease using the Software and any Product and either destroy all copies of the Fortinet documentation or return all materials to Fortinet. S. Transfer. If you are a Fortinet contracted and authorized reseller or distributor of Products, you may transfer (not rent or lease unless specifically agreed to in writing by Fortinet) the Software to one end user on a permanent basis, provided that: (i) you ensure that your customer and the end user receives a copy of this Agreement, is bound by its terms and conditions, and, by sel ling the Product or Software, you hereby agree to enforce the terms in this Agreement against such end user, III) you at all times comply with all applicable United States export control laws and regulations, and (III) you agree to refund any fees paid to you by an end user who purchased Prod uct(s) from you but does not agree to the terms contained in this Agreement and therefore wishes to return the Products) as provided for in this Agreement Further, if you are a non -authorized reseller of Products and Services, you are not authorized to sell Pmduct(s), Software or Services, but, regardless, by selling Pmduct(s), Software or Services, you hereby agree You re bound by the restrictions and obligations herein and are bound to: (i) ensure that your customer and the end user receive a copy of this Agreement and are bound in full by all restrictions and obligations herein III) enforce the restrictions and obligations in this Agreement against such customer and/or end user, (III) comply with all applicable United States export control laws and regulations and all other applicable laws, and (iv) refund any fees paid to you by a customer and/or end user who purchased Product(s) from you but does not agree to the restrictions and obligations contained in this Agreement and therefore wishes to return the Product(s) as provided for in this Agreement. Notwithstanding anyth ing to the contra ry, distributors, resellers and other Fortinet partners Jai am not agents of Fortinet and (b) are not authorized to bind Fortinet in anyway. Fortifiet's license, warranty, and support is only available for Products that you purchased directly from an authorized Fortinet channel partner. Products not purchased from an authorized Fortinet channel partner are not eligible, will not be supported, and may be blocked from registration. 6. Limited Warranty. Fortinet provides this limited warranty for its product only to the single end -user person or entity that originally purchased the Product from Fortinet or its authorized reseller or distributor and paid for such Product. The warranty is only valid for Products which re properly registered on Fortinet's Support W ebsite, htto,://su000rt.mirbi etcom. or such other website as provided by Fortinet, or for which the warranty otherwise sta through authorized distributors and mcs,, gr$"The wUQnty periods di%,psed below will start accordingto Fortinet's policies posted at htto://www.fortinet.com/aboutus/leeal.htmI or such other website as provided by Fortinet. It is the Fortinet distributor's and eseller's responsibility to make clear to the end user the date the product was originally shipped from Fortinet, and it is the end user's responsibilityto understand the original ship date from the party from which the end user purchased the product. All warranty must be submitted in writing to Fortinet before the expiration of the warranty term or such claims are waived in full. Fortinet provide, no warranty for any beta, donation or evaluation Products. Fortinet warrants that the hardware portion of the Products ("Hardware") will be free from material defects in workmanship as compared to the functional specifications for the period set forth as follows and applicable to the Product type ("Hardware Warranty Period'): (a) a three hundred sixty-five (365) day limited warranty for the Hardware products; (b) for Forl the warranty herein shall last from the start of the warranty period as discussed above until five (S) years following the product announced end -of -life date Hardware; (c) for FortiSwitch Hardware appliance products other than the FortiSwitch-5000 series, the warranty herein shall last from the start of the warranty period as discussed above until five (5) years following the product announced end -of -life date Hardware. Fortinet's sole obligation shall be to repair or offer replacement Hardware for the defective Hardware at no charge to the original owner. This obligation is exclusive of transport fees, labor, de- instanxion, installation, reconfiguration, or return shipment and handling fees and costs, and Fortinet shall have no obligation related thereto. Such repair or replacement will be rendered by Fortinet at an authorized Fortinet service facility as determined by Fortinet. The replacement Hardware need not be new or of an identical make, model, or part; Fortinet may, in its discretion, replace the defective Hardware (or any part thereof) with any reconditioned Product that Fortinet reasonably determines is substantially equivalent (or superior) in all material respects to the defective Hardware. The Hardware Warranty Period for the repaired or replacement Hardware shall beforthegreaterofthe remaining Hardware Warranty Period orninetydaysfromthe cl:lhwryofthe fired or replacement Hardware. If Fortinet determines in its reasonable discretion that a material defect is iota able of correction repo p p or that it is not practical to repair or replace defective Hardware, the price paid by the original purchaser for the defective Hardware will be It by Fortinet upon return to Fortinet of the defective Hardware. All Hardware (or part thereof) that is replaced by Fortinet, or for which the purchase price is refunded, shall become the property of Fortinet upon replacement or refund. Fortinet warrants that Software as initially shipped by Fortinet will substantially conform to Fortinet', then -current functional spec cations for the Software, as set forth in the applicable documentation for a period of ninety (90) days ("Software Warranty Period"), if the Software is property installed on approved Hardware and operated as contemplated in its documentation. Fortinet's sole obligation shall be to repair or offer replacement Software for the non -conforming Software with software that substantially conforms to Fortinet', functional specifications. This obligation is exclusive of tansport fees, labor, de -installation, installation, reconfiguration, or return shipment and handling fees and costs, and Fortinet she have no obligation related thereto. Except as otherwise agreed by Fortinet in writing, the warranty replacement Software is provided only to the original licensee, and is subject to the terms and conditions of the license granted by Fortinft et for the Software. The Soware Warranty Period shall extend for an additional ninety (90) days after any warranty replacement software is delivered. If Fortinet determines in its reasonable discretion that a material non- conformance is incapable of correction or that it is not practical to repair or replace the non -conforming Software, the price paid by the original licensee for the nonconforming Software will be refunded by Fortinet; provided that the non -conforming Software (and all copies thereof) is first returned to Fortinet. The license granted respecting any Software for which a refund is given automatically terminatesimmediatelyuponrefund. Forpurpo,eoftheabovehardwareand,oftwarewarrantie,,theterm"functional specifications" means solely those specifications authorized and published by Fortinet that expressly state in such specifications that they are the functional specifications referred to in this section 6 of this Agreement, and, in the event no such specifications are provided to you with the Software or Hardware, there shall be no warranty on such Software. 7. Disclaimer of Other Warranties and Restrictions. EXCEPT FOR THE LIMITED WARRANTY SPECIFIED IN SECTION 6 ABOVE, THE PRODUCT AND SOFTWARE ARE PROVIDED "AS -IS" WITHOUT ANY WARRANTY OF ANY KIND INCLUDING, WITHOUT LIMITATION, ANY IMPLIED WARRANTY, IMPLIED OR EXPRESS WARRANTY OF MERCHANTABILITY, OR WARRANTY FOR FITNESS FOR A PARTICULAR PURPOSE AND NON -INFRINGEMENT. IF ANY IMPLIED WARRANTY CANNOT BE DISCLAIMED IN ANY TERRITORY WHERE A PRODUCr IS SOLD, THE DURATION OF SUCH IMPLIED WARRANTY SHALL BE LIMITED TO NINETY (90) DAYS FROM THE DATE OF ORIGINAL SHIPMENT FROM FORTI N ET. EXCEPT AS EXPRESSLY COVERED UNDER THE LIMITED WARRANTY PROVIDED HEREIN, THE ENTIRE RISK AS TO THE QUALITY, SELECTION AND PERFORMANCE OF THE PRODUCT IS WITH THE PURCHASER OF THE PRODUCT. NOTWITHSTANDING ANYTHING TO THE CONTRARY, THE HARDWARE WARRANTY PERIOD DISCUSSED ABOVE DOES NOT APPLY TO CERTAIN FORTINET PRODUCTS, INCLUDING FORTITOKEN WHICH HASA 365 DAY WARRANTY FROM THE DATE OF SHIPMENT FROM FORTINET'S FACILITIES, AND THE SOFTWARE WARRANTY DOES NOT APPLY TO CERTAIN FORTINET PRODUCTS. YOU HEREBY ACKNOWLEDGE AND AGREE THAT NO VENDOR CAN ASSURE COMPLETE SECURITY AND NOTHING HEREIN OR ELSEWHERE SHALL BE DEEMED TO IMPLY A SECURITY GUARANTEE OR ASSURANCE, AND FORTINET DISCLAIMS LIABILITY REGARDING YOUR WEB BROWSER'S REQUIREMENTS OR ANY THIRD PARTY DEVICE OR APPLIANCE USED TO OPERATE THE SOFTWARE. The warranty in Section 6 above does not apply if the Software, Product or any other equipment upon which the Software is authorized to be used (a) has been altered, except by Fortinet or its authorized representative, (b) has not been installed, operated, repaired, updated to the latest version, or maintained in accordance with instructions supplied by Fortinet, (c) has been subjected to abnormal physical or electrical stress, misuse, negligence, or accident; (d) is licensed for beta, evaluation, donation, testing or demonstration purposes or for which Fortinet does not charge a purchase price or license fee; or (e) is procured from a non - authorized reseller or non -authorized distributor. In the case of beta, testing, evaluation, donation or free Software or Product, the end user acknowledges and agrees that such Software or Product may contain bugs or errors and could use system failures, data loss and other issues, and the end user agrees that such Software or Product is provided "as -is" without any warranty whatsoever, and Fortinet disclaims any warranty or liability whatsoever. An end user's use of evaluation or beta Software or Product is limited to thirty (30) days from original shipment unless otherwise agreed in writing by Fortinet. For clarity, notwithstanding anything to the contrary, all sales are final and no provision in this ELLA entitles you to return Products, other than as expressly set forth herein. 8. Governing Law. Any disputes arising out of this Agreement or Fortinet', limited warranty shall be governed by the laws of the state of California, without regard to the confict of laws principles. In the event of any disputes arising out of this Agreement or Fortinet', limited ranty, the parties submit to the jurisdiction of the federal and state courts located in Santa Clara County, California, as applicable, and agree that any controversy or claim arising out of or relating to this Agreement shall be determined in the federal and state courts located in Santa Clara County, California, as applicable. 9. Limitation of Liability. TOT E MAXIMUM EXTENT PERMITTED BY LAW AND NOTWITHSTANDING ANYTHING TO THE CONTRARY, FORTINET IS NOT LIABLE UNDER ANY CONTRACT, NEGLIGENCE, TORT, STRICT UABILITY, INFRINGEMENT OR OTHER LEGAL OR EQUITABLE THEORY FOR ANY LOSS OF USE OF THE PRODUCT OR SERVICE OR ANY DAMAGES OF ANY KIND WHATSOEVER, WHETHER DIRECT, SPECIAL, INCIDENTAL OR CONSEQUENTIAL (INCLUDING, BUT NOT LIMITED TO, DAMAGES FOR LOSS OF GOODWILL, LOSS OF PROFIT, LOSS OF OPPORTUNITY, LOSS OR DAMAGE RELATED TO USE OF THE PRODUCT OR SERVICE IN CONNECrION WITH HIGH RISK ACTIVITIES, RE- INSTALLATION AND INSTALLATION FEES AND COSTS, DAMAGE TO PERSONAL OR REAL PROPERTY, WORK STOPPAGE, COMPUTER FAILURE OR MALFUNCTION, COMPUTER SECURITY BREACH, COMPUTER VIRUS INFECTION, LOSS OF INFORMATION OR DATA CONTAINED IN, STORED ON, OR INTEGRATED WITH ANY PRODUCT INCLUDING ANY PRODUCT RETURNED TO FORTINET FOR WARRANTY SERVICE) RESULTING FROM THE USE OF THE PRODUCT, RELATING TO WARRANTY SERVICE, OR ARISING OUT OF ANY BREACH OF THE LIMITED WARRANTY IN SECTION 6 ABOVE, EVEN IF FORTINET HAS BEEN ADVISED OF THE POSSIBILITY OF SUCH DAMAGES. THE SOLE REMEDY FOR A BREACH OF THE LIMITED WARRANTY IS, AT FORTINET'S SOLE AND ABSOLUTE DISCRETION: REPAIR, REPLACEMENT, OR REFUND OF THE DEFECTIVE OR NON -CONFORMING PRODUCT AS SPECIFICALLY STATED IN SECTION 6 ABOVE; PROVIDED, HOWEVER, IN NO EVENT SHALL ANY END-CUSrOMER REMEDIES UNDER THIS ELLA AND ANY SUPPORT AGREEMENT EXCEED THE AMOUNT PAID TO FORTINET FOR THE SPECIFIC APPLICABLE DEFECTIVE OR NON -CONFORMING PRODUCT AT ISSUE. 10. Compliance with Laws, including Import/Export Laws and FCPA. You are advised that the Products may be subject to the United States Export Administration Regulations and other import and expert laws; diversion contrary to United States law and regulation is prohibited. You agree to complywith all applicable international and national laws that apply to the Products as well as end user, end -use, and destination restrictions issued by U.S. and other governments For additional information on U.S. export controls see htto,://wwmbis.doc v. Fortinet assumes no respon,i bility or liability foryourfailure to obtain any necessary nI and export approvals and licenses, and Fortinet reserves the right to terminate or suspend shipments, services and support in the event Fortinet has a reasonable basisto suspect any import or export violation. You represent that neither the United States Bureau of Industry and Security nor any other governmental agency has issued sanctions use relating to nuclear, chemical or biologjpa;raponsygryA le technology, unless authorized by the United States Government by regulation or specific written license. Additionally, you agree not to directly or Ind l rectly export, Import or transmit the Products ontrary to the laws or regulations of any other governmental entity that has jurisdiction over such export, import, transmission or se. Furthermore, you hereby agree that, for any orders that you place with Fortinet whereby any legal or regulatory requirements may apply to Fortinet such as requirements related to the International Traffic in Arms Regulations, or Buy American Act, or the Trade Agreements Act: you are responsible to ensure the Purchase Order submitted to Fortinet by you and/or any partners clearly states the specific requi remerd in writing, or otherwise Fortinet is not bound by any such requirements. You represent that you understand, and you hereby agree to comply with, all applicable laws including but not limited to the U.S. Foreign Corrupt Practices Act. You represent that you hereby agree that you and your employees have not accepted, and will not accept, anything of value, including money, meals, entertainment, paid -for travel, beta, testing, evaluation, donation or free Products and/or related services, or anything else of value, in exchange for Fortinet maintaining current business or for new business opportunities. You represent and warrant to Fortinet that you and your employees, consultants, agents and representatives wil I not use Fortinet's products and services to engage in, or support in any way, violations or abuses of human rights, including those involving censorship, surveillance, detention, or excessive e of force. You agree you and your employees will be responsible to comply in full with all laws and policies applicable to any and all dealings with Fortinet in general and its distributors, resellers and partners. 21. U.S. Government End Users. The Software and accompanying documentation are deemed to be "commercial computer software" and "commercial computer software documentation;' respectively, pursuant to DFAR Section 227.7202 and FAR Section 12.212, as applicable. Any use, modification, reproduction, release, performance, display or disclosure of the Software and accompanying documentation by the United States Government shall be governed solely by the terms of this Agreement and shall be prohibited except to the extent expressly permitted by the terms of this Agreement and Its successors. 22. Tax Liability. You agree to be responsible for payment of any sales or use taxes imposed at anytime on this transaction. 23. General Provisions. Except as specifically permitted and required in section 5 ("Transfer') above, you agree not to assign this Agreement or transfer any of the rights or obligations under this Agreement without the prior written consent of Fortinet. This Agreement shall be binding upon, and inure to the benefit of, the successors and permitted assigns of the parties. The United Nations Convention on Contracts for the International Sales of Goods is expressly excluded. This Agreement and other Fortinet agreements may be amended or supplemented only by a writing that refers explicitly to the agreement signed on behalf of both parties, or, for this Agreement, as otherwise expressly provided in the lead-in above Section 1 above, provided, notwithstanding anything to the contrary and except for this Agreement which may be amended or updated as expressly provided in the lead-in above Section I above, for any amendment or other agreement to be binding on Fortinet, such amendment or other agreement must be signed by Fortinet's General Counsel. No waiver will be implied from conductor failure to enforce rights nor effective unless in a writing signed on behalf oft eparty against whom the waiver is asserted. 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Contents and Terms Are Subject to Change by Fortinet Without Prior Nofil.4 - 80 8/20/2024 page 2 of2 Public Works Agency www.santa-ana.org/public-works Item # 15 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report August 20, 2024 TOPIC: Storage Containers AGENDA TITLE Aggregate Purchase Order Contracts to Bizon Group, Inc. and Southwest Mobile Storage, Inc. for Storage Container Purchase, Rental, Disposal, Transport, and Repair Services (Specification No. 24-053) (Non -General Fund) RECOMMENDED ACTION Award aggregate purchase order contracts to Bizon Group, Inc. and Southwest Mobile Storage, Inc. for as -needed storage container purchase, rental, disposal, transport, and repair services, in an annual aggregate amount of $110,000, for a total aggregate amount not to exceed $550,000, for an initial one-year term beginning August 21, 2024 and expiring August 20, 2025, with provisions for four 1-year renewal options. GOVERNMENT CODE §84308 APPLIES: No DISCUSSION The Public Works Agency (PWA)'s Water Resources Division (Water Resources) oversees and maintains the daily operations of the water system and sanitary sewer system. The City's water system is composed of approximately 478 miles of water mains, supplying the City's drinking water, along with a sanitary sewer system of approximately 390 miles of sewer mains, serving 333,000 water valves, as well as over 8,200 sewer manholes and clean -outs. This contract provides for the purchase, rental, disposal, transport, and repair services of storage containers on an as -needed basis. PWA relies on having specialty equipment, tools, and other items such as pipes, hydrants, and valves on hand for the repair and maintenance of the City's water system infrastructure. The containers will be kept at various sites throughout the city and provide a secure location for these items. Invitation for Bids (IFB) No. 24-053 was issued on April 18, 2024 on the City's online bid management and publication system. A summary of vendor participation and results is as follows: City Council 15 — 1 8/20/2024 Storage Containers August 20, 2024 Page 2 235 Vendors Notified 14 Santa Ana Vendors Notified 13 Vendors Downloaded IFB 3 Bids Received 0 Bids Received from Santa Ana Vendors Bids were solicited, opened on May 9, 2024, and evaluated (Exhibit 1). Three bids were submitted by the IFB deadline and two were determined to be responsible, responsive to the specifications, and met the City's requirements. The bid submitted by Sun Pac Storage Containers was deemed non -responsive as the vendor did not meet IFB specifications. The bids submitted by Bizon Group, Inc. and Southwest Mobile Storage were both determined to be the lowest, responsible bids, were responsive to the specifications, and meet the City's requirements. Local Outreach Efforts The Purchasing Division advertised this project on the City's online bid management and publication system, which directly notified 14 Santa Ana vendors. No Santa Ana vendors downloaded the IFB nor submitted a bid for consideration. ENVIRONMENTAL IMPACT There is no environmental impact associated with the action. FISCAL IMPACT Funding is available in the FY 2024-25 budget for an estimated amount of $110,000 in various departmental Miscellaneous Operating Expense accounts (no. 63001). Future fiscal year funding for a total amount not to exceed $550,000 will be included in the proposed budgets for City Council consideration. Prior to utilizing the citywide contracts, the requesting departments will follow the Purchasing Policies and Procedures (Policy) and ensure funds are available. Upon successful completion of the fiscal review, the Purchasing Division will approve orders in accordance with the Policy. Fiscal Accounting Fund Accounting Unit, Amount Year Unit — Description Account Account # Description 05617640- Sanitary Miscellaneous Operating $10,000 63001 Sewer Service Expenses 06017640- Water Water Utility Water $30,000 63001 Production and Supply, FY Miscellaneous Operating 24-25 Expenses 06017641- Water Water System $15,000 63001 Maintenance, Miscellaneous Operating Expenses City Council 15 — 2 8/20/2024 Storage Containers August 20, 2024 Page 3 Fiscal Accounting Fund Accounting Unit, Amount Year Unit — Description Account Account # Description 99999999- Various Funds Citywide, Miscellaneous $55,000 63001 Operating Expenses 05617640- Sanitary Miscellaneous Operating $10,000 63001 Sewer Service Expenses 06017640- Water Water Utility Water $30,000 63001 Production and Supply, Miscellaneous Operating FY Expenses 25-26 06017641- Water Water System $15,000 63001 Maintenance, Miscellaneous Operating Expenses 99999999- Various Funds Citywide, Miscellaneous $55,000 63001 Operating Expenses 05617640- Sanitary Miscellaneous Operating $10,000 63001 Sewer Service Expenses 06017640- Water Water Utility Water $30,000 63001 Production and Supply, Miscellaneous Operating FY Expenses 26-27 06017641- Water Water System $15,000 63001 Maintenance, Miscellaneous Operating Expenses 99999999- Various Funds Citywide, Miscellaneous $55,000 63001 Operating Expenses 05617640- Sanitary Miscellaneous Operating $10,000 63001 Sewer Service Expenses 06017640- Water Water Utility Water $30,000 63001 Production and Supply, Miscellaneous Operating FY Expenses 27-28 06017641- Water Water System $15,000 63001 Maintenance, Miscellaneous Operating Expenses 99999999- Various Funds Citywide, Miscellaneous $55,000 63001 Operating Expenses FY 05617640- Sanitary Miscellaneous Operating $10,000 28-29 63001 Sewer Service Expenses City Council 15 — 3 8/20/2024 Storage Containers August 20, 2024 Page 4 Fiscal Accounting Fund Accounting Unit, Amount Year Unit — Description Account Account # Description 06017640- Water Water Utility Water $30,000 63001 Production and Supply, Miscellaneous Operating Expenses 06017641- Water Water System $15,000 63001 Maintenance, Miscellaneous Operating Expenses 99999999- Various Funds Citywide, Miscellaneous $55,000 63001 Operating Expenses TOTAL $550,000 EXHIBIT(S) 1. Bid Abstract Submitted By: Nabil Saba, P.E., Executive Director — Public Works Agency Approved By: Alvaro Nunez, City Manager City Council 15 — 4 8/20/2024 ABSTRACT OF BIDS Storage Container Purchase, Rental, Disposal, Transport & Repair Services (24-053) BIDDER LOCATION TOTAL Bizon Group, Inc. Lathrop, CA $ 162,914.50 Southwest Mobile Storage Phoenix, AZ $ 265,069.00 0:/:111.11m City Council 15 — 5 8/20/2024 Public Works Agency www.santa-ana.org/public-works Item # 16 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report August 20, 2024 TOPIC: Vehicle Tires AGENDA TITLE Purchase Order Contracts to Daniels Tire Service and Parkhouse Tire, Inc. for Vehicle Tires (Specification No. 24-088) (Non -General Fund) RECOMMENDED ACTION Award aggregate purchase order contracts to Daniels Tire Service and Parkhouse Tire, Inc. for vehicle tires for a three-year period beginning August 20, 2024 and expiring August 19, 2027, with provisions for two, one-year renewal options, in an annual aggregate amount not to exceed $200,000. GOVERNMENT CODE §84308 APPLIES: No DISCUSSION The Public Works Agency is responsible for the acquisition, maintenance, repair, and replacement of all City vehicles, trucks, and maintenance equipment. The City has a fleet of over 650 vehicles and equipment that require routine tire replacement to ensure driver safety, fuel efficiency, and proper vehicle maintenance. Vehicle tires are selected to best suit each vehicle's requirements and meet manufacturer's recommendations. Santa Ana Ordinance No. NS-3041 authorizes the City to utilize purchases against contracts from any public agency employing a competitive bid process. The NASPO ValuePoint contracts with The Goodyear Tire & Rubber Company (Contract #MA24155) and Bridgestone Americas Tire Operation, LLC (Contract #MA24158). Daniels Tire Service, located in Santa Fe Springs, CA is an authorized reseller for The Goodyear Tire & Rubber Company contract and Parkhouse Tire Inc., located in Santa Ana, CA is an authorized reseller for the Bridgestone Americas Tire Operation, LLC contract. Both resellers are offering tires under the NASPO ValuePoint contracts for their respective suppliers. These contracts were awarded as a result of open, competitive bidding, and meet the City's requirements. Utilizing the contracts through both vendors will ensure immediate access and availability to the tires required to avoid lapse in service. ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. City Council 16 — 1 8/20/2024 Vehicle Tires August 20, 2024 Page 2 FISCAL IMPACT Funds are budgeted in the Public Works Agency Fleet Maintenance Equipment Maintenance/Garage Operation account for Fiscal Year 2024-25 and will be charged back to various operating departments through monthly vehicle rental charges. Subsequent funding for the remainder of the first year of the contract and the two one- year renewal options, if exercised, will be budgeted and made available in future fiscal years. Fiscal Accounting Fund Accounting Unit, Amount Year Unit- Description Account Description Account # Equipment Maint—Garage 2024-25 07517100- Fleet Operation, Operating $183,333 (Aug -Jun) 63202 Maintenance Materials & Supplies Equipment Equipment Maint—Garage 2025-26 07517100- Fleet Operation, Operating $200,000 63202 Maintenance Materials & Supplies Equipment Equipment Maint—Garage 2026-27 07517100- Fleet Operation, Operating $200,000 63202 Maintenance Materials & Supplies Equipment Equipment Maint—Garage 2027-28 07517100- Fleet Operation, Operating $16,667 (July) 63202 Maintenance Materials & Supplies Equipment Optional 1-Year Extension Equipment Maint—Garage 2027-28 07517100- Fleet Operation, Operating $183,333 (Aug -Jun) 63202 Maintenance Materials & Supplies Equipment Equipment Maint—Garage 2028-29 07517100- Fleet Operation, Operating $16,667 (July) 63202 Maintenance Materials & Supplies Equipment Optional 1-Year Extension Equipment Maint—Garage 2028-29 07517100- Fleet Operation, Operating $183,333 (Aug -Jun) 63202 Maintenance Materials & Supplies Equipment City Council 16 — 2 8/20/2024 Vehicle Tires August 20, 2024 Page 3 Fiscal Accounting Fund Accounting Unit, Amount Year Unit- Description Account Description Account # Equipment Maint—Garage 2029-30 07517100- Fleet Operation, Operating $16,667 (July) 63202 Maintenance Materials & Supplies Equipment TOTAL $1,000,000 Submitted By: Nabil Saba, P.E., Executive Director — Public Works Agency Approved By: Alvaro Nunez, City Manager City Council 16 — 3 8/20/2024 City Attorney's Office www.santa-ana.org/city-attorneys-office Item # 17 o`'r City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report August 20, 2024 TOPIC: Agreement for Legal and Investigative Services AGENDA TITLE Legal Services Agreement with Hanson Bridgett, LLP (General Fund) RECOMMENDED ACTION Approve a legal services agreement with Hanson Bridgett, LLP to provide legal and investigative services with a term through June 30, 2025 with an optional one-year extension, and compensation not to exceed $200,000 (Agreement No. A-2024-XXX). GOVERNMENT CODE 484308 APPLIES: Yes DISCUSSION The City Attorney's Office has previously engaged Hanson Bridgett, LLP (Attorneys) to provide legal and investigative services. Attorneys were engaged due to their vast expertise and resources, including a staff of over 200 attorneys across the State and legal network/alliance memberships, both national and international, to meet the City's goals. In addition to being well -versed in all stages of the litigation process, the Attorneys' expertise include municipal law, labor, and employment, as well as conducting internal investigations. Further, the Attorneys have vast experience representing public agencies including the City of Beverly Hills Police and Fire Departments, City of Anaheim, and City of Alhambra Police Department, among others. Services provided by Attorneys in the past have exceeded expectations, and the City Attorney's Office would now like to engage Hanson Bridgett, LLP in an agreement for legal and investigative services for $200,000. The term of the agreement runs through June 30, 2025, with an option for the City Manager and City Attorney to extend the term for one additional year. ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. City Council 17 — 1 8/20/2024 Agreement for Legal and Investigative Services August 20, 2024 Page 2 FISCAL IMPACT Funds are budgeted and available in the following account for the current fiscal year: Fiscal Year Accounting Unit -Account # Fund Description Accounting Unit, Account Description Amount FY 24-25 01105015-62300 General Fund General Non- $200,000 Departmental, Contract Services -Professional TOTAL $200,000 EXHIBIT(S) 1. Legal Services Agreement with Hanson Bridgett, LLP Submitted By: Sonia Carvalho, City Attorney Approved By: Alvaro Nunez, City Manager City Council 17 — 2 8/20/2024 LEGAL SERVICES AGREEMENT WITH HANSON BRIDGETT LLP This AGREEMENT, made and entered into this 20th day of August, 2024, by and between Hanson Bridgett LLP ("Attorneys"), and the City of Santa Ana, a charter city and municipal corporation duly organized and existing under the constitution and laws of the State of California ("City"). RECITALS A. The City of Santa Ana and the City Attorney's Office City desires to employ Attorneys to assist the in-house attorneys for the City ("City Attorney") in the provision of legal and investigative services to the City. B. Attorneys represent that they are licensed to practice law in the State of California, have special experience and knowledge related to administrative and litigation matters concerning general liability, personnel and police matters, and desire to undertake said services. 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. RETENTION OF ATTORNEYS On an as -needed basis, and at the sole discretion of the City, City hereby agrees to and does retain Attorneys, for the compensation hereinafter specified, to assist the City Attorney with legal and investigative matters. Attorneys accept said retention and agree to perform, in a timely and efficient manner, all such services as may be requested by the City Attorney. Attorneys shall confirm their acceptance of work requested by City in writing by e-mail or letter. 2. COMPENSATION FOR SERVICES RENDERED a. City agrees to compensate Attorneys, and Attorneys agree to accept from City, as and for payment in full for all services compensation at the following rates: Partner rates are $495.00 an hour and Associate range from $350-395 an hour. Time will be billed in 1/10th of an hour increments. b. The total sum to be expended under this Agreement, shall not exceed $200,000. including any extension periods. C. City agrees to reimburse Attorneys for out-of-pocket expenses, including but not limited to, mileage, copying costs, service of process, and mail services authorized by the City Attorney in connection with the performance of duties under this Agreement. i. In-house printing, copying, and reproduction charges will be reimbursed at the rate of 20 cents per page. ii. The City will not reimburse Attorneys for Lexis, Westlaw or other paid legal research subscription services for ordinary legal research. However, the City will reimburse Attorneys for extraordinary legal research costs related to a complex legal matter or assignment and if pre -approved in writing by the City Attorney. City Council 17 — 3 8/20/2024 iii. The City will not reimburse Attorneys for ordinary document management systems used for discovery purposes unless such technology is deemed necessary by the City Attorney and if pre -approved in writing by City Attorney. iv. Attorneys agree to directly pay for vendors, consultants, or experts, and then seek reimbursement from the City. V. Attorneys agree to seek authorization from City Attorney before retaining experts and consultants. vi. Automobile travel will be reimbursed at the standard mileage rate in effect at the time of billing by the Internal Revenue Service. vii. Any costs in excess of $5,000 require City Attorney approval prior to incurring the expense. All expenses must have supporting documentation submitted with the invoice. 3. METHOD OF PAYMENT Attorneys shall submit a monthly statement specifying the services performed, dates and number of hours, and an itemization of expenses related thereto with supporting documentation (i.e. receipts, invoices, copy of check, etc.). City acknowledges that the fees incurred for work performed by Attorneys on its behalf are due and owing within 30 days of the work being performed. At Attorneys' discretion, they may choose to defer payment. Notwithstanding this, City agrees that it shall tender payment within 30 days of written demand by Attorneys for payment. Unless expressly stated thereon, monthly statements generated by Attorneys shall not constitute written demand, but shall simply be a written reflection of work performed and fees incurred. City will not pay interest on unpaid monthly statements. City agrees to compensate Attorneys for work performed between June 1, 2024, and the first date written above. 4. CONTROL OF LEGAL MATTERS Attorneys agree that each and every matter or proceeding in which they undertake to assist the City Attorney, as aforesaid, shall be and remain under, and subject to the control and direction of said City Attorney at all stages, and that they shall at all times keep the City Attorney informed of all matters pertaining thereto. City will keep Attorneys informed of all significant developments in matters relating to any representation undertaken by Attorneys. Attorneys further agree, if and when their retention hereunder is terminated by City, as hereinafter specified, they shall return to City Attorney any and all files then in their possession concerning each and every matter or proceeding in which they represented the City pursuant to this Agreement. 5. REPORTING REQUIREMENTS Attorneys agree to keep the City Attorney, and any other person(s) designated by the City Attorney, informed of significant events in the Actions. 6. TERM The term of this Agreement shall commence on the date first written above and terminate on June 30, 2025, unless terminated earlier pursuant to Section 15 below. The term of this Agreement may be extended for up to one (1) year upon a writing executed by both parties, including the City Manager and the City Attorney. 7. INDEPENDENT CONTRACTORS It is mutually agreed by and between the parties that, in the performance of their covenants hereunder, Attorneys are and shall be independent contractors, and not officers or employees of City. City Council 17 — 4 8/20/2024 8. INSURANCE Attorneys shall provide to the Executive Director of Human Resources proof of insurance prior to undertaking performance of work under this Agreement, Attorneys shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. 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 $2,000,000 per occurrence. If a general aggregate limit applies, either the general aggregate limit shall apply separately to this project/location (ISO CG 25 03 or 25 04) or the general aggregate limit shall be twice the required occurrence limit. b. Automobile Liability: Insurance Services Office Form Number CA 0001 covering, Code 1 (any auto), or if Consultant has no owned autos, Code 8 (hired) and 9 (non - owned), with limit no less than $1,000,000 per accident for bodily injury and property damage. (Not required if consultant does not use an automobile to perform services) 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. Professional Liability (Errors and Omissions Insurance appropriates to the Consultant's profession, with limit no less than $2,000,000 per occurrence or claim, $2,000,000 aggregate. If Attorneys maintain broader coverage and/or higher limits than the minimums shown above, the City requires and shall be entitled to the broader coverage and/or the higher limits maintained by Attorneys. Any available insurance proceeds in excess of the specified minimum limits of insurance and coverage shall be available to the City. e. Other Insurance Provisions - The insurance policies are to contain, or be endorsed to contain, the following provisions: i. Additional Insured Status- The City of Santa Ana, 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 Attorneys 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 Attorneys' insurance (at least as broad as ISO Form CG 20 10 11 85 or if not available, through the addition of both CG 20 10, CG 20 26, CG 20 33, or CG 20 38; and CG 20 37 forms if later revisions used). ii. Primary Coverage- For any claims related to this contract, Attorneys' insurance coverage shall be primary coverage at least as broad as ISO CG City Council 17 — 5 8/20/2024 20 01 04 13 as respects the City of Santa Ana, its officers, officials, employees, and volunteers. Any insurance or self-insurance maintained by the City of Santa Ana, its officers, officials, employees, or volunteers shall be excess of Attorneys' insurance and shall not contribute with it. iii. Notice of Cancellation- Each insurance policy required above shall state that coverage shall not be canceled, except with notice to the City. f. Waiver of Subrogation- Attorneys hereby grant to City a waiver of any right to subrogation, which any insurer of said Attorneys may acquire against the City by virtue of the payment of any loss under such insurance. Attorneys agree 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. g. Self -Insured Retentions - Self -insured retentions must be declared to and approved by the City. The City may require the Attorneys to purchase coverage with a lower retention or provide proof of ability to pay losses and related investigations, claim administration, and defense expenses within the retention. The policy language shall provide, or be endorsed to provide, that the self -insured retention may be satisfied by either the named insured or City. h. 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. Claims Made Policies - If any of the required policies provide coverage on a claims - made basis: i. The Retroactive Date must be shown and must be before the date of the contract or the beginning of contract work. ii. Insurance must be maintained and evidence of insurance must be provided for at least five (5) years after completion of the contract of work. iii. 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, the Attorneys must purchase "extended reporting" coverage for a minimum of five (5) years after completion of contract work. j. Verification of Coverage — Attorneys shall furnish the City with original Certificates of Insurance including all required amendatory endorsements (or copies of the applicable policy language effecting coverage requiredby this clause) and a copy of the Declarations and Endorsement Page of the CGL policy listing allpolicy endorsements to Entity before work begins. However, failure to obtain the required documents prior to the work beginning shall not waive the Attomey'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. City Council 17 — 6 8/20/2024 k. Subcontractors - Attorneys shall require and verify that all subcontractors maintain insurance meeting all the requirements stated herein, and Attorneys shall ensure that City is an additional insured on insurance required from subcontractors. 1. 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 9. INDEMNIFICATION Attorneys agree to and shall indemnify and hold harmless the City, its officers, agents, employees, and representatives from liability for personal injury, damages, restitution, judicial or equitable relief to the extent caused by Attorneys' negligent or wrongful performance or conduct related to this Agreement. Since the purpose of the Attorneys' engagement is to assist the City in determining the facts related to internal personnel complaints, the City agrees to the following limited indemnity language. The City agrees to indemnify, defend and hold Attorneys, its successors and assigns, and each of its officers and employees, harmless from any and all claims, suits, demands, losses and expenses, including reasonable attorneys' fees, accruing or resulting to any and all persons, firms, or other entity arising out of Attorneys' performance or non-performance of its obligations under this Agreement, unless an error or erroneous omission by Attorneys cause such damage or loss. The City shall not indemnify Attorneys for any matter involving a claim by the City of professional negligence, or any matter for which Attorneys shall have been adjudicated to have acted in bad faith or engaged in willful misconduct or any conduct outside the scope of its retention under this Agreement. This Agreement in no way limits the Attorneys' liability for professional malpractice under California Rule of Professional Conduct 3- 400. 10. CONFIDENTIALITY All information and documents shared with Attorneys as well as all work performed by Attorneys in connection with this Agreement should be treated as strictly confidential. Moreover, all communications between Attorneys and City shall be treated as protected by the attorney -client privilege and the attorney work product doctrine. Accordingly, information received by Attorneys from City should be kept in a secure place, and no information about this work may be disclosed to any third party without City's prior written approval. Attorneys shall provide materials directly to the City Attorney, Sonia Carvalho, or selected members of her office, as directed by the City Attorney. All such information and any written product in connection with Attorneys` retention under this Agreement, shall be marked as "PRIVILEGED AND CONFIDENTIAL / ATTORNEY -WORK PRODUCT" and shall be the property of the City Attorney's Office, and shall be returned/provided to the Office of the City Attorney with all copies upon the request of the City Attorney. 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 Attorneys, disclosed in a publicly available source; (c) is in rightful possession of the Attorneys without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Attorneys without reference to information disclosed by the City. City Council 17 — 7 8/20/2024 11. CONFLICT OF INTEREST CLAUSE Attorneys covenant that it presently has no interests and shall not have interests, direct or indirect, that would conflict in any manner with performance of services specified under this Agreement. 12. 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 telefacsimile 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 92702-1988 Facsimile (714) 647-6956 Courtesy Copy: City Attorney City of Santa Ana 20 Civic Center Plaza (M-29) P.O. Box 1988 Santa Ana, California 92702 Facsimile (714) 647-6515 To Attorneys: Alfonso Estrada, Esq., Partner Hanson Bridgett, LLP 777 S. Figueroa Street, Suite 4200 Los Angeles, CA 90017 Facsimile (213) 395-7618 A party may change its address by giving notice in writing to the other party. Thereafter, any notice, tender, demand, delivery, or other 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 telefacsimile, 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. City Council 17 — 8 8/20/2024 13. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Attorneys, 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 Attorneys. 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 Attorneys 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 parties, which are not embodied herein. 14. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Attorneys, Attorneys 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 of this Agreement performed by City personnel or by other Attorneys retained by City. 15. TERMINATION This Agreement may be terminated by City at any time. In such event, Attorneys shall be entitled to receive and the City shall pay Attorneys compensation for all services performed by Attorneys prior to receipt of such notice of termination. As a condition of such payment, Attorneys shall deliver to the City all files and records generated under this Agreement as of such date. Attorneys may terminate this agreement, subject to their obligation to provide written reasonable notice of at least thirty (30) days to arrange alternative representation. In such case, City agrees to secure new counsel as quickly as possible and to cooperate fully in the substitution of the new counsel as counsel of record in in the Actions. 16. NON-DISCRIMINATION Attorneys 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. Attorneys affirm that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 17. 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. 18. MISCELLANEOUS PROVISIONS 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 City Council 17 — 9 8/20/2024 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. 19. COUNTERPARTS; SIGNATURES This Agreement may be executed in counterparts, secured via facsimile transmission or otherwise, each of which shall be deemed to be an original. Photocopies of any executed counterpart shall have the same force and effect as an original. City further acknowledges that it has read and received a copy the full text Section 6148 of the California Business and Professions Code prior to signing this Agreement. 20. NO GUARANTEES City understands and acknowledges that there are certain risks and uncertainties in the pursuit of any matter for which Attorneys have been retained, that law is not an exact science, that Attorneys have made no representations or guarantees of success regarding the conclusion of any particular matter, and that all expressions relative thereto are matters of Attorneys' opinion only. In other words, Attorneys make no representations or guarantees of success regarding any matter. IN WITNESS WHEREOF, the parties hereto have executed this Agreement the day and year first above written. ATTEST: JENNIFER L. HALL City Clerk APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: TAMARA BOGOSIAN Senior Assistant City Attorney CITY OF SANTA ANA ALVARO NUNEZ Acting City Manager HANSON BRIDGETT LLP By: cam' ALFONSO OTRADA Partner City Council 17 — 10 8/20/2024 Community Development Agency www.santa-ana.org/community-development Item # 18 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report August 20, 2024 TOPIC: Downtown Santa Ana Holiday Decorations AGENDA TITLE Agreement with BrightLife Designs, LLC for Holiday Decorations, Installation, Removal, and Storage (Revive Santa Ana) RECOMMENDED ACTION Authorize the City Manager to execute an agreement with BrightLife Designs, LLC to install, remove, and store holiday decorations in Downtown Santa Ana for a three-year term beginning September 1, 2024 and ending February 1, 2027, in the amount not to exceed $144,400 (Agreement No. A-2024-XXX). GOVERNMENT CODE §84308 APPLIES: Yes DISCUSSION To enhance the City's holiday experience and offer a placemaking attraction for the community, staff is requesting to enter into an agreement with BrightLife Designs, LLC to provide holiday decorations in the Downtown. Holiday decorations encourage residents to visit the downtown and serve as a beautification element throughout the holiday season. In an effort to respond to the business community's request to install holiday decorations throughout Downtown, the Community Development Agency issued a Request for Proposals (RFP) #24-023A in February 2024 seeking qualified and experienced contractors for the installation, removal, and storage of holiday decorations. Six proposals were received and an evaluation committee composed of staff from the Parks, Recreation, and Community Services Agency and Community Development Agency reviewed and rated the proposals. The proposals were evaluated according to the following categories: Responsiveness, Experience, Cost, and Reference. BrightLife Designs, LLC ranked first due to being the most responsive, capable, and experienced respondent. The results of the RFP evaluation as follows: City Council 18 — 1 8/20/2024 Downtown Santa Ana Holiday Decorations August 20, 2024 Page 2 Vendor Rank BrightLife Designs, LLC 1 St. Nick's 2 Dekra-Lite 3 Polar Bear Lighting 4 Trovao and Associates 5 Celebration Holiday Studio 6 The BrightLife Designs, LLC proposal provides several options that will help the City adjust or modify holiday decoration as needed. The proposal demonstrated the ability to meet the unique needs of Downtown, provides for flexibility, and is readily available with an office in Orange County. In addition, BrightLife Designs, LLC has subject matter expertise and a solid track record in working with other government agencies. Most importantly, BrightLife Designs, LLC prioritizes safety with the installation of the holiday decorations in order to preserve the security of residents, visitors, and property. American Rescue Plan Act (ARPA) funds will be utilized as program funds will need to be spent by 2026. FISCAL IMPACT The City anticipates spending the contract funds by December 31, 2026 to comply with ARPA regulations. Funds were budgeted and available in the following account in FY 2023-24; a proposed carry-over of unspent funds will be presented to the City Council for approval of carry- over to FY 2024-25 and future fiscal years. Fiscal Accounting Unit- Fund Description Accounting Unit, Amount Year Account No. Account Description FY 24-25 18118013-62300 American Rescue ARPA — Contract $60,000 (22132301302) Plan Act (ARPA) Services -Professional FY 25-26 18118013-62300 American Rescue ARPA — Contract $42,200 (22132301302) Plan Act (ARPA) Services -Professional FY 26-27 18118013-62300 American Rescue ARPA — Contract $42,200 (22132301302) Plan Act (ARPA) Services -Professional Total: $144,400 EXHIBIT(S) 1. Agreement Submitted By: Michael L. Garcia, Executive Director, Community Development Agency Approved By: Alvaro Nunez, City Manager City Council 18 — 2 8/20/2024 EXHIBIT 1 AGREEMENT FOR HOLIDAY DECORATION, INSTALLATION, REMOVAL AND STORAGE BETWEEN BRIGHTLIFE DESIGNS AND CITY OF SANTA ANA THIS AGREEMENT is made and entered into on this 20th day of August, 2024 by and between BrightLife Designs, LLC, ("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 February 28, 2024, the City issued a Request for Proposal No. 24-023A ("UP"), by which it sought a contractor to install, remove, and store holiday decorations for several areas in the City of Santa Ana. Contractor submitted a timely and responsive proposal which has been selected by the City. B. Contractor represents that Contractor is able and willing to provide such services to the City. 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 Scope of Services - Exhibit A, attached hereto and incorporated by reference. 2. COMPENSATION a. City agrees to pay, and Contractor agrees to accept as total payment for its services for City, the rates and charges identified in Compensation - Exhibit B. The total amount to be expended during the term of this Agreement shall not exceed $144,400. 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'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. Page 1 of 9 #40City tounci1 18 — 3 8/20/2024 EXHIBIT 1 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 September 1, 2024 and continue through February 1, 2027, unless terminated earlier in accordance with Section 15, below. 4. 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. 5. OWNERSHIP OF MATERIALS This Agreement creates a non-exclusive and perpetual license for City to copy, use, modify, reuse, or sublicense any and all copyrights, designs, and other intellectual property embodied in plans, specifications, studies, drawings, estimates, and other documents or works of authorship fixed in any tangible medium of expression, including but not limited to, physical drawings or data magnetically or otherwise recorded on computer diskettes, which are prepared or caused to be prepared by Contractor under this Agreement ("Documents & Data"). Contractor shall require all subcontractors to agree in writing that City is granted a non-exclusive and perpetual license for any Documents & Data the subcontractor prepares under this Agreement. Contractor represents and warrants that Contractor has the legal right to license any and all Documents & Data. Contractor makes no such representation and warranty in regard to Documents & Data which were provided to Contractor by the City. City shall not be limited in any way in its use of the Documents and Data at any time, provided that any such use not within the purposes intended by this Agreement shall be at City's sole risk. 6. INSURANCE Prior to undertaking performance of work under this Agreement, Contractor shall maintain and shall require its subcontractors, to obtain and maintain insurance, as described below, for the entire Term of this Agreement, against claims for injuries to persons or damage to property which may arise from or in connection with services, products and materials supplied to City. Total cost of such insurance shall be borne by Contractor. Page 2 of 9 #40City tounci1 18 — 4 8/20/2024 EXHIBIT 1 MINIMUM SCOPE OF INSURANCE Coverage shall be at least as broad as: 1. Commercial General Liability (CGL): Insurance Services Office Form CG 00 01 covering CGL on an "occurrence" basis, including products and completed operations, property damage, bodily injury and personal & advertising injury with limits no less than $1,000,000 per occurrence and $2,000,000 aggregate. Required policy limits can be met with primary and umbrella/excess insurance policies. 2. Automobile Liability: Insurance Services Office Form Number CA 00 01 covering any auto (Code 1), with limit no less than $1,000,000 per accident for bodily injury and property damage. 3. Workers' Compensation: 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, policy or employee, for bodily injury or disease. If the Contractor maintains broader coverage and/or higher limits than the minimum requirements for each line of coverage shown above, the City requires and shall be entitled to the broader coverage and/or higher limits maintained by the Contractor. Any available insurance proceeds in excess of the specified minimum limits of insurance and coverage shall be available to the City. Other Insurance Provisions The insurance policies are to contain, or be endorsed to contain, the following provisions: 1. City, its City Council, its officers, officials, employees, agents, and volunteers are to be covered as additional insureds, under Contractor's CGL and Automobile Liability policies, with respect to liability arising out of work or operations performed by or on behalf of the Instructor including materials, parts, equipment, and personnel furnished in connection with such work or operations. 2. Contractor's Insurance company(ies) agrees to waive all rights of subrogation against City, its City Council, its officers, officials, employees, agents, and volunteers for losses paid under the terms of any policy which arise from work performed by Contractor under this Agreement. 3. 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. 4. 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. 5. Insurance policy(ies) 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 shall be provided to City for policy cancellation or non - renewal due to non-payment. 6. Certificate Holder on each Evidence of Insurance certificate shall be: City of Santa Ana, 20 Civic Center Plaza, Santa Ana, CA 92701. The name and location of project must be included in the Description of Operations section of each certificate. Page 3 of 9 #40City tounci1 18 — 5 8/20/2024 EXHIBIT 1 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. Verification of Coverage Contractor shall furnish the City with original certificates and 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 before work begins.. However, failure to obtain the required documents prior to the work beginning shall not waive the Contractor'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. 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. 7. 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. 8. 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 Page 4 of 9 #40City tounci1 18 — 6 8/20/2024 EXHIBIT 1 or documents provided by Contractor to the City pursuant to this Agreement. 9. 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. 10. 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. 11. 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. 12. 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 Page 5 of 9 #40City tounci1 18 — 7 8/20/2024 EXHIBIT 1 applicable federal, state and local laws and regulations. 13. 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. 14. 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. 15. 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. 16. 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. Page 6 of 9 #40City tounci1 18 — 8 8/20/2024 EXHIBIT 1 17. 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. 18. 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. 19. 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, CA 92702-1988 Fax: 714- 647-6956 With courtesy copies to: Executive Director, Community Development Agency City of Santa Ana 20 Civic Center Plaza (M-25) P.O. Box 1988 Santa Ana, California 92702 Page 7 of 9 #40City tounci1 18 — 9 8/20/2024 EXHIBIT 1 To Contractor: Joe Castro Owner/Designer/Legal Compliance Bright Life Designs, LLC 16351 Gothard St., Ste C Huntington Beach, CA 92647 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. 20. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. [signatures on following page] Page S of 9 #40City tounci1 18 — 10 8/20/2024 EXHIBIT 1 1N WITNESS WHERE0 1 .. tltc parties hez,eto have executed this Agreement the date and year first above written. ATTEST: 3ennifer L. Hall City Cleric APPROVED AS TO FORM: SOMA R. CARVALHO City Attorncy CITY OF SAN T A ANA Al aro Nunez Actiing City Manager CONTRACTOR: Andrea Garcia -Miller N e: J0e astro Assistant City Attorney Tifee: Owner RECOMMENDED FOR APPROVAL: Michael L. Garcia Executive Director Community Development Agency Page 9 of 9 1140043�NI City Council 18 —11 8/20/2024 EXHIBIT 1 EXHIBIT A SCOPE OF SERVICES City Council 18 — 12 8/20/2024 (9) CITY OF SANTA ANA EXHIBIT I SCOPE OF SERVICES EXHIBIT 1 The Contractor shall install, remove, and store holiday decorations for several areas in the City of Santa Ana as specified below. A. Annual Proposal and Safety Inspection 1. Annually, during the months of July -August, Contractor is responsible for: a. Providing a proposal for holiday decor for City's consideration, b. Refurbishment recommendations, c. Identification of new locations for holiday decor, and d. Itemization of the cost per season/use. 2. Prior to installation each year, Contractor must perform a comprehensive inspection of all decorations and lights to ensure safety and to identify any signs of wear. 3. A comprehensive plan for the annual replacement and refurbishment of decorations is required to ensure proper working order, safety, and a consistent visual appearance each year. B. Electrical Component Installation All installation of electrical components must adhere to the highest standards of safety and best business practices for outdoor electrical installation and use. C. Installation & Removal Timeline The installation of holiday decorations is scheduled to take place during the 211 or 3rd week of November, annually. All holiday decorations must be removed by the 1s' or 2"d week of January each year for annual cleaning and storage. D. Installation & Removal of City -Owned Decorations 1. The Contractor is expected to handle the installation, removal, and storage of 79 Light Posts, each adorned with 10' sections of decorated garland (two per pole). 2. Additionally, the Contractor is required to manage the installation, removal, and storage of a total of 158, 24" red bows with gold trim with which each Light Post will be decorated, equating to 2 bows per pole. 3. The Contractor is also to provide five (5) 10' sections of decorated garland with 24" red bows and gold trim for additional decorations, as well as provide suggestions for specific additional opportunities for decoration. E. Advisory Services for Specific Additional Decorations 1. Provide recommendations and lease options for two large or four small/medium illuminated accent decorations to be strategically placed in key locations within Downtown Santa Ana and other areas in the City, such as large parking structures. 2. Provide at least two suggestions and lease options for holiday decorations or lighting opportunities (e.g., snowflakes) capable of illuminating walls or buildings within the Downtown area and other areas of the City. City PiNPPIAP19il RFP No. 24-dAA 13 8/46PIe�f 54 (9) EXHIBIT 1 CITY OF SANTA ANA 3. Provide suggestions for string lights that hang parallel to 4th Street, affixed to the light poles from French Street to Ross Street. Include cost of removal of existing lights. F. Locations Locations for decorations are throughout Downtown Santa Ana (DTSA) and are as follows: • 4th Street between Mortimer & Ross Street • 3rd Street between Mortimer & Ross Street • Plaza Calle Cuatro • Second Street Promenade, 2nd & Broadway • Skyline at 4th & Spurgeon • Skyline at 4th & Broadway • Other locations as recommended by the contractor City PiNPPAPIgil RFP No. 24-dAA 14 8/46PPAf 54 18 - 15 EXHIBI 8/20/2024 v O v N *' c u O Cl Q O - � -0 O _0 O O a v - O c 'O 4-1 c a) v v O N OC Y O _0 L C (D N L N C m Q) EXHIBI m r/ • I 1 ` r� Y T P �fi ye� �Aff I -it EXHIBIT m N m a CL m a� a a� H City ouncil 18 — 23 8/20/2024 18-24 EXHIBI 8/20/2024 v N z 0 LU L.L T m � � \ \� . »°w} P4 Ec jo • V k 49 EXHIBIT 1 EXHIBIT B COMPENSATION City Council 18 — 29 8/20/2024 f+ W O wV W 0 CL an IL Ci O O O O O O O O O 0 0 0 0 0 0 0 O O O O O O O O O O O O O O O O 000Ln 000 0Ln 0 Ln 0 0000 Ln O O N N O O O O I- Ln N Ln m 0 0 0 LT <D N II L.D L.D L.f) Ln Ql L.D 00 0 lD 00 00 M Q) M M N 00 rH V n M N 00 -1 r-I M M (3) c�-I` Ln H z L1J r 2 J t/} t )- t/? 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O C 0 -a M m C � Y 3 � m° ar M C O W oc a LJJ F- O H z O Q z LJJ 0: Q LJJ 1A LJJ H EXHIBITI J Q O a O a W H z O 0 LU H N J J H z LU D U Ln N z O a O `5 1 -8/20/-20-24 O Q H c 0 +D nn c c 2 E v o W V N C N �n v J � '0 J � w N L •- Z 0 + �C7�cp N LU L!1 Ln ' m O M (aD W l0 LL ri L) O N CO Q N (J T N i m N tlp 7 (7 A or@^ nci V Finance and Management Services www.santa-ana.org/finance Item # 19 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report August 20, 2024 TOPIC: Indirect Cost Allocation Plan and Internal Service Fund Cost Allocation Methodology Services AGENDA TITLE Agreement with Cherry Bekaert Advisory LLC for Indirect Cost Allocation Plan and Internal Service Fund Cost Allocation Methodology Services RECOMMENDED ACTION Authorize the City Manager to execute an agreement with Cherry Bekaert Advisory LLC for Indirect Cost Allocation Plan and Internal Service Fund Cost Allocation Methodology Services for a total aggregate amount not to exceed $150,000 for a three-year term beginning August 20, 2024 and expiring August 19, 2027, with a provision for a two- year extension (Agreement No. A-2024-XXX). GOVERNMENT CODE §84308 APPLIES: Yes DISCUSSION The Finance and Management Services Agency (FMSA) oversees the comprehensive cost allocation process, which includes the Indirect Cost Allocation Plan and Internal Service Fund Cost Allocation. The primary purpose of these cost allocation plans is to ensure that the City's method of identifying and distributing indirect costs and internal service costs is fair, comprehensive, well -documented, and defensible. These cost allocation plans are used for the budget development process and to recover costs through charges to restricted funding sources. In addition, due to the increased scrutiny from state and federal agencies, staff recommends to continue using experienced firms for these services to remain compliant with applicable laws and regulations. The proposed services include two primary components: an Indirect Cost Allocation Plan (Indirect Costs) and an Internal Service Funds Cost Allocation Methodology. The Indirect Cost Allocation Plan aims to recover the General Fund's overhead costs of providing indirect support services to operating departments and programs. The Internal Service Funds Cost Allocation Methodology aims to develop a full cost allocation methodology to recover annual operating costs of internal service funds from inter- agency customers. City Council 19-1 8/20/2024 Indirect Cost Allocation Plan and Internal Service Fund Cost Allocation Methodology Services August 20, 2024 Page 2 Eight firms submitted proposals in response to the Request for Proposal (RFP) No. 24- 059: Revenue & Cost Specialists, LLC, Willdan Financial Services, ClearSource Financial Consulting, Government Consulting Partners, Inc., Maximus US Services, Inc., MGT of America Consulting, LLC, Cherry Bekaert Advisory LLC, and Matrix Consulting Group, Ltd. The selection committee with experience in the related services evaluated proposals. Based on the Committee's evaluation and review of references, Cherry Bekaert Advisory LLC was selected as the most qualified firm for Indirect Cost Allocation Plan and Internal Service Fund Cost Allocation Methodology Services. They demonstrated extensive experience in this field with governments of similar size. In addition, the firm demonstrated the ability to work with staff to understand the City's operations and maximize recovery of indirect costs. Cherry Bekaert Advisory LLC will provide the following services: Indirect Costs (General Fund Overhead Support): • City Attorney • Office of the City Manager • Human Resources • City Clerk • Finance (Purchasing, Management & Support, Payroll, and Treasury) • Fixed Assets Internal Service Funds: • Building Maintenance • Equipment Maintenance and Replacement • Self -Insurance ( Worker's Compensation, General Liability, and Employees Benefit) • Information & Communication Services • City Yard Operations (Corporate Yard and Fleet maintenance facility) • Public Works Agency's Engineering and Administrative Services ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT Funding is available in the current FY 2024-25 budget, and funding for the subsequent fiscal year will be included in the proposed budget for City Council consideration. City Council 19 — 2 8/20/2024 Indirect Cost Allocation Plan and Internal Service Fund Cost Allocation Methodology Services August 20, 2024 Page 3 Fiscal Accounting Fund Accounting Unit, Account Amount Year Unit -Account# Description Description FY 24-25 01110110-62300 General Fund Finance/Management $20,000 Services - Accounting FY 24-25 01110100-62300 General Fund Finance/Management $10,000 Services — Management & Supt FY 25-26 01110110-62300 General Fund Finance/Management $20,000 Services - Accounting FY 25-26 01110100-62300 General Fund Finance/Management $10,000 Services — Management & Supt FY 26-27 01110110-62300 General Fund Finance/Management $20,000 Services - Accounting FY 26-27 01110100-62300 General Fund Finance/Management $10,000 Services — Management & Supt FY 27-28 01110110-62300 General Fund Finance/Management $20,000 Services - Accounting FY 27-28 01110100-62300 General Fund Finance/Management $10,000 Services — Management & Supt FY 28-29 01110110-62300 General Fund Finance/Management $20,000 Services - Accounting FY 28-29 01110100-62300 General Fund Finance/Management $10,000 Services — Management & Supt Total $150,000 EXHIBIT(S) 1. Agreement Submitted By: Kathryn Downs, Finance and Management Services Executive Director Approved By: Alvaro Nunez, City Manager City Council 19 — 3 8/20/2024 EXHIBIT 1 AGREEMENT WITH CHERRY BEKAERT ADVISORY LLC TO DEVELOP CITYWIDE INDIRECT COST ALLOCATION PLAN AND INDIRECT SERVICE FUNDS COST ALLOCATION METHODOLOGY THIS AGREEMENT is made and entered into on this 20th day of August, 2024 by and between Cherry Bekaert Advisory, LLC ("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. On May 13, 2024, the City issued Request for Proposal ("RFP") No. 24-059, by which it sought qualified firms to develop the City's annual Citywide Indirect Cost Allocation Plan and Internal Service Funds Cost Allocation Methodology. B. Consultant submitted a responsive proposal that was selected by the City. Consultant represents that it is able and willing to provide the services described in the scope of work that was included in RFP 24-059_ C. In undertaking the performance of this Agreement, Consultant represents that it is knowledgeable in its field and that any services performed by Consultant under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional 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 Consultant shall perform the services described in the scope of work that was included in RFP No. 24-059, which is attached as Exhibit A. 2. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services for City, the rates and charges identified in Exhibit B, Consultant's Cost Proposal submitted with its RFP response. The annual amount to be expended under the Agreement shall not exceed $30,000 and the total amount to be expended during the entire term of this Agreement shall not exceed $150,000. b. Payment by City shall be made within 45 days (forty-five) days following receipt of proper invoice evidencing work performed, subject to City accounting procedures. 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 the date first written above for a three-year term and terminate City Council 19 — 4 8/20/2024 on August 19, 2027, unless terminated earlier in accordance with Section 16, below. The term of this Agreement may be extended for one, two-year extension upon a writing executed by the City Manager and City Attorney. 4. INDEPENDENT CONTRACTOR Consultant 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 Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant 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. 5. 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 Consultant under this Agreement, not to include Consultant's work papers ("Documents & Data"). Consultant shall require all subcontractors to agree in writing that City is granted a non-exclusive and perpetual license for any Documents & Data the subcontractor prepares under this Agreement. Consultant represents and warrants that Consultant has the legal right to license any and all Documents & Data. Consultant makes no such representation and warranty in regard to Documents & Data which were provided to Consultant 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. 6. INSURANCE Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below for the entire Term of this Agreement against claims for injuries to persons or damage to property which may arise from or in connection with services, products and materials supplied to City. Total cost of such insurance shall be borne by Consultant. a. Minimum Scope and Limit of Insurance 1. Commercial General Liability (CGL): Insurance Services Office Form CG 00 01 covering CGL on an "occurrence" basis, including products and completed operations, property damage, bodily injury and personal & advertising injury with limits no less than $2,000,000 per occurrence and $4,000,000 aggregate. Required policy limits can be met with primary and umbrella/excess insurance policies. City Council 19 — 5 8/20/2024 2. Automobile Liability: ISO Form Number CA 00 01 covering any auto (Code 1) with a limit no less than $1,000,000 combined single limits. In the event Consultant does not maintain commercial automobile insurance. 3. Workers' Compensation: 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. 4. Professional Liability Insurance: with limits no less than $1,000,000 per occurrence or claim, and $2,000,000 aggregate. 5. Broader Coverage: if the Consultant maintains broader coverage and/or higher limits than the minimums shown above, the City requires and shall be entitled to the broader coverage and/or the higher limits maintained by the Consultant. Any available insurance proceeds in excess of the specified minimum limits of insurance and coverage shall be available to the City. b. Other Insurance Provisions Additional Insured Status: The City, its City Council, its officers, officials, employees, and volunteers are to be covered as additional insureds on the Consultant's CGL, Professional Liability, and Automobile Liability policies, with respect to liability arising out of work or operations performed by or on behalf of the Consultant including materials, parts, or equipment furnished in connection with such work or operations. 2. Waiver of Subrogation: Consultant hereby grants to City a waiver of any right to subrogation that any insurer of said Consultant may acquire against the City by virtue of the payment of any loss under such insurance. Consultant 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. 3. Primary Coverage: For any claims related to this contract, the Consultant's insurance coverage shall be primary. Any insurance or self-insurance maintained by the City, its officers, officials, employees, or volunteers shall be excess of the Consultant's insurance and shall not contribute with it. 4. Severability of Interest: A severability of interest provision must apply for all the additional insureds, ensuring that Consultant'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. 5. Notice of Cancellation: Each insurance policy required above shall provide that coverage shall not be canceled, voided, reduced in coverage or in limits, non -renewed by the carrier, or materially changed except after thirty (30) days prior written notice City Council 19 — 6 8/20/2024 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 of premium. 6. Certificate Holder on each Evidence of Insurance certificate shall be: City of Santa Ana, Attention: Rosie Perez, 20 Civic Center Plaza, M-13, Santa Ana, 92701. The name and location of project must be included in the Description of Operations section of each certificate. 7. Self -Insured Retentions: Self -insured retentions must be declared to and approved by the City. The City may require Consultant 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 with a current A.M. Best's rating of no less than A-:VII, unless otherwise acceptable to the City. 9. Verification of Coverage: Consultant shall furnish the City with original Certificates of Insurance including all required amendatory endorsements (or copies of the applicable policy language effecting coverage requiredby this clause) and a copy of the Declarations and Endorsement Page of the CGL policy listing all policy endorsements to City before work begins. However, failure to obtain the required documents prior to the work beginning shall not waive the Consultant's obligation to provide them. The City reserves the right to require complete, certified copies of all required insurance policies,including endorsements required by these specifications, at any time. 10. Special Risks or Circumstances: City reserves the right to modify these requirements, including limits, based on the nature of therisk, prior experience, insurer, coverage, or other special circumstances. 7. INDEMNIFICATION Consultant agrees to defend, and shall indemnify and hold harmless the City, its City Council, officers, officials, agents, employees, contractors, special counsel, volunteers, 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 Consultant, 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 Consultant's breach of this Agreement. This indemnity and hold harmless agreement applies to all third party 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. The Consultant 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 covered action. City may make all reasonable decisions with respect to its representation in any legal proceeding. Notwithstanding the foregoing, to the extent Consultant's services are subject to Civil Code Section 2782.8, the above indemnity shall be limited, to City Council 19 — 7 8/20/2024 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 Consultant. Notwithstanding anything to the contrary herein, the maximum aggregate liability of Consultant with respect to its indemnification obligations under this Agreement shall not exceed the sum of five million dollars ($5,000,000). 8. INTELLECTUAL PROPERTY INDEMNIFICATION Consultant 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 Consultant to the City pursuant to this Agreement. 9. RECORDS Consultant shall keep records and invoices in connection with the work to be performed under this Agreement. Consultant 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 Consultant under this Agreement. All such records and invoices shall be clearly identifiable. Consultant 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. Consultant 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 Consultant under this Agreement. 10. CONFIDENTIALITY If Consultant receives from the City information which due to the nature of such information is reasonably understood to be confidential and/or proprietary, Consultant 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 Consultant disclosed in a publicly available source; (c) is in rightful possession of the Consultant without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Consultant without reference to information disclosed by the City. 11. CONFLICT OF INTEREST CLAUSE Consultant 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. City Council 19 — 8 8/20/2024 12. NON-DISCRIMINATION Consultant 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. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 13. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Consultant, 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 Consultant. 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 Consultant 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. 14. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Consultant, Consultant 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. 15. TERMINATION This Agreement may be terminated by the City upon thirty (30) days written notice of termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant compensation for all services performed by Consultant 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 Consultant 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 Consultant 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. City Council 19 — 9 8/20/2024 16. 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. 17. 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. 18. PROFESSIONAL LICENSES Consultant 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. Consultant 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. 19. 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. 20. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by fax or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M-30) City Council 19 — 10 8/20/2024 Santa Ana, CA 92702-1988 Fax: 714- 647-6956 With courtesy copies to: Kathryn Downs Executive Director, Finance & Management Services Agency, City of Santa Ana 20 Civic Center Plaza (M-13) P.O. Box 1988 Santa Ana, California 92702 To Consultant: Cherry Bekaert Advisory, LLC 777 S. Figueroa Street, Ste. 825 Los Angeles, CA 90017 A party may change its address by giving notice in writing to the other parry. 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. [Signatures on following page] City Council 19 —11 8/20/2024 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: Jennifer L. Hall City Clerk APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: Kyle lesen Assistant City Attorney RECOMMENDED FOR APPROVAL: Kathryn Downs Executive Director Finance and Management Services Agency CITY OF SANTA ANA Alvaro Nunez Acting City Manager CHERRY BEKAERT ADVISORY LLC: Denise Lippuner Partner City Council 19 — 12 8/20/2024 (9) EXHIBIT A - SCOPE OF WORK CITY OF SANTA ANA EXHIBIT I SCOPE OF SERVICES Consultant shall perform services as set forth below. A. General Planning and Reporting Before commencing work, Consultant shall meet with the City Staff Team to: clarify the intended goals and purpose(s) of the Project; discuss perceived issues; gain an understanding of City operations; and establish responsibilities. During the course of the Project, the City may request periodic progress reports. In addition, Consultant shall immediately notify the Finance Director of any encountered problems. To assure timely availability of staff and other resources, Consultant shall submit a viable work plan to the Finance Director along with a written request for documents and schedules to be prepared by staff, and the dates by which such items are required. The following Plans should be developed and updated annually for a three-year period beginning with the fiscal years ending June 30, 2026 through June 30, 2028, with a provision for one two-year renewal period for the fiscal years ending June 30, 2029 through June 30, 2030. B. Citywide Indirect Cost Allocation Plan i. Develop a full cost Citywide Indirect Cost Allocation Plan in accordance with the Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (2 CFR Part 200) , which will be used to recover the General Fund costs of providing services to various City programs and departments. ii. Present a preliminary Citywide Indirect Cost Allocation Plan to City staff and modify as necessary. iii. Prepare a final Plan and provide an electronic copy in PDF and Excel format to the City. iv. Present the Cost Allocation Policy to City staff and modify as necessary. V. Consult with City staff should the need arise to defend the Plan as a result of audits or other challenges. C. Internal Service Funds Cost Allocation Methodology i. Review programs and services provided by each Internal Service Fund. ii. Identify all inter -agency customers. iii. For each Internal Service Fund, develop a full cost allocation methodology for distributing annual costs to inter -agency customers. iv. Recommend best practice guidelines related to annual reconciliation of actual costs for services rendered. V. Provide an electronic copy of the final methodology and related schedules and documentation in a format that can be edited and updated by City staff to accommodate changes in the organization or changes in costs. vi. Consult with City staff should the need arise to defend the Methodology as a result of audits or other challenges. City 9fib6Q9A9PiI RFP No. 24_b�97 13 8/N6;q�f 33 Cherry EXHIBIT B - FEE PROPOSAL Bekaert Proposal for City of Santa Ana Cost Proposal All Proposers are required to submit a detailed cost proposal, including estimated hours, hourly rates, expenses and a total not -to -exceed cost. Pricing instructions should be clearly defined to ensure fees proposed can be compared and evaluated. We understand and appreciate your desire for professional service providers who are not only highly qualified, but who are also cost-conscious and cost-effective about the work they perform. We are mindful that cost is always a consideration in selecting a professional services firm. Accordingly, we have structured our fee based on our strong desire to develop a mutually rewarding, long-term relationship. Our fees are generally based on the time required to complete the work at our established billing rates, plus clerical and computer charges and out-of-pocket expenses. Our fees are also based on other factors such as the complexity of the work, the skill required, time limits, the experience and abilities of our personnel, and the value of the services rendered. MW A ' •. FY24 $20,000.00 FY25 $20,000.00 FY26 $20,000.00 (Option Year) FY27 $20,000.00 (Option Year) FY28 $20,000.00 Additional Details $10,000.00 Included $10,000.00 Included $10,000.00 Included $10,000.00 Included $10,000.00 Included Please Note: "Cherry Bekaert" is the brand name under which Cherry Bekaert LLP and Cherry Bekaert Advisory LLC, independently owned entities, provide professional services in an alternative practice structure in accordance with applicable professional standards. Cherry Bekaert LLP is a licensed CPA firm that provides attest services, and Cherry Bekaert Advisory LLC and its subsidiary entities provide business advisory and non -attest services. For more details, visit cbh.com/disclosure. A change in fees will apply should the scope of work change significantly. Should this occur, or there is a change in scope because of a change in your operations, we would meet with you to obtain your agreement on any increase in the fee ranges before proceeding. Start Up Costs The proposed fees do not include the additional time we expect to establish our understanding of the City, get introduced with your personnel and establish allocation structure and methodology. This effort typically amounts to 15 — 25% more hours in the first service year. We will absorb this additional time as an investment in the long-term relationship with the City. Out -of -Scope Services We encourage open lines of communication throughout the year as part of our services. Generally, we do not bill for routine telephone consultations. However, should a matter require major research or services not included above, we will bill for these services at established hourly rates as rendered. Before beginning any additional work outside the scope of this proposal, we will discuss anticipated fees with your management to obtain understanding and approval, as well as any anticipated discount based on the timing and complexity of the service. City Council 19 — 14 8/20/2024 26 CherryBekaertAgreement(UP (418438.1) Final Audit Report 24-059) (CAO) 2024-08-01 Created: 2024-08-01 By: Kristin Andrade (kandrade@santa-ana.org) Status: Signed Transaction ID: CBJCHBCAABAAUgjwL1ge_Mdj2fmTHC4jsQka8UmXkOxo "CherryBekaertAgreement(UP 24-059) (CAO)(418438.1)" Histo ry ` Document created by Kristin Andrade (kandrade@santa-ana.org) 2024-08-01 - 4:17:33 PM GMT Cy Document emailed to Kathryn Downs (kdowns@santa-ana.org) for signature QN,91I:to] iW,0VA-VIIW►•,Eel IAII 15 Email viewed by Kathryn Downs (kdowns@santa-ana.org) 2024-08-01 - 4:23:13 PM GMT ,,6© Document e-signed by Kathryn Downs (kdowns@santa-ana.org) Signature Date: 2024-08-01 - 4:23:27 PM GMT - Time Source: server © Agreement completed. 2024-08-01 - 4:23:27 PM GMT Q Ado i y ounce . a 19 — 15 8/20/2024 Library www.santa-ana.org/library Item # 20 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report August 20, 2024 TOPIC: Main Library Renovation Project and Outdoor Library at Jerome Park AGENDA TITLE Agreement with Siemens Industry, Inc. for the Main Library and Outdoor Library at Jerome Park Projects (General Fund) RECOMMENDED ACTION Authorize the City Manager to execute an agreement with Siemens Industry, Inc. for equipment, licenses, construction oversight of security camera installation, and integration into the City network for the Main Library Renovation and Outdoor Library at Jerome Park projects, in the amount of $64,200, with a 10% contingency, for a total not to exceed amount of $70,620, for a term expiring December 31, 2026, with a provision for a one-year extension (Agreement No. A- 2024-XXX). GOVERNMENT CODE §84308 APPLIES: Yes DISCUSSION Ensuring safe, equitable, and accessible facilities is an important part of providing Library Services to the community. Therefore, included in the scope of work for the Main Library Transformation and Outdoor Library at Jerome Park projects, contractors will procure and install security camera systems. While the contractors will handle the installation of the cameras, Siemens, as the City's primary security systems vendor, will be required to configure the camera system to ensure continuity and proper integration with the City's existing security platform. Siemens will provide the Library with both an on -site server and uninterruptible power supply that will integrate with the City's current camera system and allow continuous recording of the Main Library's 28 cameras and the Outdoor Library's single camera. Siemens will also provide Milestone device licenses for the cameras that will integrate into the City's current system. Further, Siemens will assist with construction oversight of the camera installations as needed to ensure the new security systems are installed to the City's specifications and standards. The Santa Ana Police Department currently has a master agreement with Siemens for on -going, citywide video surveillance system maintenance, repair, and installation City Council 20-1 8/20/2024 Main Library Renovation August 20, 2024 Page 2 Project and Outdoor Library at Jerome Park services through Request for Proposal (RFP) No. 20-053. Siemens has provided security camera system services to the City since 2013. Santa Ana City Municipal Code Section 2-807 authorizes the City to award agreements following a competitive bidding process by other public agencies meeting the City's requirements. RFP No. 20-053 meets this requirement. Construction of the Main Library Transformation Project and Outdoor Library at Jerome Park are anticipated to be completed in March 2026 and March 2025, respectively. ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT Funds are budgeted and available in the following account and will be presented to City Council for approval of carryforward to FY 2024-25 as part of the citywide carry -forward process. Additional proposed carry-overs of unspent funds to future fiscal years will be presented to the City Council for approval as needed. The following table summarizes the funds budgeted for expenditure for the agreement: Fiscal Accounting Unit Fund Accounting Unit, Account Year - Account No. Description No. Description Amount (Project No.) EXISTING BUDGET TO CARRYFORWARD TO FY 24-25 01111017- Library Service 2024-25 66200 General Fund Enhancement, Buildings $70,620 & BuildingImprovements TOTAL $70,620 EXHIBIT(S) 1. Agreement 2. Outdoor Library at Jerome Park Rendering Submitted By: Brian Sternberg, Executive Director of Library Services Approved By: Alvaro Nunez, City Manager City Council 20 — 2 8/20/2024 AGREEMENT BETWEEN THE CITY OF SANTA ANA AND SIEMENS INDUSTRY, INC. TO PROVIDE SECURITY CAMERA INSTALLATION AND INTEGRATION FOR MAIN LIBRARY AND JEROME PARK THIS AGREEMENT is made and entered into this 20th day of August, 2024 by and between Siemens Industry, Inc. ("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 City desires to retain a Consultant having special skill and knowledge in the field of security camera installation and integration for security camera projects at the Main Library and Jerome Park outdoor library. B. Consultant represents that Consultant is able and willing to provide such services to the City. C. In undertaking the performance of this Agreement, Consultant represents that it is knowledgeable in its field and that any services performed by Consultant under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional 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 Consultant shall perform 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 Consultant's Proposal, attached hereto as Exhibit A and incorporated by reference. 2. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services under this Agreement, the rates and charges identified in Exhibit A. The total sum to be expended under the term of this Agreement shall not exceed $70,620. This sum is compromised of a base fee of $64,200.32 and (2) a contingency amount of $6,420 for additional services at the City's sole discretion. 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. Payment need not be made for work which fails to meet the standards of performance set forth in the Recitals and Scope of Work, which may reasonably be expected by City. 3. TERM This Agreement shall commence on the date first written above and terminate on December 31, 2026, unless terminated earlier in accordance with Section 17, below. The term of this Agreement may City Council 1 20 — 3 8/20/2024 be extended for one, one-year extension upon a writing executed by the City Manager 4. PREVAILING WAGES Consultant 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, Consultant agrees to fully comply with such Prevailing Wage Laws. Consultant 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 Consultant 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 Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant 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 Consultant under this Agreement ("Documents & Data"). Consultant shall require all subcontractors to agree in writing that City is granted a non-exclusive and perpetual license for any Documents & Data the subcontractor prepares under this Agreement. Consultant represents and warrants that Consultant has the legal right to license any and all Documents & Data. Consultant makes no such representation and warranty in regard to Documents & Data which were provided to Consultant 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 Prior to undertaking performance of work under this Agreement, Consultant shall procure and maintain and shall require any subcontractors to maintain insurance as described below for the entire Term of this Agreement against claims for injuries to persons or damage to property which may arise from or in connection with the services, products and materials supplied to City. Total cost of such insurance shall City Council 2 20 — 4 8/20/2024 be borne by Consultant. MINIMUM SCOPE AND LIMIT OF INSURANCE Coverage shall be at least as broad as: 1. Commercial General Liability (CGL): Insurance Services Office Form CG 00 01 covering CGL on an "occurrence" basis, including products and completed operations, property damage, bodily injury and personal & advertising injury with limits no less than $1,000,000 per occurrence and $2,000,000 aggregate. Required policy limits can be met with primary and umbrella/excess insurance policies. 2. Automobile Liability: Insurance Services Office Form Number CA 00 01 covering Code 1 (any auto), with combined single limits no less than $1,000,000. 3. Workers' Compensation: 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. 4. Professional Liability Insurance: with limits no less than $1,000,000 per occurrence or claim, and $2,000,000 aggregate. If the Consultant maintains broader coverage and/or higher limits than the minimums shown above, the City requires and shall be entitled to the broader coverage and/or the higher limits maintained by the Consultant. Any available insurance proceeds in excess of the specified minimum limits of insurance and coverage shall be available to the City. Other Insurance Provisions The insurance policies are to contain, or be endorsed to contain, the following provisions: 1. City of Santa Ana, its City Council, its officers, officials, employees, agents, and volunteers are to be covered as additional insureds, under Consultant's CGL, Professional Liability, and Automobile Liability policies, with respect to any liability arising out of work or operations performed by or on behalf of the Consultant including materials, parts, equipment, and personnel furnished in connection with such work or operations. 2. Consultant's Insurance company(ies) agree to waive all rights of subrogation against City, its City Council, its officers, officials, employees, agents, and volunteers for losses paid under the terms of any policy which arise from work performed by Consultant for City. 3. For any claims related to this contract, Consultant'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. 4. A severability of interest provision must apply for all the additional insureds, ensuring that Consultant'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. 5. Insurance policies 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 shall be provided to City for policy cancellation or non -renewal due to non-payment. 6. Certificate Holder on each Evidence of Insurance certificate shall be: City of Santa Ana, City Council 3 20 — 5 8/20/2024 Attention: Maria Castro, 26 Civic Center Plaza, Santa Ana, CA 92701. The name and location of project 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 the Consultant 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 with a current A.M. Best rating of no less than A:VII, unless otherwise acceptable to the City. Verification of Coverage Consultant 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 City before work begins. However, failure to obtain the required documents prior to the work beginning shall not waive Consultant'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. 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 Consultant 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 Consultant or its subcontractors, agents, employees, or other persons acting on their behalf which relates to the services described in section I 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 Consultant 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 Consultant'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 of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the Consultant. City Council 4 20 — 6 8/20/2024 9. INTELLECTUAL PROPERTY INDEMNIFICATION Consultant shall defend, indemnify and hold harmless the City, its officers, agents, representatives, and employees against any and all liability, including costs, and attorney's fees, for infringement of any United States' letters patent, trademark, or copyright contained in the work product or documents provided by Consultant to the City pursuant to this Agreement. 10. RECORDS Consultant shall keep records and invoices in connection with the work to be performed under this Agreement. Consultant 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 Consultant under this Agreement. All such records and invoices shall be clearly identifiable. Consultant 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. Consultant 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 Consultant under this Agreement. 11. CONFIDENTIALITY If Consultant receives from the City information which due to the nature of such information is reasonably understood to be confidential and/or proprietary, Consultant 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 Consultant disclosed in a publicly available source; (c) is in rightful possession of the Consultant without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Consultant without reference to information disclosed by the City. 12. CONFLICT OF INTEREST CLAUSE Consultant covenants that it presently has no interest and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. 13. 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 City Council 5 20 — 7 8/20/2024 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, CA 92702-1988 Library Services Director Library Services Agency City of Santa Ana 26 Civic Center Plaza Santa Ana, CA 92702 To Consultant: Siemens Industry, Inc. Attn: Benjamin Peeples 6141 Katella Avenue Cypress, CA 90630 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 timeframes, weekends, federal, state, County or City holidays shall be excluded. 14. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Consultant regarding the subject matter herein, 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 Consultant. 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 Consultant 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 are not embodied herein. 15. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Consultant, Consultant 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 City Council 6 20 — 8 8/20/2024 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 Consultants retained by City. 16. 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. 17. TERMINATION This Agreement may be terminated by the City upon thirty (30) days written notice of termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant compensation for all services performed by Consultant 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 Consultant to deliver to the City all work product completed as of such date, and in such case such work product shall be the property of the City unless prohibited by law, and Consultant 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. 18. NON-DISCRIMINATION Consultant shall not discriminate because of race, color, creed, relation, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities or in connection with any activities under this Agreement. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 19. 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. 20. PROFESSIONAL LICENSES Consultant 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 City Council 7 20 — 9 8/20/2024 required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. Consultant 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. 21. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. All exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. [Signatures on the following page] City Council 8 20 — 10 8/20/2024 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: Jennifer L. Hall City Clerk APPROVED AS TO FORM SONIA R. CARVALHO City Attorney By: -/-� z /) AJ, f� K-yfe Nellesen Assistant City Attorney RECOMMENDED FOR APPROVAL B,ian S:y 31, 202412:30 PDT) Brian Sternberg Library Services Director Library Services Agency CITY OF SANTA ANA Alvaro Nunez Acting City Manager SIEMENS INDUSTRY INC. M Aar Benjam n Peeples (Ju131, j02414:43 PDT) Benjamin Peeples Branch General Manager City Council 9 20 —11 8/20/2024 EXHIBIT A - PROPOSAL PROPOSAL Main Library/Jerome Park Integration + Construction Oversite PREPARED BY Siemens �MsArAin,8 " . WN't S CIRTYORS&1VA%M ncfnrrn i nn thn P1i10101iriax DELIVERED ON June 27, 2024 WAN.Ar.- 1 Am :..� .� M rMEL� r Ar • �• .t� �I 12 Contact Information Sales Executive: Branch Address: Telephone: Email Address: Customer Contact: Customer: Address: Services shall be provided at Proposal # Date Hannah Canales 6141 Katella Avenue Cypress, CA 90630 (657) 413-8648 hannah.canales@siemens.com Eduardo Linares CITY OF SANTA ANA 20 CIVIC CENTER PLAZA SANTA ANA CA 92701 Main Library+Jerome Park SIEMENS 8938263 June 27, 2024 City Council 20 — 13 8/202 of 12 SIEMENS Scope of Work Siemens has been asked by City of Santa Ana to provide an onsite server for the Main Library and Jerome Park (Library Extension). Siemens will provide installation and integration into City network. Server Installation SOW: • Recording requirements include 15fps continuous recording up to the servers maximum capacity of 200TB. • Onsite UPS has been included as instructed by CoSA IT Team. • Siemens technician will be onsite for approximately (1) day. If additional time is needed, a change order will follow. Milestone Device Licenses: • Siemens to provide Milestone Device Licenses for (28) Cameras. • Includes Jerome Park (1) Camera. Construction Oversite SOW: Siemens technician to provide oversite of contractor camera installation not to exceed 5 business days. City Council 20 — 14 8/203 of 12 SIEMENS Pricing Breakout Top Level Costs Sell Price Technology Fee $642.00 Programming Labor $3,254.22 Tax $1,513.97 Total $5,410.19 Server Sell Price Equipment $34,803.90 Labor $2,393.11 Total $37,197.01 Material Qty ID Description Unit Sell Ext Sell 1 R9999 HPE DL380 Gen11 12LFF Server $30,479.77 $30,479.77 1 R9999 UPS $4,324.14 $4,324.14 City Council 20 — 15 8/204 of 12 Milestone Camera Licenses Library + Jerome Milestone Licenses (28 Total) 1 YR Care Plus Total SIEMENS Sell Price $10,992.41 $1,797.26 $12,789.67 City Council 20 — 16 8/205 of 12 SIEMENS Pricing Summary Pricing Summary Sell Price Equipment $34,803.90 Labor $11,196.56 Technology Fee $642.00 Programming Labor $3,254.22 Subcontractor Fee $0.00 Library+Jerome Milestone Licenses (28 Total) $10,992.41 1 YR Care Plus $1,797.26 Travel $0.00 Tax $1,513.97 Total Quote Price $64,200.32 This price is firm for 30 days from the date of this proposal. City Council 20 — 17 8/207 of 12 SIEMENS Clarifications & Exclusions Clarifications: • Pricing includes standard ground shipping. • Customer to provide IT Support for devices utilizing customer's private network (IP addresses, subnet and gateway, and rack space). • Work is assumed to be completed during normal business hours Monday — Friday 70m-4pm. • If additional Construction Oversite is exceeded, a change order will follow. Exclusions: • Construction permits to be excluded. • Costs associated with schedule acceleration, project meetings, multiple trips onsite due to incompletion of others, or multiple unplanned phases are excluded. • Engineer drawings are excluded. • Performance or Payment bonds are excluded. • Patching and Painting is excluded from Siemens scope. • Network rack to be excluded from this scope of work. • Siemens assumes 120VAC at required locations (server, monitor, switch, etc.) and is excluded from Siemens scope. • Overtime. City Council 20 — 18 8/208 of 12 SIEMENS Payment Terms Payment Terms Acceptance Agreement The total price of: $64,200.32 and the estimated return on investment are based on the items outlined in this proposal. ANY STATEMENTS MADE HEREIN REGARDING SAVINGS THAT MAY BE ACHIEVED BY IMPLEMENTING THE SERVICES OFFERED IN THIS PROPOSAL ARE ESTIMATES ONLY. NO WARRANTY, EITHER EXPRESSED OR IMPLIED, SHALL BE CONSTRUED TO ARISE FROM SUCH STATEMENTS, NOR SHALL SUCH STATEMENTS BE CONSTRUED AS CONSTITUTING A GUARANTEE BY SIEMENS THAT SUCH SAVINGS WILL OCCUR IF THE SERVICES ARE IMPLEMENTED. The Buyer acknowledges that when accepted by the Buyer as proposed by Siemens Industry, Inc., this Proposal and the Siemens RAM Projects Business Standard Terms and Conditions, (together with any other documents, including any applicable Rider(s), incorporated herein) shall constitute the entire agreement of the parties with respect to its subject matter. BY EXECUTION HEREOF, THE SIGNER CERTIFIES THAT (S)HE HAS READ ALL OF THE TERMS AND CONDITIONS AND DOCUMENTS, THAT SIEMENS OR ITS REPRESENTATIVES HAVE MADE NO AGREEMENTS OR REPRESENTATIONS EXCEPT AS SET FORTH THEREIN, AND THAT (S)HE IS DULY AUTHORIZED TO EXECUTE THE SIGNATURE PAGE ON BEHALF OF THE BUYER. Proposal is valid for thirty (30) days from the delivery date of June 27, 2024. Payment is due within 30 days of invoice date. Payment Terms: 25% mobilization in advance, progress payments Total: $64,200.32 Siemens Industry, Inc. invoices paid by credit card may be subject to a surcharge of up to 2%. City Council 20 — 19 8/2P/40 of 12 SIEMENS Terms & Conditions Link(s) Terms and Conditions (Click to download) Terms & Conditions (Restricted) (www.siemens.com/standard-terms-project-restricted) Price Escalation. If, during the term of this Contract, the price of various materials or labor or logistics are increased as reflected by CRUIIHS Markit/CMAIICOMEX market index, then Siemens may increase the Contract Sum or apply a surcharge to Customer accordingly. As a result of the global Covid-19 Virus outbreak, temporary delays in delivery, labor or services from Siemens and its sub -suppliers or subcontractors may occur. Among other factors, Siemens' delivery is subject to the correct and punctual supply from sub -suppliers or subcontractors, and Siemens reserves the right to make partial deliveries or modify its labor or services. While Siemens shall make every commercially reasonable effort to meet the delivery or service or completion date mentioned above, such date is subject to change. To the extent applicable, the following Rider(s) are incorporated and made part of the Siemens Standard Terms and Conditions: Riders (Click on rider below to download) SI Mass Notification Rider (www.siemens.com/rider-mass-notification) SI Monitoring Rider (www.siemens.com/rider-monitoring) SI Online Backup and Data Protection (www.siemens.com/rider-data-backup) SI Software License Warranty (www.siemens.com/rider-software-license) SI Consulting Rider (www.siemens.com/rider-consuling) SI Shooter Detection System Rider (www.siemens.com/rider-shooter-detection) SI Body Temperature Thermal Camera Rider (www.siemens.com/rider-thermal-camera) City Council 20 — 20 8/2P✓41 of 12 Signature Page Proposed by: Siemens Industry, Inc. Company Hannah Canales Name 8938263 Proposal # $ 64, 200.3 2 Proposal Amount June 27, 2024 Date SIEMENS Accepted by: CITY OF SANTA ANA Company Name (Printed) Signature Title Date Purchase Order # ❑ PO for billinglpmnt only ❑ PO not required City Council 20 — 21 8/2P✓ 42 of 12 WW11:11 44Lt 4C' Jil. t OUTDOOR LIBRARY AT J City Council-Ur� I IW Library www.santa-ana.org/library Item # 21 o`7, City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report August 20, 2024 TOPIC: Main Library Renovation Project AGENDA TITLE Amendment to Agreement with Group 4 Architecture, Research + Planning, Inc. for the Main Library Renovation Project (22-1380) (Revive Santa Ana) RECOMMENDED ACTION Approve a first amendment to an agreement with Group 4 Architecture, Research + Planning, Inc. for additional design and engineering services, increasing the compensation amount by $499,383, for a total not -to -exceed amount of $2,657,948 (Agreement No. A-2024-XXX). GOVERNMENT CODE 484308 APPLIES: Yes DISCUSSION On April 19, 2022, the City entered into an Agreement with Group 4 Architecture, Research + Planning Inc. for design and engineering services for the Main Library Renovation Project. The project will enhance the Library's physical, digital, and technological environment that will expand access and provide free innovative and interactive spaces for children, teens, and their families. The scope of work includes site work for surface parking, site utility improvements, entrance walkways, pedestrian lighting, renovation of exterior public spaces, site furnishings, irrigation, and landscaping. The Main Library building consists of 39,790 square feet and has two floors and a below -grade basement. Additional improvements will include, but are not limited to, hazardous material removal, demolition, repair and restoration of exterior marble facade, addition of an accessible elevator, repair and revitalization of north - facing windows, a full historic restoration of interior spaces, mechanical improvements, plumbing improvements, electrical improvements, low -voltage, communications, and electrical security. The amendment includes additional compensation for the following: • Additional historical restoration support services due to the complexity of the exterior marble restoration and other historic building features. City Council 21 — 1 8/20/2024 Main Library Renovation Project August 20, 2024 Page 2 Evaluation of existing elevator to address any needed repairs. Construction administration services, including a six-month extension of services to mirror current construction duration projections. The extension can be contributed to an expansion of project scope stemming from the California State Library Building Forward Grant, awarded after the agreement with Group 4 Architecture was approved. ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT Funds are budgeted and available in the following account, and will be presented to City Council for approval of carryforward to FY 2024-25 as part of the citywide carryforward process. Additional proposed carryovers of unspent funds to future fiscal years will be presented to City Council for approval as needed. The following table summarizes the funds budgeted for expenditure for the additional design and engineering services: Fiscal Accounting Unit Fund Accounting Unit, Year - Account No. Description Account No. Description Amount (Project No.) EXISTING BUDGET TO CARRYFORWARD TO FY 24-25 18111013-66200 American ARPA — LIBRARY - 2024-25 (22-1380) Rescue Plan Buildings & Building $499,383 Act (ARPA) Improvements TOTAL $499,383 EXHIBIT(S) 1. Amendment Submitted By: Brian Sternberg, Executive Director of Library Services Approved By: Alvaro Nunez, City Manager City Council 21 — 2 8/20/2024 FIRST AMENDMENT TO AGREEMENT TO PROVIDE FULL DESIGN FOR THE SANTA ANA MAIN LIBRARY RENOVATION THIS FIRST AMENDMENT to the above -referenced agreement is entered into on August 20, 2024, by and between Group 4 Architecture, Research + Planning, Inc., a California corporation ("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. Following Request for Proposal ("RFP") No. 21-118, the parties entered into Agreement No. A-2022-060 ("Agreement") dated April 19, 2022, to retain a qualified consultant having special skill and knowledge in the field of library renovation to prepare full conceptual plans for the Santa Ana City Library. B. To support extensive upgrades during the renovation, on December 21, 2022, the City approved a reallocation of scope and fees that deferred Task 5 of the scope of work to the Agreement, which included bidding, construction administration, and record drawings. C. The Agreement is in full force and effect through April 18, 2025. D. With the award of a contract for construction, the City now desires to reinstate the original Task 5 services that were deferred on December 21, 2022 and include Additional Services Requests within the scope of work. E. The parties now wish to amend the Agreement to expand the scope and increase compensation. The Parties therefore agree: 1. Section 1, Scope of Services, is hereby amended to include Exhibit A-1 of this First Amendment. This amended scope of services includes: a. Additional Service Request ("ASR") 04 Reinstated Task 5 Construction Administration ("CA"). With the award of a contract for construction, the City now desires to reinstate the original Task 5 services that were deferred on December 21, 2022. ASR 04 reinstates these services. b. ASR 05 Supplemental Services for Historic Restoration. As part of ASR 03 Materials Testing — the historic specialist, Page & Turnbull, has developed an extensive marble restoration repair and rehabilitation scope. For a new ASR 05 Page & Turnbull has proposed a scope of services that can be provided as directed by the City on a time and material basis. Page & Turnbull Task 5 services have been removed from ASR 04 and ASR 07 and are fully provided for in ASR 5. c. ASR 06 Existing Elevator Evaluation and Repair Recommendations. The City has requested that the existing elevator be evaluated by a specialty sub -consultant to determine the scope of repairs needed. Through ASR 06, the services of J.E. Sellen Page 1 of 2 City Council 21-3 8/20/2024 have been engaged by Consultant and an evaluation of the elevator has been performed and an allowance specification for its repair. d. ASR 07 Extended CA for Months 13-18. Through ASR 07, the City desires to have Consultant support the construction phase services. 2. Section 2.a., Compensation, is hereby amended to include Exhibit D-1 of this First Amendment. The compensation for services provided is increased by $499,383 for a total Agreement amount not to exceed $2,657,948. 3. Except as modified by this First Amendment, all terms and conditions of the Agreement shall remain in full force and effect. IN WITNESS WHEREOF, the parties hereto have executed this First Amendment to the Agreement on the date and year first written above. Jennifer L. Hall City Clerk APPROVED AS TO FORM SONIA R. CARVALHO, City Attorney By. ' dL - B n Salvatierra Deputy City Attorney RECOMMENDED FOR APPROVAL Brian Stern g 5, 202416:18 PDT) Brian Sternberg Executive Director Library Services Agency Alvaro Nunez Acting City Manager CONSULTANT David Schnee Principal Page 2 of 2 City Council 21 — 4 8/20/2024 EXHIBIT A-1 City Council 21 — 5 8/20/2024 27 June 2024 ADD S; "T [CI -;7 XW•'T T G R O U P 4 Jason Gabriel CLIENT CONTR #: A-2022-060 ARCH ITECTU RE City of Santa Ana R E S E A R C H + Public Works Agency ADD SERVICE #: 04 Reisntated Task 5 PLANNING, INC 20 Civic Center Plaza PO Box 1988 Santa Ana, CA 92702 BILLING TYPE: Lump Sum 211 LINDEN AVENUE PROJECT NAME: G4 PROJECT #: GROUP 4 PHASE #: 50. SAN FRANCISCO Santa Ana Library Renovation 22575-01 I04 CA 9 4 0 a 0 USA SCOPE SUMMARY: T : 6 5 0 • a 71 • 0 7 0 9 Reinstate Original Executed Contract Task 5: Bid Advertisement, Construction Admin, Record Drawings scope and fee that had been deferred on 12/22/2022. Page & Turnbull scope excluded - see ASR 05 for its F: 6 5 0- a 7 1- 7 9 1 1 replacement. w w w.g4arch.com ADD SERVICE Task 5 - All Original Basic Services Disciplines except P&T excluded (See ASR 05) See Fee Hour Backup DESIGN FEE SUB -TOTAL: 6/27/2024 David Schnee Date Principal in Charge Jason Gabriel Acting City Engineer Date LUMP SUM FEE $355,287 $355,287 G:\22575-01 Santa AnOV�II rar Co ntraG CLIENT Amendment Amendment 1 2024-XX-XX Sdgt� Ana ee-hours 2024-06-27 Amendment �/20/2024 ASR 04 Reinstate CA 20 -I- L 27 June 2024 ADD S;�U[N N Q1I1 i T G R O U P 4 Jason Gabriel CLIENT CONTR #: A-2022-060 ARCH ITECTU RE City of Santa Ana R E S E A R C H + PLANNING, INC 05 Hlst. Restoration Public Works Agency ADD SERVICE #: Support 20 Civic Center Plaza PO Box 1988 211 LINDEN AVENUE Santa Ana, CA 92702 BILLING TYPE: T&M SO. SAN FRANCISCO PROJECT NAME: G4 PROJECT #: GROUP 4 PHASE #: CA 9 4 0 8 0 USA Santa Ana Library Renovation 22575-01 I05 T:650.871.0709 SCOPE SUMMARY: F : 6 5 0.8 7 1 • 7 91 1 Page & Turnbull Task 5 services (bid, construction admin, closeout) related to historic preservation scope. Providing support to Owner, CM and AOR on reviewing General Contractor and Speciality www.g4arch. com restoration sub contractor qualifications, approach, submittals, and work. TIME & MATERIAL FEE ADD SERVICE NTE MARKUP EXTENSION Supplemental Historic Restoration Page & Support Turnbull $88,350 $8,835 $97,185 DESIGN FEE SUB -TOTAL: $97,185 ,-T 70s���� 6/27/2024 David Schnee Date Principal in Charge Jason Gabriel Acting City Engineer Date G:\22575-01 Santa An r�a/r OUntraG CLIENT Amendment Amendment 1 2024-XX-XX Sdgt� Ana ee-hours 2024-06-27 Amendment �/20/2024 ASR 05 Hist CA Svs 202Id1V L 13 June 2024 01 41;7 X0111*'S G R O U P 4 Jason Gabriel CLIENT CONTR #: A-2022-060 ARCH ITECTU RE City of Santa Ana R E S E A R C H + 06 Exist Elevator PLANNING, INC Public Works Agency ADD SERVICE #: Survey 20 Civic Center Plaza PO Box 1988 Santa Ana, CA 92702 BILLING TYPE: Lump Sum & T&M 211 LINDEN AVENUE 50. SAN FRANCISCO PROJECT NAME: G4 PROJECT #: GROUP 4 PHASE #: Santa Ana Library Renovation 22575-01 I06 CA 9 4 0 a 0 USA T: 6 5 0• 8 7 1• 0 7 0 9 SCOPE SUMMARY: Evaluation of existing passenger elevator, preparation of bid allowance specification, repair F650.871.7911 : recommendations, and supplemental services. www. g4 a rc h. com LUMP SUM ADD SERVICE FEE MARKUP EXTENSION Elevator Allowance Specification J.E. Sellen $2,440 S244 $2,684 On -Site elev. Evaluation incl travel J.E. Sellen $7,910 $791 $8,701 TIME & MATERIAL FEE ADD SERVICE NTE MARKUP EXTENSION Other Repair support services J.E. Sellen $7,500 $750 $8,250 DESIGN FEE SUB -TOTAL: $19,635 / 6/13/2024 David Schnee Date Principal in Charge Jason Gabriel Date Acting City Engineer G:\22575-01 Santa An k}rar OUf1rac CLIENT Amendment Amendment 1 2024-XX-XX D f�to Ci;y 2024-06-13 Santa Ana Fee -hours ap?4 Q4 3,Ektrl�ndment 01 ASR 06 Exist Elev S202 - �3 0 ZS�LU/ 6L 27 June 2024 � 4 AVA [« 41N 4M 1 i G R O U P 4 Jason Gabriel CLIENT CONTR #: A-2022-060 ARCH ITECTU RE City of Santa Ana R E S E A R C H + PLANNING, INC Public Works Agency ADD SERVICE #: 07 Supplemental CA 20 Civic Center Plaza PO Box 1988 Santa Ana, CA 92702 BILLING TYPE: Lump Sum 211 LINDEN AVENUE SO. SAN FRANCISCO PROJECT NAME: G4 PROJECT #: GROUP 4 PHASE #: Santa Ana Library Renovation 22575-01 I07 CA 9 4 0 a 0 USA T: 6 5 0• 8 7 1• 0 7 0 9 SCOPE SUMMARY: Extension of CA services for another 6 months beyond original 12 month duration outlined in F:650.871.7911 Prime Agreement to a new total of 18 months. Excludes Page & Turnbull included in ASR 05. w w w g 4 a r c h . c o m Excludes basic shop drawing review included in ASR 04 Reinstated Task 5. Includes virtual attendence in weekly OAC meetings and monthly in -person attendence and field walk for full 18 months. Further extension of CA duration or supplemental travels will be Additional Services. LUMP SUM ADD SERVICE FEE MARKUP EXTENSION 6 months Additional CA, see attached breakdown $122,861 incl $122,860.86 6/27/2024 David Schnee Date Principal in Charge Jason Gabriel Acting City Engineer Date DESIGN FEE SUB -TOTAL: $122,860.86 G:\22575-01 Santa An jb�r�•a�/.r OU[1rCl CLIENT Amendment Amendment 1 2024-XX-XX Sdgt� Ana�ee-hours 2024-06-27 Amendment �/20/2024 ASR 07 Supp CA 2024-9' L EXHIBIT D-1 City Council 21 — 10 8/20/2024 City of Santa Ana Santa Ana Main Library Renovation Group 4 Agreement Amenclement 1 Construction Phase services Original Contract Post 12/21/2022 12/21/2022 Status after execution of this Completed/Invoiced as of Balance Remaining Post Amendment 1 Exhibit D Recap 2024.06.07 Amount Authorization authorization 2024-06-13 as of 2024-06-13 Authorization Comment 1.A Compensation for Basic Services Task 1 Pre -design $ 93,214.00 $ 93,214.00 completed $ 93,214.00 $ - Task 2 Schematic Design $ 241,724.00 $ 241,724.00 completed $ 241,724.00 $ - Task 3 Design Development $ 322,300.00 $ 322,300.00 completed $ 322,300.00 $ - Task 4 Construction Documents $ 564,023.00 $ 564,023.00 completed $ 564,023.00 $ - Task 5 Bidding, CA, Record Documents (12 months) $ 402,871.00 $ - deferred, pending future ASR 04 approval $ - $ - Total Basic Compensation $ 1,624,132.00 $ 1,221,261.00 $ 1,221,261.00 $ - $ 1,221,261.00 No change, no balance left 2.A Compensation for Optional Services Option 1: Children's Thematics $ 65,000.00 $ 65,000.00 completed $ 65,000.00 $ - Option 2: Elevator Design $ 38,200.00 $ 38,200.00 completed $ 38,200.00 $ - $ 103,200.00 $ 103,200.00 $ 103,200.00 $ - $ 103,200.00 No Change, no balance left 3.B Additional Services Allowance $ 200,000.00 ASR 01 Scan to BIM Lump Sum $ 43,450.00 completed $ 43,450.00 $ ASR 02 Supplemental Scope Lump Sum $ 443,975.00 completed $ 443,975.00 $ - ASR 03 Supplemental Material TestingT&M $ 168,200.00 completed T&M task only used $72,615.14 $ 72,615.14 $ 95,584.86 $ 200,000.00 $ 655,625.00 $ 560,040.14 $ 95,584.86 $ 560,040.14 Reduced to Actual amount completed - no balance left 4.B Reimbursable Expense Allowance $ 35,000.00 $ 35,000.00 no change $ 10,559.72 $ 24,440.28 $ 35,000.00 No Change, "$24k balance as of 6/13/20024 5.A Contract Contingency $ 196,233.00 $ 143,479.00 adjusted balance - not used $ - $ 143,479.00 $ 143,479.00 Maintained at post ASR 03, all funds remaining as of 6/13/2024 Total Contract $ 2,158,565.00 $ 2,158,565.00 no change- will need to be amended at $ 2,062,980.14 Updated Total of Tasks 1-4 and Contingency $ 1,895,060.86 + $ 263,504.14 time of construction contract award to fund deferred Task 5 services Total Contract Pre Amend > $ 2,158,565.00 6. AMENDMENT 1 CONSTRUCTION PHASE SERVICES ASR 04 Reinstated Deferred Basic Services Task 5 Lump Sum w P&T fee removed $ 355,287.00 ASR 04 Reinstated Deferred Basic Services Task 5 ASR 05 Supplemental Services for Historic Restorati T&M for P&T through 18 months $ 97,185.00 ASR 05 Supplemental Services for Historic Restoration ASR 06 Elevator Survey & Repair Spec Lump Sum and T&M $ 19,635.00 ASR 06 Elevator Survey & Repair Spec ASR 07 Extended CA services for months 13-18 Lump Sum, excludes P&T $ 122,860.86 ASR 07 Extended CA services for months 13-18 NEW CONTRACT TOTAL $ 2,657,948.00 NEW CONTRACT TOTAL Amendement 1 Additional Fee Lump Sum &T&M $ 499,383.00 Amendement 1 Additional Fee Lump Sum &T&M City Council 21 —11 GA22575-01 Santa Ana Li brary\Y-Contract\CLIENT\Amendment\Amendment 1 2024-XX-XX\Santa Ana Fee -hours 2024-06-27 Amendment 01 Amend 1 Exhibit D recap 6-27 8/20/2024 Police Department www.santa-ana.org/pol ice Item # 22 or City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report August 20, 2024 TOPIC: Jail Security and Control System Upgrade Consulting Services AGENDA TITLE Agreement with Pennell Consulting, Inc. for Jail Security Control System Upgrade Consulting Services (General Fund) RECOMMENDED ACTION Authorize the City Manager to execute an agreement with Pennell Consulting, Inc. to provide consulting, system design, and project management services to the City of Santa Ana Police Department Jail for a three-year term beginning August 20, 2024 and ending August 19, 2027, with two one-year extension options, in an amount not to exceed $193,184 (Agreement No. A-2024-XXX). GOVERNMENT CODE §84308 APPLIES: Yes DISCUSSION The Santa Ana Police Department Jail (SAJ) is a 502-bed, direct supervision correctional facility designed and constructed from 1996-1997. As with any correctional facility, the security control system plays a significant role in its safe operation. This system controls door locks, intercoms, sallyports, facility water and lighting, and elevators. It must seamlessly integrate with emergency alarms, fire detection devices, digital video surveillance, and other related systems. Since its original design in 1996, the security controls system at SAJ has remained largely unchanged. Incremental improvements have been made to support continued functionality, but the control hardware has not been significantly upgraded since it was first installed. Due to the system's age, many components are obsolete and difficult to maintain or replace. On September 12, 2023, the Police Department and the Public Works Agency released Request for Proposal (RFP) No. 23-140, seeking consulting and project management services from firms with the specialized expertise necessary to assist the City in planning and designing a contemporary security control system for SAJ. This project City Council 22 — 1 8/20/2024 Jail Security and August 20, 2024 Page 2 Control System Upgrade Consulting Services phase consists of a focused system inspection and needs assessment, replacement system design and specification, assistance with the creation and review of the RFP for the construction phase, and project management services through the end of construction and acceptance. The RFP was advertised on the City's online procurement management and publication system, with Proposals due on October 10, 2023. Three proposals were received and evaluated by a selection committee. Based on the criteria outlined in the RFP, the following summarizes the top three responding firms and their ranking: Firm City Rank Pennell Consulting, Inc. Lakewood 1 Guidepost Solutions LLC Los Angeles 2 P2S Inc. Long Beach 3 Staff recommends awarding an agreement (Exhibit 2) to Pennell Consulting, Inc. to provide consulting, system design, and project management services based on the scope of work and selection criteria outlined in RFP 23-140. Their proposal demonstrated the firm has the necessary capacity and expertise to complete the required services. The firm's rates are reasonable and within industry standards, the team qualifications are appropriate for this project, and the proposal was determined to provide the best value for the City. ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT Funding will be available in the FY 2024-25 budget upon City Council approval of carryforward from FY 2023-24. Funding for subsequent fiscal years will be included in the proposed budgets for City Council consideration as follows: Accounting Unit — Fund Accounting Unit — Fiscal Year Account No. Description Account No. Amount Description General Building & Facility, FY 24-25 01114403-66200 Fund Buildings & Building $ 79,715 Improvements General Building & Facility, FY 25-26 01114403-66200 Fund Buildings & Building $ 45,906 Improvements General Building & Facility, FY 26-27 01114403-66200 Fund Buildings & Building $ 67,563 Improvements City Council 22 — 2 8/20/2024 Jail Security and Control System Upgrade Consulting Services August 20, 2024 Page 3 Total $193,184 The amounts above are estimated projections and are subject to change. EXHIBIT(S) 1. Location Map 2. Consultant Agreement with Pennell Consulting, Inc. Submitted By: Robert Rodriguez, Acting Police Chief Approved By: Alvaro Nunez, City Manager City Council 22 — 3 8/20/2024 - PROJECT LOCATION SANTA ANA PWA PUBLIC WORKS AGENCY EXHIBIT 1 EXHIBIT 1 City Council 22 — 4 8/20/2024 AGREEMENT BETWEEN PENNELL CONSULTING, INC. AND CITY OF SANTA ANA TO PROVIDE JAIL SECURITY AND CONTROL SYSTEMS UPGRADE ASSESSMENT THIS AGREEMENT is made and entered into on this 20th day of August 2024, by and between Pennell Consulting, Inc. ("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. On September 12, 2023, the City issued Request for Proposals No. 23-140, incorporated by reference herein, seeking consulting firms to perform a jail security and control systems upgrade assessment. The City desired the consulting firms to have specialized special skills and knowledge in the fields of consultation, system design, and project management services pertaining to correctional facility security controls systems and related technologies including but not limited to; security systems, user interfaces, access control systems, video surveillance systems, intercom systems, duress alarm systems, telecommunications systems, and system integrations. Services were to include but not limited to: current and future capabilities assessment, needs evaluation, review and recommendation of appropriate hardware and software components, request for proposals creation, evaluation of bids, contract review, and construction project management, B. Consultant represents it is able and willing to provide such services to the City. C. In undertaking the performance of this Agreement, Consultant represents it is knowledgeable in its field and any services performed by Consultant 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 Consultant 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 Scope of Services - Exhibit A, attached hereto and incorporated by reference. 2. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services for City, the rates and charges identified in the Cost Proposal - Exhibit B, attached hereto and incorporated by reference. Payments shall be made under the following schedule: City Council 22 — 5 8/20/2024 Upon execution/Upon Start of Phase 1: Site Investigation and Project Design $61,785 Upon Start of Phase 2: Project Procurement $17,930 Upon Start of Phase 3: Construction/Installation $95,906 The total cost for Phases 1 through 3 is $175,621.00. The total amount to be expended during the term of this Agreement shall not exceed $193,183.10, which includes a 10% contingency fee of $17,562.10. b. Consultant shall invoice City upon the start of each phase for services performed pursuant to this Agreement. 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 Consultant agree that all payments due and owing under this Agreement shall be made through Automated Clearing House (ACH) transfers. Consultant agrees to execute the 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 Consultant'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 the date first written above for three (3) years, with the option for the City to grant up to two (2), one (1) year renewals, exercisable by a writing by the City Manager and the City Attorney, unless terminated earlier in accordance with Section 15, below. The total term of the agreement shall not exceed five (5) years. 4. INDEPENDENT CONTRACTOR Consultant shall, during the entire term of this Agreement, be construed to be an independent Consultant 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 Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant 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. 5. 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 Consultant under this Agreement ("Documents & Data"). Consultant shall require all subcontractors to agree in writing that City is granted a non-exclusive and perpetual license for any Documents & Data the City Council 22 — 6 8/20/2024 subcontractor prepares under this Agreement. Consultant represents and warrants that Consultant has the legal right to license any and all Documents & Data. Consultant makes no such representation and warranty in regard to Documents & Data which were provided to Consultant 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. 6. INSURANCE Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require any subcontractors to obtain and maintain insurance as described below for the entire Term of this Agreement against claims for injuries to persons or damage to property which may arise from or in connection with services, products and materials supplied to City. Total cost of such insurance shall be borne by Consultant. MINIMUM SCOPE AND LIMIT OF INSURANCE 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 and $2,000,000 aggregate. Required policy limits can be met with primary and umbrella/excess insurance policies. 2. Automobile Liability: Insurance Services Office Form CA 00 01 covering Code 1 (any auto), with limits no less than $1,000,000 combined single limits. 3. Workers' Compensation: 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, policy or employee, for bodily injury or disease. 4. Professional Liability Insurance: with limits no less than $1,000,000 per occurrence or claim, and $2,000,000 aggregate. If Consultant maintains broader coverage and/or higher limits than the minimum requirements for each line of coverage shown above, City requires and shall be entitled to the broader coverage and/or the higher limits maintained by Consultant. Any available insurance proceeds in excess of the specified minimum limits of insurance and coverage shall be available to City. Other Insurance Provisions The above required insurance policies are to contain or be endorsed to contain the following provisions: 1. City, its City Council, its officers, officials, employees, agents, and volunteers are to be covered as additional insureds, under Consultant's CGL, and Automobile Liability policies, with respect to any liability arising out of work or operations performed by or on behalf of the Instructor including materials, parts, equipment, and personnel furnished in connection with such work or operations. City Council 22 — 7 8/20/2024 2. Consultant's Insurance company(ies) agrees to waive all rights of subrogation against City, its City Council, its officers, officials, employees, agents, and volunteers for losses paid under the terms of any policy which arise from work performed by Consultant under this Agreement. 3. For any claims related to this contract, Consultant'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. 4. A severability of interest provision must apply for all the additional insureds, ensuring that Consultant'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. 5. Insurance policies 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 of premium. 6. Certificate Holder on each Evidence of Insurance certificate shall be: City of Santa Ana, 20 Civic Center Plaza, Santa Ana, CA 92701. The name and location of project must 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. The City may require the Consultant 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 ANII, unless otherwise acceptable to City. Claims Made Policies If any of the required policies provide coverage on a claims -made basis: 1. The Retroactive Date must be shown and must be before the date of the contract. 2. Insurance must be maintained and evidence of insurance must be provided for at least three (3) years after completion 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 contract effective date, Company must purchase "extended reporting" coverage for a minimum of three (3) years after completion of work. Verification of Coverage Consultant 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 City Council 22 — 8 8/20/2024 before work begins. However, failure to obtain the required documents prior to the work beginning shall not waive Consultant'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. 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. 7. INDEMNIFICATION Consultant 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 Consultant further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, excluding fees and costs for special counsel to be selected by the City, regarding any action by a third parry 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. Except for liability arising out of the negligent operations of Contractor, its subcontractors, agents, employees, or other persons acting on it behalf while performing under this Agreement, in no event will the cost of the indemnity, including attorney fees, exceed the compensation paid to the Consultant by the City under the terms of this Agreement. 8. INTELLECTUAL PROPERTY INDEMNIFICATION Consultant 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 Consultant to the City pursuant to this Agreement. 9. RECORDS Consultant shall keep records and invoices in connection with the work to be performed under this Agreement. Consultant 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 City Council 22 — 9 8/20/2024 to Consultant under this Agreement. All such records and invoices shall be clearly identifiable. Consultant 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. Consultant 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 Consultant under this Agreement. 10. CONFIDENTIALITY If Consultant receives from the City information which due to the nature of such information is reasonably understood to be confidential and/or proprietary, Consultant 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 Consultant disclosed in a publicly available source; (c) is in rightful possession of the Consultant without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Consultant without reference to information disclosed by the City. 11. CONFLICT OF INTEREST CLAUSE Consultant 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. 12. NON-DISCRIMINATION Consultant 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. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 13. 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 City Council 22 — 10 8/20/2024 instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Consultant 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. 14. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Contractor, Consultant 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. 15. TERMINATION This Agreement may be terminated by the City upon thirty (30) days written notice of termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant compensation for all services performed by Consultant 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 Consultant 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 Consultant 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. 16. 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. 17. 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. City Council 22 —11 8/20/2024 18. PROFESSIONAL LICENSES Consultant 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. Consultant 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. 19. 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, CA 92701-1988 Facsimile 714- 647-6956 With courtesy copies to: Chief of Police City of Santa Ana 60 Civic Center Plaza (M-97) P.O. Box 1981 Santa Ana, CA 92702 Facsimile (714) 245-8007 To Contractor: Robert C. Pennell Pennell Consulting, Inc. 400 S. Jefferson, Suite 301 Spokane, WA 99204 Facsimile: (509)747-1872 A party may change its address by giving notice in writing to the other parry. 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 City Council 22 — 12 8/20/2024 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. 20. MISCELLANEOUS PROVISIONS 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. IN WITNESS WHEREOF, the parties hereto have execrated this Agreement the date and year first above written. ATTEST: JENNIFER L. HALL City Clerk APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: N �—� TAMARA BOGOSIAN Senior Assistant City Attorney RECOMMENDED FOR APPROVAL: ROBERT RODRIGUEZ Acting Chief of Police CITY OF SANTA ANA ALVARO NUNEZ Acting City Manager PENNELL CONSULTING INC.: ROBERT C. PENNELL President City Council 22 — 13 8/20/2024 (a EXHIBIT A CITY OF SANTA ANA EXHIBIT I SCOPE OF SERVICES Consultant shall perform services as set forth below. Santa Ana Jail Facility Overview and Requirements A. The PSIM is comprehensive and used to manage and/or interface with the following subsytems: • 256 regular cells • 5 temporary holding rooms • 3 attorney rooms • 10 booking cells • 6 elevators 15 interior sliding doors • 5 sally ports with sliding doors • 7 sally ports with swinging doors • 30 swinging doors • 9 subpanels that operate local power, lighting and paging • 1 subpanel that controls local cells, power, and lighting • Duress alarm system • Existing Fire Control Panel Existing CCTV System B. Required Features: 1. Efficient facility control requiring a single operator. 2. Main control room redundancy to mitigate operational impact due to malfunction. 3. Minimized maintenance costs. 4. Ability to upgrade technology as software and systems evolve over time. II. Phase 1: Consultant Requirements and Project Objectives A. System Inventory and Assessment — Perform a comprehensive inventory and assessment of the existing jail access control system and its components as well as other available systems and components (e.g., subsystems) relevant to meeting project objectives. B. Conduct onsite inspections and reviews of the security controls system currently in place, including but not limited to hardware, software, equipment room space and configurations, conduit space and configurations, and electrical capacity and configuration. C. Inspect and review of the security controls systems currently in use and, through in-depth communications and collaboration with City staff, devise a needs assessment for a comprehensive update of this system. D. This collaboration will require respondents to identify and explain currently implementable technology options available for the various aspects of the replacement PSIM. City Council 22 — 14 8/20/2024 a CITY OF SANTA ANA E. Work with Santa Ana Police Department staff to finalize the preferred option for the PSIM and related subsystems and any alternates to be included in the Request for Proposal to follow this assessment. F. Develop a Cost Projection and Schedule Report for services related to the design, building, and implementation of replacement PSIM, including services and work related to the removal of the current jail security and controls system and long-term maintenance services. G. Develop a project timeline estimate based upon Consultant's experience working with similar size projects with municipal clients. H. Integrate knowledge gained from the onsite inspection, needs assessment, PSIM industry capabilities, and create a capabilities specification and scope of work for a replacement PSIM system. Assist with combining the capabilities specification and scope of work to be published as part of the RFP for services of a design/build firm to engineer and install the replacement PSIM system. I. Provide project management services throughout the engineering/construction process, assisting City staff to monitor schedules, timelines, and to observe installation, testing and final acceptance. J. Deliverables 1. System Inventory and Assessment Report 2. Cost Projection and Schedule Report 3. Project Schedule for rollout and implementation 4. Recommendation Report for PSIM System Replacement, to include the following at minimum: • Features recommended; • Future replacement scheduels and costs; • Subsystem replacemnert/integration/recommendations • Schematic plan for system modifications • Quality assurances/vendor qualifications 5. Development of specifications documents for incorporation into RFP documents, including contractor experience. III. Phase 2: Procurement Phase(s) A. Assist City and act as lead in drafting scope of work for a subsequent Request for Proposals seeking qualified design/build firms to fulfill the needs of the capabilities specification, and provide assistance in evaluating design/build proposals received if needed. City will be the final reviewer of RFP documents, will release documents, and facilitate the solicitation process and communications in accordance with the City's established Purchasing Policies and Procedures. City Council 22 — 15 8/20/2024 a CITY OF SANTA ANA B. Collaborate with City staff to identify appropriate RFP rating criteria and weighting factors to ensure bottom line evaluations can be equitably applied to all proposals. Cost analysis shall include initial, total implementation and long-term maintenance and support costs. C. Participate in pre -proposal conference with prospectivbe proposers, provide responses to contractor questions to the City's Purchaisng Department which may be included in RFP addenda. Consultant is not to communicate with any prospective proposers upon award of this contract and while performing services related to this project for the City. D. Assist City in reviewing bid submittals, finalist interviews, and selection of vendor(s) needed to implement this upgrade project. City shall make final decisions in selection of awarded contractor related to any subsequent solicitations. E. Consultant shall not consult, contract, subconsult/subcontract with any vendor, individual, firm, or entity that intends to participate in a solicitation related to this project. Any such vendor, individual, firm or entity that is contracted by the successful consultant of this contract shall be precluded from any subsequent, related solicitation. IV. Phase 3: Construction/Installation Period Services Consultant shall work with City staff to provide support with following tasks: A. Provide responses to contractor requests for information (RFI's) B. Review and recommendation for approval, disapproval, or modification of all contractor requests for payment, contractor submittal documents, and requests for Change Orders. C. General periodic inspection of contractor's work and progress. Develop schedule for progress meetings. D. Participation in periodic project job meetings E. Development and oversight of a system testing and acceptance ploan F. Issuance of Substantial Completion Document and punch list for contractto achieve Final Completion G. Issuance of Final Completion/Acceptance Document, including review of all contractor submitted as build documents. H. Post Construction Phase: The consultant will conduct a six-month Post Construction Warantee Review that shall include inspection of all system components and operations and development of a list of warrantee/repair items to be addressed by contractor under warrantee. City Council 22 — 16 8/20/2024 EXHIBIT B Pennell Consulting Inc. `"`../..�����"""""' Electrical and Electronics system Design February 20, 2024 Mr. Kenneth Willard, Correctional Manager City of Santa Ana — Police Department PO Box 1981 62 Civic center Plaza Santa Ana, CA 92701 Subject: Request for Proposals No. 23-140 for Jail Security and Control Systems Upgrade Assessment Design Contract Amendment Request, DCO #01 Ken, Per the request to add Construction Management to this project, we will perform the following services in addition to the Construction Administration included in our our previous proposal: 1. Prepare change orders, as needed to address changes in scope or to address scope changes that may occur (technical portion). 2. Perform weekly Field Observations during on -site work in conjunction with progress meetings. 3. Facilitate all progress meetings to include but not limited to: (CM) a. Facilitate site coordination, two -week look ahead b. Schedule updates c. Track RFI's d. Track issues and resolutions e. Documentation for Litigation prevention f. Prepare Meeting Notes 4. Review and validate contractor's construction schedule (CM) 5. Track submittals, expected and submitted (CM) 6. Facilitate Shop Testing and acceptance (CM) 7. Facilitate testing by area as completed (CM) 8. Facilitate Systems Commissioning — Two -week Final Continuous Test (CM) 9. Track Punch List corrections/completion (CM) 10. Validate Record Documents 11. Validate contractor training proposal and materials This will increase the contract value from $123,850 to $175,621. Please let us know if you have any questions concerning this proposal. Sincerely, Robert C. Pennell, P.E. President 400 S. Jefferson, Suite #301 • Spokane, WA 99204 City Council 22 - 17 8/20/2024 Pennell Consulting Inc. 1p)rr,7�T Electrical and Electronics System Design RFP No. 23-140 Jail Security and Control Systems Upgrade Assessment October 10, 2023 new that has been discovered in a final presentation prior to creating the construction RFP documents. (Deliverable 5) Updated project costs and project schedule are included with each submittal (Deliverable 3). Stakeholder review meetings are held for each DID and CD submittal. Project Procurement: We will support the Santa Ana City staff with the tasks identified in the consultant RFP. We can support procurement via on-line meetings, in person with our local staff, or both. Construction Scope of Work and rating criteria: Using our team's many years of experience with this type of work, we will collaborate with City staff to review, propose, and develop a comprehensive, coordinated, and constructible, construction RFP. Our team will maintain no contact with any potential vendors. Construction Phase: We will support the Santa Ana City staff with the tasks identified in the consultant RFP. Our extensive experience in both project and construction management will complement and support the City staff where needed. Our local presence provides us with the ability to physically respond on -site same day if necessary to assist in the resolution of issues. We will respond to RFI's, product data, shop drawing, and substitution (when permitted) submittals, pay requests, and change orders. Each document is carefully reviewed and responded to. Site observations and well documented contractor progress meetings lead to successful projects and litigation prevention. We will participate in progress meetings but can also lead and document them. This is a highly technical project of which it is extremely difficult for non -technical people to lead or document. We are well versed in performing these tasks. Substantial and Final Completion requirements must be clearly stated and defined in the construction RFP documents. Once well defined, it is much easier to determine if the requirements have been met for both. Accurate Record Documents are typically difficult to obtain. Our technique is to specify that red -lined or updated as -built documents are submitted on a periodic basis in exchange for progress payments for this task. Post construction warrantee site visit is an excellent way to verify contract compliance and determine if extended warranty RFP should be issued. Cost Proposal Lump Sum Fee for Phase 1: $61,785 Lump Sum Fee for Phase 2: $17,930 Lump Sum Fee for Phase 3: $44,135 Attachments See the following for the requested Attachments A through F. Ele 13 City Council 22 — 18 8/20/2024 Police Department www.santa-ana.org/pol ice Item # 23 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report August 20, 2024 TOPIC: Field Training Management and Community Engagement Software AGENDA TITLE Agreement with PowerDMS for Field Training Management Software and Community Engagement Software (General Fund) RECOMMENDED ACTION Authorize the City Manager to execute an agreement with PowerDMS (Agreement No. A-2024-XXX) for software subscriptions as follows: • One-year subscription to PowerReady for field training software in an amount not to exceed $8,074 for the period of March 28, 2025 through March 27, 2026 Two-year subscription to PowerEngage for citizen engagement software in an amount not to exceed $59,375 for the period of September 1, 2024 through August 31, 2026 GOVERNMENT CODE 484308 APPLIES: Yes DISCUSSION The Santa Ana Police Department (SAPD) utilizes a variety of technology software solutions to leverage resources and provide exceptional police services to the community. One such software used by the Training Division to manage the Field Training Officer (FTO) program is PowerReady (formerly Agency360). The Department began using the Agency360 software in 2019 to automate recruit onboarding, centralize and standardize the field training records, and assess the trainer's effectiveness. This cloud -based software provides real-time dashboards and reports to enable thorough analyses of the department's FTO program and the readiness of new police officers. Additionally, the software provides immediate access to training aids, which support effective training and mentoring of new officers. In 2022, Agency360 was acquired by NEOGOV via its subsidiary platform, PowerDMS. The field training solution has since been rebranded and is now called PowerReady. In March 2024, a purchase order and payment was issued to PowerDMS for the current one-year subscription to the PowerReady software in the amount of $5,029. SAPD City Council 23 — 1 8/20/2024 Field Training Management and Community Engagement Software August 20, 2024 Page 2 would like to continue using the PowerReady software for another one-year period once the current subscription expires in March 2025, extending the subscription to March 2026. SAPD's Communications Division plays a critical role in the Department's efforts to provide police services with integrity, respect, and compassion. With an average of 10,000 calls for service dispatched every month, most police interactions originate in the Communications Division and set the stage for public perception of services provided. A critical function of the Communications Division is to ensure a high level of customer service to our citizens by keeping them informed about the status of their calls. PowerEngage by PowerDMS is the complete citizen engagement software and feedback solution for law enforcement and emergency communications. It keeps citizens informed, measures community satisfaction, and boosts morale with one automated solution. The software sends automated text messages to callers to keep them informed about their call while providing information such as the nature of their call, their incident number, and the date and time they called. PowerEngage generates text messages when a call for service is pending for an extended period of time (longer than 60 minutes). The message will update the caller on the status of their call, such as when an officer has been dispatched and is en route. Once the call is closed, PowerEngage can automatically send a text message asking the caller for feedback on their interaction with the Police Department using their survey tool. The survey tool can help improve services, identify department deficiencies, and receive positive reinforcement from the community. In researching for an automated text message and survey software platform, only two companies were identified that offered this type of product. PowerEngage was the most cost-effective option for a two-year agreement. This software system will require interface with the computer -aided dispatch (CAD) and records management system (RMS). Therefore, complete implementation of this system may take four months. Upon conclusion of the agreement, staff will evaluate the effectiveness of PowerEngage and analyze the outcomes. If the software platform is successful, a new procurement will be conducted to ensure best value for the community. Funding for this platform was approved by City Council as a recurring addition to the annual budget. ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT Funds are available in the FY 2024-25 budget and funding for subsequent fiscal years will be included in the proposed budget for City Council consideration as follows: City Council 23 — 2 8/20/2024 Field Training Management and Community Engagement Software August 20, 2024 Page 3 Fiscal Year Accounting Unit — Fund Accounting Unit, Account mount Account No. Description Description FY 24-25 01114465-66511 General Fund Communications, Computer 27,387 Software Subscriptions FY 25-26 01114410-66511 General Fund raining, Computer Software 8 074 Subscriptions FY 25-26 01114465-66511 General Fund Communications, Computer 31,988 Software Subscriptions Total $67,449 EXHIBIT(S) 1. Agreement with PowerDMS Submitted By: Robert Rodriguez, Acting Police Chief Approved By: Alvaro Nunez, City Manager City Council 23 — 3 8/20/2024 Docusign Envelope ID: 7C3482BF-606B-48FF-BB93-F1 F08ABDC5131 NEOGOV" SERVICES AGREEMENT V050724 P(DwerDMS Digital Management Software R NEOGOV Cmnpwy You agree that by placing an order through a NEOGOV standard ordering document such as an "Order Form", "Service Order," "Ordering Document," "SOW" 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. "Govemmentjobs.com", "NEOGOV", "we", and "our" means Govemmentjobs.com, Inc. (D/B/A/ NEOGOV), for and on behalf of itself and its subsidiaries PowerDMS, Inc., Cuehit, Inc., Ragnasoft LLC (DB/A/ P1anIT Schedule), and Design PD, LLC (DB/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. 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"). 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 terns and conditions of this Agreement, NEOGOV hereby grants to Customer a limited, non-exclusive, non -transferable, and non- sublicensable 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 may be renewed no less than sixty (60) days prior to the expiration of the then -current term by mutual written agreement between the parties for successive twelve (12) months terms (each a "Renewal Term" and together with the Initial Term, collectively, the "Term"). 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. 3. Customer Responsibilities. City Council 23 — 4 8/20/2024 Docusign Envelope ID: 7C3482BF-606B-48FF-BB93-F1 F08ABDC5131 TM P(DwerDMS N E Digital Management Software ANEDMONIMly 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. City Council 23 — 5 8/20/2024 2 Docusign Envelope ID: 7C3482BF-606B-48FF-BB93-F1 F08ABDC5131 N E OvTM P(DwerDMS Digital Management Software 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 parry'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 self - review 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. City Council 23 — 6 8/20/2024 3 Docusign Envelope ID: 7C3482BF-606B-48FF-BB93-F1 F08ABDC5131 TM P(DwerDMS NEOGOV Digital Management Software A NE000V Cww-y 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. City Council 23 — 7 8/20/2024 4 Docusign Envelope ID: 7C3482BF-606B-48FF-BB93-F1 F08ABDC5131 TM P(DwerDMS N E Digital Management Software 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. 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 in connection with retaining such Customer Data including but not limited to any claims related to loss or destruction of such Customer Data. It. 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. City Council 23 — 8 8/20/2024 5 Docusign Envelope ID: 7C3482BF-606B-48FF-BB93-F1 F08ABDC5131 TM P(DwerDMS N E Digital Management Software Ammmommuly 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 parry's proprietary or privacy rights, including intellectual property rights; (2) Customer Dats 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 City Council 23 — 9 8/20/2024 11 Docusign Envelope ID: 7C3482BF-606B-48FF-BB93-F1 F08ABDC5131 TM P(DwerDMS NEOGOV Digital Management Software Ar16ppDraarry.1 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 parry'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 parry'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 parry'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 parry'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 City Council 23 — 10 8/20/2024 Docusign Envelope ID: 7C3482BF-606B-48FF-BB93-F1 F08ABDC5131 TM P(DwerDMS N E Digital Management Software R NEOGOV Cempmy 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 written notice, which may be by direct notice or posting on the NEOGOV website. 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. City Council 23 —11 8/20/2024 8 Docusign Envelope ID: 7C3482BF-606B-48FF-BB93-F1 F08ABDC5B1 TM P(DwerDMS NEOGOV Digital Management 5oftwarc A IEOWW 19. Publici . 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) intemet service interruptions or slowdowns, vandalism or cyber-attacks, or 0) 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 or PowerEngage Platform, you hereby specifically agree to the terms of the applicable 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 Orange County, 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. City Council 23 — 12 8/20/2024 Docusign Envelope ID: 7C3482BF-606B-48FF-BB93-F1 F08ABDC5B1 TM P(DwerDMS N E Digital Management Software 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. Scope of Services PowerDMS 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 Scope of Services - Exhibit 1, Order No. Q-239319 for PowerFTO and Exhibit 2, Order No. Q-248281 for PowerEngage LE, attached hereto and incorporated by reference. 25. Compensation City agrees to pay, and PowerDMS agrees to accept as total payment for its services for City, $13,102.06 total for PowerFTO ($5,028.61 for year one (1) which has already been paid, and $8073.45 for year two (2)), and $59, 374.50 total for PowerEngage LE ($27,386.25 for year one (1) and $31,988.25 for year two) as identified in Exhibit 1 and Exhibit 2 The total amount to be expended during the term of this Agreement shall not exceed $72,476.56. 26. Insurance NEOGOV shall procure and maintain for the duration of the contract insurance against claims for injuries to persons or damages to tangible property which may arise from or in connection with the performance of the work hereunder and the result of that work by NEOGOV the coverage listed in Exhibit 3. City Council 23 — 13 8/20/2024 10 Docusign Envelope ID: 7C3482BF-606B-48FF-BB93-F1F08ABDC5B1 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: JENNIFER L. HALL City Clerk APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: TAMARA BOGOSIAN Senior Assistant City Attorney POWERDMS by: [DOCUSIgned I o- By,416B916484744BA... Laura Rice Revenue Manager 8/8/2024 1 6:38:40 AM PDT CITY OF SANTA ANA ALVARO NUNEZ Acting City Manager RECOMMENDED FOR APPROVAL: ROBERT RODRIGUEZ Acting Chief of Police City Council 23 — 14 8/20/2024 Docusign Envelope ID: 7C3482BF-606B-48FF-BB93-F1 F08ABDC5131 TM P(DwerDMS NEOGOV Digital Management Software R KOGM CmnWy 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. City Council 23 — 15 8/20/2024 11 Docusign Envelope ID: 7C3482BF-606B-48FF-BB93-F1 F08ABDC5B1 TM P(DwerDMS NEOGOV Digital Management Software R KOGM Cmnpwy 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 and/or bVs:Hoidocs.powerdms.com ("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. 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 Tenn 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 not share 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. 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, includingall 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. 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. 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 hos:Hapi.neo2ov.com/connect/index.html and/or hLtps:Hgpidocs.powerdms.com 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. 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 of the mutual covenants set forth City Council 23 — 16 8/20/2024 12 Docusign Envelope ID: 7C3482BF-606B-48FF-BB93-F1 F08ABDC5131 TM P(DwerDMS N E Digital Management Software ANEDMOMMMly 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. 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. Oven 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. Oven 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. City Council 23 — 17 8/20/2024 13 Docusign Envelope ID: 7C3482BF-606B-48FF-BB93-F1F08ABDC5BLz-,HIBIT 1 104 P(bwerDMS t 80rk Pl. trite NEOGOV 2120 Park PI. Suite 100 - byNEOGOV El Segundo. CA 90245 • r- Account Number. A-135 Order #: Q-239319 Customer: Santa Ana Police Department (CA) Valid Until: 3/28/2024 Employee Count: 650 Sales Rep: Salesforce Administrator Billing Contact: Santa Ana Police Department CA Shipping Contact: Santa Ana Police Department CA Billing Address: Billing Contact Email: Billing Phone: Oscar Lizardi 60 Civic Center Plaza Santa Ana, CA 92701 olizardi@santa-ana.org (714) 245-8280 Shipping Address: Shipping Contact Email: Shipping Phone: Oscar Lizardi 60 Civic Center Plaza Santa Ana, CA 92702 olizardi@santa-ana.org (714) 245-8280 Payment Terms Payment Term: Net 60 Notes: Updated product code from Agency360 to PowerFTO - New product PO Number: code/Pricing model. 2 year ramp up plan pricing. Year 1 Item I Type I Start Date I End Date I Qty I Total (USD) PowerFTO Subscription Recurring 1 3/28/2024 1 3/27/2025 1 1 1 S5,028.61 The PowerFTO Annual subscription provides an agency -wide license for unlimited number of programs and includes; Mobile Accessibility, Email Notifications, Unlimited Late Form and Trainee Performance Alerts, Ongoing training resources, Ongoing software updates, Access to Industry Partnerships, Ongoing Support & Maintenance. Quantity reflects one agency wide software -as -a -service subscription license up to the employee count specified above. Year 1 TOTAL: 1 $5,028.61 Year 2 Item I Type I Start Date I End Date I Qty I Total (USD) PowerFTO Subscription I Recurring 1 3/28/2025 1 3/27/2026 1 1 1 $8,073.45 The PowerFTO Annual subscription provides an agency -wide license for unlimited number of programs and includes; Mobile Accessibility, Email Notifications, Unlimited Late Form and Trainee Performance Alerts, Ongoing training resources, Ongoing software updates, Access to Industry Partnerships, Ongoing Support & Maintenance. Quantity reflects one agency wide software -as -a -service subscription license up to the employee count specified above. Year 2 TOTAL: 1 $8,073.45 This price does NOT include any sales tax. Total in USD Additional Terms and Conditions Payment Terms: All invoices issued hereunder are due upon the invoice due date. The fees set forth in this Order Form are exclusive of all applicable taxes, levies, or duties imposed by taxing authorities and Customer shall be responsible for payment of any such applicable taxes, levies, or duties. All payment obligations are non -cancellable, and all fees paid are non-refundable. Payment for services ordered hereunder shall be made to PowerDMS, Inc., a wholly owned subsidiary of Governmentjobs.com, Inc. (D/B/A NEOGOV). Terms & Conditions: This Order Form creates a legally binding contract on the parties. Unless otherwise agreed in a written agreement between GovernmentJobs.com, Inc. (D/B/A/ NEOGOV), parent company of PowerDMS, Inc., Cuehit, Inc., Ragnasoft LLC (D/B/A/ PlanIT Schedule), and Design PD, LLC (D/B/A Agency360) (collectively,'NEOGOV) and Customer, this Order Form and the services to be furnished pursuant to this Order Form are subject to the terms and conditions set forth here: https://www.neogov.com/service-specifications. The Effective Date (as defined in the terms and conditions) shall be the Subscription Start Date. Special Condition: Page 1 of 2 City Council 23 — 18 8/20/2024 Docusign Envelope ID: 7C3482BF-606B-48FF-BB93-F1 F08ABDC5131 PowerDMS2120 PaOrk .51PI9. Suite 100 -- by NEOGOV El Segundo, CA 90245 Accepted and Agreed By Authorized Representative of: Santa Ana Police Department (CA) Signature: (See below) Printed Name: Title: Date NEOGOV YOUR SIGNATURE CONSTITUTES ACCEPTANCE OF TERMS HEREIN AND CONTRACTUAL COMMITMENT TO PURCHASE THE ITEMS LISTED ABOVE. Page 2 of 2 City Council 23 — 19 8/20/2024 Docusign Envelope ID: 7C3482BF-606B-48FF-BB93-F1 F08ABDC5131 EXHIBIT 2 NmerDMS 2120 Par0k 51104 PIS. Suite 100 NEOGOV byNEOGOV GI Segundo, CA 90245 OrderDetails Account Number: A-135 Order #: Q-248281 Customer: Santa Ana Police Department (CA) Valid Until: 8/31/2024 Employee Count: 599 Subscription Start Date: Last signature date, or as shown in grid below (as applicable), whichever is later. Sales Rep: Kevin Bargar Subscription Term (months): 24 Customer Contact Billing Contact: Santa Ana Police Department (CA) Shipping Contact: Santa Ana Police Department (CA) Oscar Lizardi Oscar Lizardi Billing Address: 60 Civic Center Plaza Shipping Address: 60 Civic Center Plaza Santa Ana, CA 92701 Santa Ana, CA 92702 Billing Contact Email: olizardi@santa-ana.org Shipping Contact Email: olizardi@santa-ana.org Billing Phone: (714) 245-8280 Shipping Phone: (714) 245-8280 Payment Terms Payment Term: Net 30 Notes: PO Number: Year 1 Item Type Start Date End Date Qty Total (USD) PowerEngage LE Subscription Recurring 9/1/2024 8/31/2025 1 $22,848.75 Automated text message / text survey platform for law enforcement agencies sent based on interaction with a single department. Includes Rules Engine, Survey Builder - about the agency or officers, Measurement Dashboards, Task Creation and Positive Feedback. Includes connection to agency Computer Aided Dispatch (CAD) and Law Records Management System (RMS). Does not include fees, if any, charged by the CAD or RMS vendor. PowerEngage LE Setup Services — — 1 $4,537.50 Includes the onboarding services to assist in the implementation and set up of the PowerEngage product. Includes the workshops and services described in the Statement of Work. Year 1 TOTAL: $27,386.25 Year 2 Item Type Start Date End Date Qty Total (USD) PowerEngage LE Subscription Recurring 9/1/2025 8/31/2026 1 $31,988.25 Automated text message / text survey platform for law enforcement agencies sent based on interaction with a single department. Includes Rules Engine, Survey Builder - about the agency or officers, Measurement Dashboards, Task Creation and Positive Feedback. Includes connection to agency Computer Aided Dispatch (CAD) and Law Records Management System (RMS). Does not include fees, if any, charged by the CAD or RMS vendor. Year 2 TOTAL: $31,988.25 Total: I $59,374.50 This price does NOT include any sales tax. Total in USD Payment Terms: All invoices issued hereunder are due upon the invoice due date. The fees set forth in this Order Form are exclusive of all applicable taxes, levies, or duties imposed by taxing authorities and Customer shall be responsible for payment of any such applicable taxes, levies, or duties. All payment obligations are non -cancellable, and all fees paid are non-refundable. Payment for services ordered hereunder shall be made to PowerDMS, Inc., a wholly owned subsidiary of Governmentjobs.com, Inc. (D/B/A NEOGOV). Page 1 of 2 City Council 23 — 20 8/20/2024 Docusign Envelope ID: 7C3482BF-606B-48FF-BB93-F1F08ABDC5B1 P(bwerDMS 2120 Park PIS. Suite 100 by NEOGOV El Segundo, CA 90245 NEOGU'V Terms & Conditions: This Order Form creates a legally binding contract on the parties. Unless otherwise agreed in a written agreement between GovernmentJobs.com, Inc. (D/B/A/ NEOGOV), parent company of PowerDMS, Inc., Cuehit, Inc., Ragnasoft LLC (D/B/A/ PlanIT Schedule), and Design PD, LLC (D/B/A Agency360) (collectively, "NEOGOV") and Customer, this Order Form and the services to be furnished pursuant to this Order Form are subject to the terms and conditions set forth here: https://www.neogov.com/service-specifications. The Effective Date (as defined in the terms and conditions) shall be the Subscription Start Date. Special Condition: The second sentence of Section 23.a. of the Agreement is deleted and replaced with: "Any legal action or proceeding relating to this Agreement shall be instituted only in any state or federal court in Orange County, California." If this Order Form is executed and/or returned to NEOGOV by the Customer after the Subscription Start Date stated in this Order Form, NEOGOV may adjust the Subscription Start Date and the corresponding Subscription End Date, without increasing the total fees, based on the date NEOGOV activates the subscription, provided the total -length of the subscription term does not change. Following activation, any adjustments to such Subscription Start Date and Subscription End Date may be confirmed by reference to the invoice sent by NEOGOV. Accepted and Agreed By Authorized Representative of: Santa Ana Police Department (CA) Signature: Printed Name: Title: Date Accepted and Agreed By Authorized Representative of: NEOGOV Signature: Printed Name: Title: Date: YOUR SIGNATURE CONSTITUTES ACCEPTANCE OF TERMS HEREIN AND CONTRACTUAL COMMITMENT TO PURCHASE THE ITEMS LISTED ABOVE. Page 2 of 2 City Council 23 — 21 8/20/2024 Docusign Envelope ID: 7C3482BF-606B-48FF-BB93-F1F08ABDC5B1 EXHIBIT 3 NEOGOV shall procure and maintain for the duration of the contract insurance against claims for security breaches, system failures, injuries to persons, damages to software, and damages to property (including computer equipment), theft, or other misuse of City's data, infringement of intellectual property, invasion of privacy and breach of data, which may arise from or in connection with the performance of the work hereunder by NEOGOV, its agents, representatives, or employees. MINIMUM SCOPE AND LIMIT OF INSURANCE Coverage shall be at least as broad as: 1. Commercial General Liability (CGL): Insurance ACORD 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 and $2,000,000 general aggregate. 2. Cyber Liability: Insurance, with limits not less than $2,000,000 per occurrence or claim and $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, and release of private information. The policy shall provide coverage for breach response costs, regulatory fines and penalties as well as credit monitoring expenses. 3. Technology Professional Liability Errors and Omissions Insurance (E&O): appropriate to the Consultant's profession and work hereunder, with limits not less than $2,000,000 per occurrence and $2,000,000 aggregate. Coverage shall be sufficiently broad to respond to the duties and obligations as is undertaken by the NEOGOV in this agreement and shall include, but not be limited to, claims involving business interruption, damage to or destruction of electronic information, and alteration of electronic information. The policy shall provide coverage for NEOGOV's failure to provide professional services and/or products under this Agreement. The Policy shall include, or be endorsed to include, damage to, alteration of, loss of, or destruction of electronic data and/or information "property" of City in the care, custody, or control of NEOGOV. 4. Workers' Compensation as required by the State of California, with statutory limits, and Employer's Liability insurance with limits of no less than $1,000,000 per accident, policy, employee, for bodily injury or disease. If NEOGOV maintains broader coverage and/or higher limits than the minimums shown above for any line of coverage, City requires and shall be entitled to the broader coverage and/or the higher limits maintained by NEOGOV. Any available insurance proceeds in excess of the specified minimum limits of insurance and coverage shall be available to City. Other Insurance Provisions The above required insurance policies are to contain or be endorsed to contain the following provisions: 1. City of Santa Ana, its City Council, its officers, officials, employees, agents, and volunteers are to be covered as additional insureds, under NEOGOV's CGL, AL and E&O policies, with respect to any City Council 23 — 22 8/20/2024 Docusign Envelope ID: 7C3482BF-606B-48FF-BB93-F1F08ABDC5B1 liability arising out of work or operations performed by or on behalf of the NEOGOV including materials, parts, equipment, and personnel furnished in connection with such work or operations. 2. NEOGOV's Insurance companies agree to waive all rights of subrogation against City of Santa Ana, its City Council, its officers, officials, employees, agents, and volunteers for losses paid under the terms of any policy which arise from work performed by NEOGOV under this Agreement. 3. For any claims related to this contract, NEOGOV's insurance coverage shall be primary and any insurance maintained by City of Santa Ana, its City Council, its officers, officials, employees, agents, or volunteers shall not contribute with it. 4. A severability of interest provision must apply for all the additional insureds, ensuring that NEOGOV'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. 5. Insurance policies 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 of premium. 6. Certificate Holder on each Evidence of Insurance certificate shall be: City of Santa Ana, Attention: (Name of Department Staff Responsible for Agreement), 20 Civic Center Plaza M-XX (Responsible Staff's Department Mail Box), Santa Ana, CA 92701. The name and location of project must be included in the Description of Operations section of each certificate. Self -Insured Retentions Self -insured retentions must be declared to and approved by City. City may require NEOGOV to 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. Claims Made Policies If any of the required policies provide coverage on a claims -made basis: 1. The retroactive date must be shown and must be before the date of the contract. 2. Insurance must be maintained and evidence of insurance must be provided for at least three (3) years after completion 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 contract effective date, NEOGOV must purchase "extended reporting" coverage for a minimum of three (3) years after completion of work. City Council 23 — 23 8/20/2024 Docusign Envelope ID: 7C3482BF-606B-48FF-BB93-F1F08ABDC5B1 Verification of Coverage NEOGOV 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). Failure to obtain the required documents prior to the work beginning shall not waive NEOGOV'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. Subcontractors NEOGOV shall require and verify that all subcontractors maintain insurance meeting all the requirements stated herein. 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. Failure to Maintain Insurance Coverage If NEOGOV, for any reason, fails to maintain insurance coverage, which is required pursuant to this Agreement, for the entire term of this contract, the same shall be deemed a material breach of Agreement. City, at its sole option, may terminate this Agreement at any time and obtain damages from NEOGOV resulting from said breach. City Council 23 — 24 8/20/2024 Police Department www.santa-ana.org/pol ice Item # 24 or City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report August 20, 2024 TOPIC: FY 2023 Enhanced Collaborative Model Task Force to Combat Human Trafficking Grant AGENDA TITLE Memorandum of Understanding, First Amendment, and Appropriation Adjustment Accepting the FY 2023 Enhanced Collaborative Model Task Force to Combat Human Trafficking Grant (Non -General Fund) RECOMMENDED ACTION 1. Authorize the City Manager and the Chief of Police to execute a Memorandum of Understanding and the First Amendment with the City of Anaheim Police Department accepting FY 2023 Enhanced Collaborative Model Task Force to Combat Human Trafficking Grant funds in the amount of $75,000 for the period of October 1, 2023 through September 30, 2026 (Agreement No. A-2024-XXX). 2. Approve an appropriation adjustment recognizing $75,000 in the Department of Justice Grants revenue account and appropriate same to the Office for Victims of Crime Human Trafficking expenditure accounts. (Requires five affirmative votes) GOVERNMENT CODE §84308 APPLIES: Yes DISCUSSION In 2010, the U.S. Department of Justice's Office for Victims of Crime (OVC) and the Bureau of Justice Assistance (BJA) launched the Enhanced Collaborative Model Task Force to Combat Human Trafficking Program to help communities develop multidisciplinary task forces that employ victim -centered approaches to identify survivors, provide services, and investigate and prosecute all forms of human trafficking. Since then, the OVC has become the largest federal funder of anti -trafficking programs in the United States. The Anaheim Police Department applied for the FY 2023 Enhanced Collaborative Model Task Force to Combat Human Trafficking Grant with the California Highway Patrol, Irvine Police Department, and Santa Ana Police Department as partners in the City Council 24 — 1 8/20/2024 FY 2023 Enhanced Collaborative Model Task Force to Combat Human Trafficking Grant August 20, 2024 Page 2 Orange County Human Trafficking Task Force (OCHTTF). The Anaheim Police Department has been awarded $750,000 and the Santa Ana Police Department has been allocated a subaward in the amount of $75,000 as a sub -recipient under this grant. The grant is anticipated to continue to fund the OCHTTF from October 1, 2023 to September 30, 2026. The OCHTTF is a partnership between the Anaheim Police Department, the Santa Ana Police Department, the Orange County District Attorney's Office, Waymakers (lead victim service -providing agency), and other local and federal agencies. The collaborative partnership between the Anaheim Police Department and the Santa Ana Police Department will address the following four areas: partnership, protection, prosecution, and prevention. The purpose of the OCHTTF is to work together to protect victims, prosecute offenders, and prevent further human trafficking in Orange County. The grant will provide funding to reimburse the Santa Ana Police Department's participation in the OCHTTF for any overtime work and travel expenses for the detective assigned to the OCHTTF for any qualifying training and conferences. The Memorandum of Understanding from the Anaheim Police Department inadvertently omitted the grant amount to be subawarded to the Santa Ana Police Department (Exhibit 1). The First Amendment specifies the amount of the subaward as $75,000 and also provides the federal grant requirements associated with this subaward (Exhibit 2). ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT Approval of the appropriation adjustment will recognize $75,000 in the Department of Justice Grants account (no. 12714002-52001) and appropriate same to the Office for Victims of Crime Human Trafficking expenditure accounts for expenditure follows: Fiscal Year Accounting Unit — Fund Description Accounting Unit — Amount Account No. Account No. Description FY 24-25 12714412-various D.O.J. Grant OVC Human Trafficking, $35,000 Fund Various FY 25-26 12714412-various D.O.J. Grant OVC Human Trafficking, $35,000 Fund Various FY 26-27 12714412-various D.O.J. Grant OVC Human Trafficking, $ 5,000 Fund Various Total $75,000 The amounts above are projections and subject to change. Any remaining balances not expended at the end of each fiscal year will be presented to the City Council for approval of carryovers to the subsequent fiscal year. EXHIBIT(S) City Council 24 — 2 8/20/2024 FY 2023 Enhanced Collaborative Model Task Force to Combat Human Trafficking Grant August 20, 2024 Page 3 1. MOU with City of Anaheim 2. First Amendment Submitted By: Robert Rodriguez, Acting Police Chief Approved By: Alvaro Nunez, City Manager City Council 24 — 3 8/20/2024 INSURANCE NOT REQUIRED WORK MAY PROCEED CITY CLERK DATE, rr MAY 14 2024 EXHIBIT 1 Return FULLY EXECUTED Copy to City Clerk, M-30 US Department of Justice Office of Justice Programs Office for Victims of Crime Bureau of Justice Assistance N-2024-160 FY 2023 Enhanced Collaborative Model Task Force to Combat Human Trafficking Memorandum of Understanding Enhanced Model to Combat Human Trafficking Project Between the lead law enforcement agency, Anaheim Police Department, in partnership with the Santa Ana Police Department February 2024 Introduction: Human trafficking in California is an unsavory reality, impacted by a foreign border, international airports, substantial shipping harbors, an internationally active entertainment industry, and the popularity of U.S. tourism to the state. As the third largest county in California and the sixth largest in the nation, Orange County celebrates a diverse population of over three million, with over 42 million visitors per year per the Orange County Visitors Association. Orange County contains numerous unincorporated areas and 34 cities; including the County Seat, Santa Ana, which has the sixth largest Spanish-speaking population in the nation. Orange County is a prime target for traffickers given the population density, the perceived affluence of residents, robust tourism and convention industry, along with its nationally recognized beaches, theme parks and home to world champion professional sports teams. Orange County has a multidisciplinary, anti -human trafficking model designed to combat human trafficking through identification, rescue and assisting victims of all forms of human trafficking. 1 The duration of this MOU will encompass the entire FY 23 Enhanced Collaborative Model Task Force to Combat Human Trafficking project funding cycle, anticipated to occur throughout 10/01/2023 — 09/30/2026. City Council 24 — 4 8/20/2024 The Orange County Human Trafficking Task Force (OCHTTF) is a model program relying on a public -private sector and non-profit partnership including the Anaheim Police Department (APD) as the lead law enforcement agency; the Orange County District Attorney's Office, which, provides both misdemeanor and felony case vertical prosecution through its Human Exploitation and Trafficking Unit (HEAT); and Waymakers as the lead victim service -providing agency. The Task Force is strengthened by partnerships with federal, state and local agencies, and supported by many additional private sector and non-profit organizations. Orange County is a unique model of true collaborative efforts. The OCHTTF has fostered rich partnerships which have empowered law enforcement agencies to work across jurisdictions to ensure successful identification and rescue of human trafficking victims and the eventual prosecution of trafficking perpetrators. Scope of Collaborative Relationships: The collaborative partnership between APD and the Santa Ana Police Department (SAPD) will address the four pillars of the task force goal: partnership, protection, prosecution and prevention. The OCHTTF is a collaboration of law enforcement agencies, non -governmental organizations, faith -based organizations, and the community. The purpose of the OCHTTF is to work together to protect victims, prosecute offenders, and prevent further perpetration of this crime in Orange County, CA. The overall goal of the OCHTTF is to eliminate human trafficking in Orange County, California. This task force has made a tremendous impact in addressing all types of human trafficking cases. However, the success of the OCHTTF has highlighted the need to expand this comprehensive and multi -disciplinary approach in the battle against human trafficking. Hence, APD and SAPD are working closely together to combat human trafficking in Orange County by N The duration of this MOU will encompass the entire FY23 Enhanced Collaborative Model Task Force to Combat Human Trafficking project funding cycle, anticipated to occur throughout 10/01/2023 — 09/30/2026. City Council 24 — 5 8/20/2024 focusing on three core objectives; identifying and quantifying the scope of the problem in Orange County; investigating suspected incidents vigorously and effectively in order to secure the appropriate criminal convictions for those responsible; and collaborating with local agency patterns within law enforcement, county and state government, and non -governmental service providers to ensure the victims of these crimes receive the wrap -around services they need to rebuild their lives and avoid future victimization. Period of Performance: The term of this MOU shall commence upon its execution by the parties. The initial term of this MOU shall expire on September 30, 2026, unless otherwise terminated by the parties as provided herein. This MOU may be renewed on the same terms and conditions and upon mutual written agreement among the parties based on written notification from the Anaheim Police Department. Human Trafficking Investigations Anaheim Police acknowledges human trafficking investigations are very complex and time consuming. Like many other types of complex investigations, it takes time for investigators to build the skills and experience necessary to work human trafficking cases at an optimal level. This experience is never more needed than when investigating human trafficking of minors given, they have the potential to be life cases. With this in mind, APD requests SAPD to consider personnel who are open to a minimum of a two-year commitment to the task force. In this way, the task force benefits greatly from a reasonable term commitment and SAPD in turn gains a more experienced investigator upon completion of the assignment. The duration of this MOU will encompass the entire FY23 Enhanced Collaborative Model Task Force to Combat Human Trafficking project funding cycle, anticipated to occur throughout 10/01/2023 -- 09/30/2026. City Council 24 — 6 8/20/2024 Training For as long as grant funds exist the task force will pay for any pimping/human trafficking training and/or attending conferences, including registration fees, transportation and lodging. All other training will be the responsibility of the respective agency. Roles and Responsibilities of the Partners: Santa Ana Police Department ♦ Enhance interagency collaboration in order to identify, rescue, and assist victims of all forms of human trafficking. ♦ Provide an investigator to work on -site at APD through the term of this MOU. ♦ Provide a vehicle with all necessary equipment to conduct undercover investigations, including a minimum of blue and red front "take down" lights. Provide a department issued cellular phone for use by their investigator and a laptop with access paid data collection sites. e Provide all necessary tactical and officer safety equipment for use by its investigator. ♦ Send any investigations not related to OCHTTF investigations to SAPD for approval and filing. ♦ In the case of dissimilar policies between agencies, investigators from the SAPD shall follow that agency's policies (use of force, pursuit, etc.). ♦ Investigate any citizen complaints filed against members of SAPD assigned to the OCHTTF. ♦ Work to enhance the ability of professionals and key stakeholders within the community to better understand human trafficking and more effectively identify and serve victims. ♦ Plan investigations and prosecutions at the state and federal level. 4 The duration of this MOU will encompass the entire FY 23 Enhanced Collaborative Model Task Force to Combat Human Trafficking project funding cycle, anticipated to occur throughout 10/01/2023 -- 09/30/2026. City Council 24 — 7 8/20/2024 ♦ Promote greater public awareness and understanding of the nature and scope of human trafficking. ♦ Provide high -quality and timely comprehensive services to victims of human trafficking. ♦ Abide by any confidentiality, safety and media relations agreement. ♦ Participate in program evaluation activities whenever possible. ♦ Make a "good faith" effort to resolve any and all program implementation challenges. Anaheim Police Department ♦ Increase the identification of trafficking victims through proactive law enforcement, which is victim -centered and collaborative across all levels of government. ♦ Increase the capacity of law enforcement officers to recognize human trafficking and identify victims through training and public awareness. ♦ Plan investigations prosecution at the state and federal levels. ♦ Provide desk space and computer equipment for SAPD investigator. ♦ Provide undercover buy funds, access to undercover telephones, investigative tools and clerical support for SAPD investigator. ♦ Ensure any and all records pertaining to task force expenditures shall be readily available for examination and audit by any participating agency. ♦ Provide access to APD direct reporting system and all reports for the Human Trafficking Task Force will be placed into that system to remain consistent with other investigations. ♦ Any assets seized through the Asset Forfeiture Program would mirror those in narcotic cases and would be equitably shared based on number of personnel and hours each agency contributes to the investigation. 5 The duration of this MOU will encompass the entire FY23 Enhanced Collaborative Model Task Force to Combat Human Tracking project funding cycle, anticipated to occur throughout 10/01/2023 — 09/30/2026. City Council 24 — 8 8/20/2024 ♦ Chain of command within the task force is an APD Sergeant, the APD Crime Suppression Bureau Lieutenant, the APD Investigation Division Captain, the APD Deputy Chief, and Anaheim Police Chief. ♦ Anaheim Police Department is the lead agency for the OCHTTF, partnered with the Orange County District Attorney's Office HEAT Unit and Waymakers. Compensation: ♦ Reimbursement of overtime work and travel expenses shall be upon the submission of proper invoice, which shall be submitted to APD on a monthly basis with supporting documents. Overtime work to be reimbursed upon invoice shall be reimbursed for services rendered by task force members at one and one-half {1 %z} time their regular hourly rate, multiplied by the number of hours of service actually provided during the billing period. Overtime reimbursement will not include any benefits or other compensation that such personnel may be entitled to as a consequence of enhanced services rendered pursuant to this MOU. ♦ Each month, SAPD shall submit an invoice to APD describing the services performed and/or the specific task in the Scope of Services to which it relates, the date the services performed, and the number of hours spent on all work billed on an hourly basis. APD will provide payment for the described services performed within 30 days after the invoice is submitted. ♦ All other financial support for any regular or overtime hours worked, costs related to travel, equipment, training, or other miscellaneous expenses will be the responsibility of SAPD. Liability and Insurance: None of the parties hereto shall be liable for any bodily injury, death or damage to property proximately resulting from the negligent, wrongful or willful acts or omission of any other party's C7 The duration of this MOU will encompass the entire FY 23 Enhanced Collaborative Model Task Force to Combat Human Trafficking project funding cycle, anticipated to occur throughout 10/01/2023 -- 09/3012026. City Council 24 — 9 8/20/2024 employees in the performance of this MOU. Each party shall be responsible for the acts, errors or omissions and conduct of its own employees and carry sufficient insurance, including worker's compensation, to cover its employees pursuant to its insurance requirements. Contingency of Funds: The parties acknowledge that funding or portions of funding for this MOU may be contingent upon budget approval, receipt of funds from, and/or obligation of funds by the Office of Justice Programs. Confidentiality: The parties agree to maintain the confidentiality of joint and individual records and information pursuant to all statutory laws relating to privacy and confidentiality that currently exist or exist at any time during the term of this MOU. Termination: Any of the parties may terminate this MOU, with or without cause, upon 30 days' written notice given to the other parties. Notice: Any notice required to be given under this MOU shall be in writing and addressed as follows: Notice to Anaheim Police Department: Crime Suppression Bureau Lieutenant Investigations Division 425 S. Harbor Boulevard Anaheim, CA 92805 Notice to Santa Ana Police Department Investigation Bureau Commander Special Investigation Division 66 Civic Center Plaza Santa Ana, CA 92701 7 The duration of this MOU will encompass the entire FY 23 Enhances' Collaborative Model Task Force to Combat Human Trafficking project finding cycle, anticipated to occur throughout 10/01/2023 — 09/30/2026. City Council 24 — 10 8/20/2024 Notice required by this Agreement shall be effective when deposited in the United States mail, first class postage prepaid. Alteration of Terms: This MOU fully expresses all understanding of the parties and is the total agreement between the parties as to the subject matter of this MOU. No addition to, or alteration of the terms of this MOU by the parties, whether written or verbal, shall be valid unless made in the form of a written amendment to this MOU, which is formally approved and executed by the parties, Commitment: The partnering agencies have already established institutional integrity amongst the community they serve and expertise in their agency roles; carefully structuring new programs and projects will only help to fill gaps in the county rather than duplicate services. The history of our respected relationships with each other as law enforcement serves as a demonstration of the commitment on the part of both project partners to work together to achieve the following goals: 1) Conduct proactive investigations of sex and labor trafficking crimes within Orange County and to support the prosecution of such crimes on state and federal levels, 2) Increase the identification of all forms of human trafficking within Orange County, 3) Offer a comprehensive array of restorative services to victims of all types of human trafficking victimized in and/or living in Orange County, and 4) Enhance community capacity to identify and report trafficking crimes. 9 The duration of this MOU will encompass the entire FY23 Enhanced Collaborative Model Task Force to Combat Human Tracking project funding cycle, anticipated to occur throughout 10/01/2023 -- 09/30/2026. City Council 24 —11 8/20/2024 We, the undersigned, hereby affirm our commitment to work closely, through planned active coordination, to identify victims and combat all forms of trafficking occurring within Orange County. Signed, TIACAdC—V S)(,-fJNTTAZC— PA&-E— Date: Robert Rodriguez Chief of Police Santa Ana Police Department UEI # KZE9G2M4GRX9 Rick Annendariz Chief of Police Anaheim Police Department UEI # KV 1 LNLD4M5 Q4 Date: APPROVED AS TO FORM: ANAHEI Ci ATT EY'S O ICE BY t( Attachments: Exhibit A— Federal Regulations Exhibit B -- Award Letter and Special Conditions E The duration of this MOU will encompass the entire FY23 Enhanced Collaborative Model Task Force to Combat Human Trafficking project funding cycle, anticipated to occur throughout 10/01/2023 — 09/30/2026. City Council 24 — 12 8/20/2024 We, the undersigned, hereby affirm out- commitment to work closely, through planned active coordination, to identify victims and combat all forms of trafficking occurring within Orange County. Signed, SEt= Date: Robert Rodriguez Chief of Police Santa Ana Police Department UE1 # KZE9G2M4GRX9 Rick Annendariz Chief of Police Anaheim Police Department UEI # KV 1 LNLD4M5Q4 Date: APPROVED AS TO FORM: ANAHEIM CI ATTO Y'S p ICE BY Attachments: Exhibit A — Federal Regulations Exhibit B —Award Letter and Special Conditions 91 The duration of this MOU will encompass the entire FY23 Enhanced Collaborative Model Task Force to Combat Human Trafcking project funding cycle, anticipated to occur throughout 10/01/2023 — 09/30/2026. City Council 24 — 13 8/20/2024 N-2024-160 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: City APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: wjt�, TAMARA BOGOSIAN Senior Assistant City Attomey CITY OF SANTA ANA '. n G1'iw ALVARO NUNEZ Acting City Manager RECOMMENDED FOR APPROVAL: t, ROBERT RODRIGUEZ Acting Chief of Police City Council 24 — 14 8/20/2024 Exhibit A — Federal Regulations a. Federal Regulations — Recipient must comply with the government cost principles, uniform administrative requirements and audit requirements for federal grant program housed within Title 2, Part 200 of the Code of Federal Regulations. b. Debarment and Sus ep nsion — As required by Executive Orders 12549 and 12689, and 2 CFR §200.212 and codified in 2 CFR Part 200, Recipient must provide protection against waste, fraud, and abuse by debarring or suspending those persons deemed irresponsible in their dealings with the Federal government. c. Audit Records - With respect to all matters covered by this agreement all records shall be made available for audit and inspection by CITY, the grant agency and/or their duly authorized representatives for a period of three (3) years from the date of submission of the final expenditure report by the City of Anaheim. For a period of three years after final delivery hereunder or until all claims related to this Agreement are finally settled, whichever is later, Recipient shall preserve and maintain all documents, papers and records relevant to the services provided in accordance with this Agreement, including the Attachments hereto. For the same time period, Recipient shall make said documents, papers and records available to City and the agency from which City received grant funds or their duly authorized representative(s), for examination, copying, or mechanical reproduction on or off the premises of Recipient, upon request during usual working hours. d. Recipient shall provide to City all records and information requested by City for inclusion in quarterly reports and such other reports or records as City may be required to provide to the agency from which City received grant funds or other persons or agencies. e. Section 504 of the Rehabilitation Act of 1973 (Handicayy4 - All recipients of federal funds must comply with Section 504 of the Rehabilitation Act of 1973 (The Act). Therefore, the federal funds recipient pursuant to the requirements of The Act hereby gives assurance (bat no otherwise qualified handicapped person shall, solely by reason of handicap be excluded from the participation in, be denied the benefits of or be subject to discrimination, including discrimination in employment, in any program or activity that receives or benefits from federal financial assistance. The Recipient agrees it will ensure that requirements of The Act shall be included in the agreements with and be binding on all of its contractors, subcontractors, assignees or successors, f. Americans with Disabilities Act of 1990 - (ADA) Recipient must comply with all requirements of the Americans with Disabilities Act of 1990 (ADA), as applicable. g. Political Activity - None of the funds, materials, property, or services provided directly or indirectly under this agreement shall be used for any partisan political activity, or to further the election or defeat of any candidate for public office, or otherwise in violation of the provisions of the "Hatch Act". h, No Lobbying- Recipient will comply with all applicable lobbying prohibitions and laws, including those found in the Byrd Anti -Lobbying Amendment (31 U.S.C. 1352, et seq.), and agrees that none of the funds provided under this award may be expended by the Recipient to pay any person to influence, or attempt to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with any federal action concerning the award or renewal of any federal contract, grant, loan, or cooperative agreement. i. Non -Discrimination and Equal Qpportunit Recipient will comply, and all its contractors (or subrecipients) will comply, with Title V1 of the Civil Rights Act of 1964, as amended; Section 504 of City Council 24 — 15 8/20/2024 the Rehabilitation Act of 1964, as amended; Subtitle A, Title II of the Americans with Disabilities Act (ADA) (1990); Title IX of the Education Amendments of 1972; the Age Discrimination Act of 1975, as amended; Drug Abuse Office and Treatment Act of 1972, as amended; Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of 1970, as amended; Section 523 and 527 of the Public Health Service Act of 1912, as amended; Title VIII of the Civil Rights Act of 1968, as amended; Department of Justice Non -Discrimination Regulations, 28 CFR Part 42, Subparts C, D, E, and G; and Department of Justice regulations on disability discrimination, 28 CFR fart 35 and 39. In the event a Federal or State court, Federal or State administrative agency, or the Recipient makes a finding of discrimination after a due process hearing on the grounds of race, color, religion, national origin, sex, or disability against a recipient of funds, the Recipient will forward a copy of the findings to CITY which will, in turn, submit the findings to the Office of Civil Rights, Office of Justice Programs, U.S. Department of Justice. If applicable, recipient will comply with the equal opportunity clause in 41 C.F.R. 60-1.4(b) in accordance with Executive Order 11246 as amended by Executive Order No. 11375. j. Recipient will comply, and all its contractors (or subrecipients) will comply, with all requirements of the Executive Order 11246 of September 24, 1965, entitled `Equal Employment Opportunity," as amended by Executive Order 11375 of October 13, 1967, and as supplemented in Department of Labor regulations (41 CFR chapter 60), as applicable. k. Recipient will comply, and all its contractors (or subrecipients) will comply, with all requirements of the California Public Contract Code Section 10295.3. as applicable. 1. Recipient will comply, and all its contractors (or subrecipients) will comply, with all requirements of the Copeland "Anti -Kickback" Act (30 U.S.C. 3145) as supplemented in Department of Labor regulations (29 CFR Part 3), as applicable. in. Recipient will comply, and all its contractors (or subrecipients) will comply, with all requirements of the Davis -Bacon Act (40 U.S.C. 3141-3144 and 3146-3148) as supplemented by Department of Labor regulations (29 CFR Part 5), as applicable. n. Recipient will comply, and all its contractors (or subrecipients) will comply, with all requirements of Sections 103 and 107 of the Contract Work Hours and Safety Standards Act (40 U.S.C. 3702 and 3704) as supplemented by Department of Labor regulations (29 CFR Part 5), as applicable. o. Recipient will comply, and all its contractors (or subrecipients) will comply, with all applicable standards, orders or requirements issued under the Clean Air Act (42 U.S.C. 7401-7671q), and the Federal Water Pollution Control Act (33 U.S.C. 1251-1387), as applicable. P. Recipient will comply, and all its contractors (or subrecipients) will comply, with all requirements of the Energy Policy and Conservation Act (42 U.S.C. 6201), as applicable. q. Recipient will comply, and all its contractors (or subrecipients) will comply, with all requirements of Section 6002 of the Solid Waste Disposal Act, as amended by the Resource Conservation and Recovery Act, as applicable. City Council 24 — 16 8/20/2024 r. Recipient agrees that the Department of Homeland Security shall have the authority to seep patent rights for any process, product, invention or discovery developed and paid for with funding through this Agreement based on the requirements of 37 CFR§ 401 and any other implementing regulations, as applicable. S. Recipient may copyright any books, publications or other copyrightable materials developed in the course of or under this Agreement. However, the federal awarding agency, State Administrative Agency (SAA) and City reserve a royalty -free, non-exclusive, and irrevocable license to reproduce, publish or otherwise use, and to authorize others to use, for federal government, SAA and/or City purpose: (1) the copyright in any work developed through this Agreement; and (2) any rights of copyright to which the subcontractor purchases ownership with support through this grant. The Federal government's, SAA's and City's rights identified above must be conveyed to the publisher and the language of the publisher's release form must ensure the preservation of these rights. t. Pursuant to Equal Employment Opportunity requirements of 41 C.F.R. 60-1.4(b) in accordance with Executive Order 11246 as amended by Executive Order No. 11375, as to any construction contract thereunder, if applicable, during the performance of this contract, the contractor agrees as follows: (1) The contractor will not discriminate against any employee or applicant for employment because of race, color, religion, sex, sexual orientation, gender identity, or national origin. The contractor will take affirmative action to ensure that applicants are employed, and that employees are treated during employment without regard to their race, color, religion, sex, sexual orientation, gender identity, or national origin. Such action shall include, but not be limited to the following: Employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. The contractor agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided setting forth the provisions of this nondiscrimination clause. (2) The contractor will, in all solicitations or advertisements for employees placed by or on behalf of the contractor, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, or national origin. (3) The contractor will not discharge or in any other manner discriminate against any employee or applicant for employment because such employee or applicant has inquired about, discussed, or disclosed the compensation of the employee or applicant or another employee or applicant. This provision shall not apply to instances in which an employee who has access to the compensation information of other employees or applicants as a part of such employee's essential job functions discloses the City Council 24 — 17 8/20/2024 compensation of such other employees or applicants to individuals who do not otherwise have access to such information, unless such disclosure is in response to a formal complaint or charge, in furtherance of an investigation, proceeding, hearing, or action, including an investigation conducted by the employer, or is consistent with the contractor's legal duty to furnish information. (4) The contractor will send to each labor union or representative of workers with which he has a collective bargaining agreement or other contract or understanding, a notice to be provided advising the said labor union or workers' representatives of the contractor's commitments under this section, and shall post copies of the notice in conspicuous places available to employees and applicants for employment. (5) The contractor will comply with all provisions of Executive Order 11246 of September 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor. (6) The contractor will furnish all information and reports required by Executive Order 11246 of September 24, 1965, and by rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his books, records, and accounts by the administering agency and the Secretary of Labor for purposes of investigation to ascertain compliance with such rules, regulations, and orders. (7) In the event of the contractor's noncompliance with the nondiscrimination clauses of this contract or with any of the said rules, regulations, or orders, this contract may be canceled, terminated, or suspended in whole or in part and the contractor may be declared ineligible for further Government contracts or federally assisted construction contracts in accordance with procedures authorized in Executive Order 11246 of September 24, 1965, and such other sanctions may be imposed and remedies invoked as provided in Executive Order 11246 of September 24, 1965, or by rule, regulation, or order of the Secretary of Labor, or as otherwise provided by law. (8) The contractor will include the portion of the sentence immediately preceding paragraph (1) and the provisions of paragraphs (1) through (8) in every subcontract or purchase order unless exempted by rules, regulations, or orders of the Secretary of Labor issued pursuant to section 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontractor or vendor. The contractor will take such action with respect to any subcontract or purchase order as the administering agency may direct as a means of enforcing such provisions, including sanctions for noncompliance. 116664 City Council 24 — 18 8/20/2024 Exhibit B Department of Justice (DOJ) Office of Justice Programs Office for Victims of Crime Washington, D.C. 20531 Name and Address of Recipient: CITY OF ANAHEIM 425 S HARBOR BLVD City, State and Zip: ANAHEIM, CA 92805 Recipient t1El: KVILNLD4M5Q4 Project Title: The Orange County Human Trafficking Task Force (OCHTTF): Strategically designed to leverage capacity and expertise to provide comprehensive services to victims and hold perpetrators accountable. (Solicitation Title: OVC FY 2023 Enha Federal Award Amount: $750,000.06 Awarding Agency: Funding Instrument Type: Opportunity Category: D Assistance Listing: 16.320 - Services for Trafficking Victims Project Period Start Date: 10/1/23 Budget Period Start Date: 10/1123 ect Description: Number: 15POVC-23-GK-02742-HT ............ Model (ECM) Task Force to Combat Human Trafficking Federal Award Date: Office of Justice Programs Office for Victims of Crime CA Project Period End Date: 9/30/26 Orange County has developed an innovative multidisciplinary, anti -human trafficking model designed to combat human trafficking. This model project, the Orange County Human Trafficking Task Force (OCHTTF), is designed to leverage the expertise of local service providers and law enforcement to ensure that victims are identified and supported and perpetrators are held accountable. The OCHTTF proposes to implement the Enhanced Collaborative Project through the co -leadership of the Anaheim Police Department (APD) and Waymakers. The purpose is to enhance the multidisciplinary, co - leadership approach to increasing victim identification of all forms of human trafficking, supporting victims with a trauma -informed approach, and seeking justice on their behalf through a victim -centered tens. Project activities include conducting proactive investigations into sex and labor trafficking crimes, prosecuting perpetrators, and providing comprehensive, culturally relevant services to victims of all forms of human trafficking. Project activities will include a diverse set of approaches, informed by a collaboration of key stakeholders including law enforcement, victim services, prosecution, survivors, and the community. Expected outcomes include an increase in the number of total victims identified and served, an increase in the percentage of victims of labor trafficking being served, and an increase in the number of labor trafficking cases being investigated. The geographic area to be served is the entire County of Orange in California, representing 3,155,816 people in an area of 791 square Page: 1 of 22 City Council 24 — 19 8/20/2024 Letter ber 25, 2023 Dear Jorge Cisneros, On behalf of Attorney General Merrick B. Garland, it is my pleasure to inform you the Office of Justice Programs (OJP) has approved the application submitted by CITY OF ANAHEIM for an award under the funding opportunity entitled 2023 OVC FY 2023 Enhanced Collaborative Model (ECM) Task Force to Combat Human Trafficking. The approved award amount is $750,000. Review the Award Instrument below carefully and familiarize yourself with all conditions and requirements before accepting your award. The Award Instrument includes the Award Offer (Award Information, Project Information, Financial Information, and Award Conditions) and Award Acceptance. For COPS Office and OVW funding the Award Offer also includes any Other Award Documents. Please note that award requirements include not only the conditions and limitations set forth in the Award Offer, but also compliance with assurances and certifications that relate to conduct during the period of performance for the award. These requirements encompass financial, administrative, and programmatic matters, as well as other important matters (e.g., specific restrictions on use of funds). Therefore, all key staff should receive the award conditions, the assurances and certifications, and the application as approved by OJP, so that they understand the award requirements. Information on all pertinent award requirements also must be provided to any subrecipient of the award. )uld you accept the award and then fail to comply with an award requirement, DOJ will pursue appropriate remedies non-compliance, which may include termination of the award and/or a requirement to repay award funds. Prior to accepting the award, your Entity Administrator must assign a Financial Manager, Grant Award Administrator, and Authorized Representative(s) in the Justice Grants System (JustGrants). The Entity Administrator will need to ensure the assigned Authorized Representative(s) is current and has the legal authority to accept awards and bind the entity to the award terms and conditions. To accept the award, the Authorized Representative(s) must accept all parts of the Award Offer in the Justice Grants System (JustGrants), including by executing the required declaration and certification, within 45 days from the award date. access your funds, you will need to enroll in the Automated Standard Application for Payments (ASAP) system, if u haven't already completed the enrollment process in ASAP. The Entity Administrator should have already received email from ASAP to initiate this process. ngratulations, and we look forward to working with you. � Solomon istant Attorney General ce for Civil Rights Notice for All Recipients The Office for Civil Rights (OCR), Office of Justice Programs (OJP), U.S. Department of Justice (DOJ) has been delegated the responsibility for ensuring that recipients of federal financial assistance from the OJP, the Office of Community Oriented Policing Services (COPS), and the Office on Violence Against Women (OVW) are not engaged in discrimination prohibited by law. Several federal civil rights laws, such as Title VI of the Civil Rights Act of 1964 and Section 504 of the Rehabilitation Act of 1973, require recipients of federal financial assistance to give assurances that they will comply with those laws. Taken together, these civil rights laws prohibit recipients of federal financial assistance from DOJ from discriminating in services and employment because of race, color, national origin, religion, disability, sex, and, for grants authorized under the Violence Against Women Act, sexual orientation and gender identity. Recipients are also prohibited from discriminating in services because of age. For a complete review of these civil rights laws and nondiscrimination requirements, in connection with DOJ awards, see https://ojp.gov/funding/ Explore/LegalOverview/Civil Rights Req uirem ents. htm. Under the delegation of authority, the OCR investigates allegations of discrimination against recipients from individuals, entities, or groups. In addition, the OCR conducts limited compliance reviews and audits based on regulatory criteria. Page: 2 of 22 City Council 24 — 20 8/20/2024 These reviews and audits permit the OCR to evaluate whether recipients of financial assistance from the Department are providing services in a nondiscriminatory manner to their service population or have employment practices that meet equal -opportunity standards. If you are a recipient of grant awards under the Omnibus Crime Control and Safe Streets Act or the Juvenile Justice and Delinquency Prevention Act and your agency is part of a criminal justice system, there are two additional obligations that may apply in connection with the awards: (1) complying with the regulation relating to Equal Employment Opportunity Programs (EEOPs); and (2) submitting findings of discrimination to OCR. For additional information regarding the ESOP requirement, see 28 CFR Part 42, subpart E, and for additional information regarding requirements when there is an adverse finding, see 28 C.F.R. §§ 42.204(c), .205(c)(5). The OCR is available to help you and your organization meet the civil rights requirements that are associated with DOJ grant funding. If you would like the OCR to assist you in fulfilling your organization's civil rights or nondiscrimination responsibilities as a recipient of federal financial assistance, please do not hesitate to contact the OCR at askOCR@ojp.usdoj.gov. Memorandum Regarding NEPA NEPA Letter Type OJP - Categorical Exclusion NEPA Letter The purpose of this program is to develop, expand, or strengthen a multidisciplinary approach to better respond to human trafficking. This collaborative approach must include victim and social service providers, law enforcement, prosecution personnel, individuals with lived experience, and a range of other governmental and non -governmental partners that work together to provide access to a diverse set of services for trafficking victims and to seek justice on their behalf. None of the following activities will be conducted whether under the Office of Justice Programs federal action or a related third party action: (1) New construction (2) Any renovation or remodeling of a property located in an environmentally or historically sensitive area, including property (a) listed on or eligible for listing on the National Register of Historic Places, or (b) located within a 100-year flood plain, a wetland, or habitat for an endangered species (3) A renovation that will change the basic prior use of a facility or significantly change its size (4) Research and technology whose anticipated and future application could be expected to have an effect on the environment (5) Implementation of a program involving the use of chemicals (including the identification, seizure, or closure of clandestine methamphetamine laboratories) Additionally, the proposed action is neither a phase nor a segment of a project that when reviewed in its entirety would not meet the criteria for a categorical exclusion. Consequently, the subject federal action meets the Office of Justice Programs' criteria for a categorical exclusion as contained in paragraph 4(b) of Appendix D to Part 61 of Title 28 of the Code of Federal Regulations, Questions about this determination may be directed to your grant manager or Environmental Coordinator for the Office for Victims of Crime. Page. 3 of 22 City Council 24 — 21 8/20/2024 NEPA Coordinator First Name Middle Name Last Name French Award Information This award is offered subject to the conditions or limitations set forth in the Award Information, Project Information, Financial Information, and Award Conditions. Recipient Information Recipient Name CITY OF ANAHEIM UEI KVILNLD4M5Q4 Street 1 425 S HARBOR BLVD Street 2 City M Zip/Postal Code 92805 County/Parish Award Details Federal Award Date 9/25123 Award Number 15POVC-23-GK-02742-HT Federal Award Amount $750,000.00 Assistance Listing Number 16.320 Statutory Authority 22 U.S.C. 7105(b)(2) 34 USC 20705 State/U.S. Territory California Country United States Province Award Type Initial Supplement Number 00 Funding Instrument Type CA Assistance Listings Program Title Services for Trafficking Victims Page: 4 of 22 City Council 24-22 8/20/2024 [1 I have read and understand the information presented in this section of the Fedora! Award Instrument. Project Information This award is offered subject to the conditions or limitations set forth in the Award Information, Project Information, Financial Information, and Award Conditions. Solicitation Title 2023 OVC FY 2023 Enhanced Collaborative Model (ECM) Task Force to Combat Human Trafficking Application Number GRANT13865711 Grant Manager Name Alissa Huntoon Phone Number 202-305-1661 E-mail Address Alissa.Huntoon@usdoj.gov Awarding Agency OJP Program Office OVC Project Title The Orange County Human Trafficking Task Force (OCHTTF): Strategically designed to leverage capacity and expertise to provide comprehensive services to victims and hold perpetrators accountable. Performance Period Start Date 10/01 /2023 Budget Period Start Date 10/01/2023 Project Description Performance Period End Date 09/30/2026 Budget Period End Date 09/30/2026 County has developed an innovative multidisciplinary, anti -human trafficking model designed to combat trafficking. This model project, the Orange County Human Trafficking Task Force (OCHTTF), is !d to leverage the expertise of local service providers and law enforcement to ensure that victims are ed and supported and perpetrators are held accountable. he OCHTTF proposes to implement the Enhanced Collaborative Project through the co -leadership of the naheim Police Department (APD) and Waymakers. The purpose is to enhance the multidisciplinary, co- adership approach to increasing victim identification of all forms of human trafficking, supporting victims with trauma -informed approach, and seeking justice on their- behalf hrough a victim -centered lens. Project activities .elude conducting proactive investigations into sex and labor trafficking crimes, prosecuting perpetrators, and 'oviding comprehensive, culturally relevant services to victims of all forms of human trafficking. Project ;tivities will include a diverse set of approaches, informed by a collaboration of key stakeholders including law iforcement, victim services, prosecution, survivors, and the community. Expected outcomes include an increase the number of total victims identified and served, an increase in the percentage of victims of labor trafficking ,ing served, and an increase in the number of labor trafficking cases being investigated. The geographic area to Page: 5 of 22 City Council 24 — 23 8/20/2024 served is the entire County of Orange in California, representing 3,155,816 people in an area of 791 square have read and understand the information presented in this section of the Federal Award Instrument. 'financial Information his award is offered subject to the conditions or limitations set forth in the Award Information, Project iformation, Financial Information, and Award Conditions. he recipient budget is currently under review. have read and understand the information presented in this section of the Federal Award Instrument. Conditions award is offered subject to the conditions or limitations set forth in the Award Information, Project mation, Financial Information, and Award Conditions. pliance with restrictions on the use of federal funds --prohibited and controlled equipment under OJP awards ;onsistent with Executive Order 14074, "Advancing Effective, Accountable Policing and Criminal Justice Practices To .nhance Public Trust and Public Safety," OJP has prohibited the use of federal funds under this award for purchases r transfers of specified equipment by law enforcement agencies. In addition, OJP requires the recipient, and any ubreciplent ("subgrantee") at any tier, to put in place specified controls prior to using federal funds under this award to cquire or transfer any property identified on the "controlled equipment" list. The details of the requirement are posted n the OJP web site at https://www,ojp.gov/funding/explore/prohibited and -controlled -equipment (Award condition: compliance with restrictions on the use of federal funds --prohibited and controlled equipment under OJP awards), and re incorporated by reference here. nce with DOJ regulations pertaining to civil rights and nondiscrimination - 28 C.F.R. Part 54 he recipient, and any subrecipient ("subgrantee") at any tier, must comply with all applicable requirements of 28 .F.R. Part 54, which relates to nondiscrimination on the basis of sex in certain "education programs." ompliance with 41 U.S.C. 4712 (including prohibitions on reprisal; notice to employees) he recipient (and any subrecipient at any tier) must comply with, and is subject to, all applicable provisions of 41 .S.C. 4712, including all applicable provisions that prohibit, under specified circumstances, discrimination against an rnployee as reprisal for the employee's disclosure of information related to gross mismanagement of a federal grant, a -oss waste of federal funds, an abuse of authority relating to a federal grant, a substantial and specific danger to iblic health or safety, or a violation of law, rule, or regulation related to a federal grant. recipient also must inform its employees, in writing (and in the predominant native language of the workforce), of oyee rights and remedies under 41 U.S.C. 4712. Id a question arise as to the applicability of the provisions of 41 U.S.C. 4712 to this award, the recipient is to Page: 6 of 22 City Council 24 — 24 8/20/2024 contact the DOJ awarding agency (OJP or OVW, as appropriate) for guidance. of Part 200 Uniform Requirements The Uniform Administrative Requirements, Cost Principles, and Audit Requirements in 2 C.F.R. Part 200, as adopted and supplemented by DOJ in 2 C.F.R. Part 2800 (together, the "Part 200 Uniform Requirements") apply to this FY 2022 award from OJP. The Part 200 Uniform Requirements were first adopted by DOJ on December 26, 2014. If this FY 2022 award supplements funds previously awarded by OJP under the same award number (e.g., funds awarded during or before December 2014), the Part 200 Uniform Requirements apply with respect to all funds under that award number (regardless of the award date, and regardless of whether derived from the initial award or a supplemental award) that are obligated on or after the acceptance date of this FY 2022 award. For more information and resources on the Part 200 Uniform Requirements as they relate to OJP awards and subawards ("subgrants"), see the OJP website at https:/Iojp.gov/funding/Part2000niformRequirements.htm. Record retention and access: Records pertinent to the award that the recipient (and any subrecipient ("subgrantee") at any tier) must retain -- typically for a period of 3 years from the date of submission of the final expenditure report (SF 425), unless a different retention period applies -- and to which the recipient (and any subrecipient ("subgrantee") at any tier) must provide access, include performance measurement information, in addition to the financial records, supporting documents, statistical records, and other pertinent records indicated at 2 C.F.R. 200.334. In the event that an award -related question arises from documents or other materials prepared or distributed by OJP that may appear to conflict with, or differ in some way from, the provisions of the Part 200 Uniform Requirements, the recipient is to contact OJP promptly for clarification. Compliance with applicable rules regarding approval, planning, and reporting of conferences, meetings, trainings, and other events The recipient, and any subrecipient ("subgrantee") at any tier, must comply with all applicable laws, regulations, policies, and official DOJ guidance (including specific cost limits, prior approval and reporting requirements, where applicable) governing the use of federal funds for expenses related to conferences (as that term is defined by DOJ), including the provision of food and/or beverages at such conferences, and costs of attendance at such conferences. Information on the pertinent DOJ definition of conferences and the rules applicable to this award appears in the DOJ Grants Financial Guide (currently, as section 3.10 of "Postaward Requirements" in the "DOJ Grants Financial Guide"). Requirement for data on performance and effectiveness under the award The recipient must collect and maintain data that measure the performance and effectiveness of work under this award. The data must be provided to OJP in the manner (including within the timeframes) specified by OJP in the orogram solicitation or other applicable written guidance. Data collection supports compliance with the Government Performance and Results Act (GPRA) and the GPRA Modernization Act of 2010, and other applicable laws. 7 Compliance with DOJ Grants Financial Guide References to the DOJ Grants Financial Guide are to the DOJ Grants Financial Guide as posted on the OJP website (currently, the "DOJ Grants Financial Guide" available at https:/Iojp.gov/financialguide/DOJ/index.htm), including any updated version that may be posted during the period of performance. The recipient agrees to comply with the DOJ Grants Financial Guide. Page: 7 of 22 City Council 24 — 25 8/20/2024 Compliance with general appropriations -law restrictions on the use of federal funds (FY 2022) The recipient, and any subrecipient ("subgrantee") at any tier, must comply with all applicable restrictions on the use of federal funds set out in federal appropriations statutes. Pertinent restrictions, including from various "general provisions" in the Consolidated Appropriations Act, 2022, are set out at https://www.ojp.gov/funding/Explore/ FY22Appropriations Restrictions. htm, and are incorporated by reference here. Should a question arise as to whether a particular use of federal funds by a recipient (or a subrecipient) would or might fall within the scope of an appropriations -law restriction, the recipient is to contact OJP for guidance, and may not proceed without the express prior written approval of OJP. 9 Compliance with DOJ regulations pertaining to civil rights and nondiscrimination - 28 C.F.R. Part 38 The recipient, and any subrecipient ("subgrantee") at any tier, must comply with all applicable requirements of 28 C.F.R. Part 38 (as may be applicable from time to time), specifically including any applicable requirements regarding written notice to program beneficiaries and prospective program beneficiaries. Currently, among other things, 28 C.F.R. Part 3.8 includes rules that prohibit specific forms of discrimination on the basis of religion, a religious belief, a refusal to hold a religious belief, or refusal to attend or participate in a religious practice. Part 38, currently, also sets out rules and requirements that pertain to recipient and subrecipient ("subgrantee") organizations that engage in or conduct explicitly religious activities, as well as rules and requirements that pertain to recipients and subrecipients that are faith -based or religious organizations. The text of 28 C.F.R. Part 38 is available via the Electronic Code of Federal Regulations (currently accessible at https:/ lwww.ecfr.gov/cgi-bin/ECFR?page=browse), by browsing to Title 28-Judicial Administration, Chapter 1, Part 38, under e-CFR "current" data. 10 Effect of failure to address audit issues The recipient understands and agrees that the DOJ awarding agency (OJP or OVW, as appropriate) may withhold award funds, or may impose other related requirements, if (as determined by the DOJ awarding agency) the recipient does not satisfactorily and promptly address outstanding issues from audits required by the Part 200 Uniform Requirements (or by the terms of this award), or other outstanding issues that arise in connection with audits, investigations, or reviews of DOJ awards. 11 Requirements of the award; remedies for non-compliance or for materially false statements The conditions of this award are material requirements of the award. Compliance with any assurances or certifications submitted by or on behalf of the recipient that relate to conduct during the period of performance also is a material requirement of this award. Limited Exceptions. In certain special circumstances, the U.S. Department of Justice ("DOJ") may determine that it will not enforce, or enforce only in part, one or more requirements otherwise applicable to the award. Any such exceptions regarding enforcement, including any such exceptions made during the period of performance, are (or will be during the period of performance) set out through the Office of Justice Programs ("OJP") webpage entitled "Legal Notices: Special circumstances as to particular award conditions" (ojp.gov/fundinglExplore/LegaiNotices-AwardRegts.htm), and incorporated by reference into the award. By signing and accepting this award on behalf of the recipient, the authorized recipient official accepts all material requirements of the award, and specifically adopts, as if personally executed by the authorized recipient official, all assurances or certifications submitted by or on behalf of the recipient that relate to conduct during the period of performance. Failure to comply with one or more award requirements -- whether a condition set out in full below, a condition Page: 8 of 22 City Council 24 — 26 8/20/2024 ncorporated by reference below, or an assurance or certification related to conduct during the award period -- may 'exult in OJP taking appropriate action with respect to the recipient and the award. Among other things, the OJP may withhold award funds, disallow costs, or suspend or terminate the award. DOJ, including OJP, also may take other egal action as appropriate. ny materially false, fictitious, or fraudulent statement to the federal government related to this award (or concealment omission of a material fact) may be the subject of criminal prosecution (including under 18 U.S.C. 1001 and/or 1621, id/or 34 U.S.C. 10271-10273), and also may lead to imposition of civil penalties and administrative remedies for false aims or otherwise (including under 31 U.S.C. 3729-3730 and 3801-3812). Should any provision of a requirement of this award be held to be invalid or unenforceable by its terms, that provision shall first be applied with a limited construction so as to give it the maximum effect permitted by law. Should it be held, nstead, that the provision is utterly invalid or -unenforceable, such provision shall be deemed severable from this 12 Compliance with DOJ regulations pertaining to civil rights and nondiscrimination - 28 C.F.R. Part 42 The recipient, and any subreciplent ("subgrantee") at any tier, must comply with all applicable requirements of 28 C.F.R. Part 42, specifically including any applicable requirements in Subpart E of 28 C.F.R. Part 42 that relate to an equal employment opportunity program. 13 irements related to "de minimis" indirect cost rate \ recipient that is eligible under the Part 200 Uniform Requirements and other applicable law to use the "de minimis" ndirect cost rate described in 2 C.F.R. 200.414(f), and that elects to use the "de minimis" indirect cost rate, must advise OJP in writing of both its eligibility and its election, and must comply with all associated requirements in the Part ?00 Uniform Requirements. The "de minimis" rate may be applied only to modified total direct costs (MTDC) as defined )y the Part 200 Uniform Requirements. 14 Employment eligibility verification for hiring under the award 1. The recipient (and any subrecipient at any tier) must -- A. Ensure that, as part of the hiring process for any position within the United States that is or will be funded (in whole or in part) with award funds, the recipient (or any subrecipient) properly verifies the employment eligibility of the individual who is being hired, consistent with the provisions of 8 U.S.C. 1324a(a)(1). B. Notify all persons associated with the recipient (or any subrecipient) who are or will be involved in activities under this award of both-- (1) this award requirement for verification of employment eligibility, and (2) the associated provisions in 8 U.S.C. 1324a(a)(1) that, generally speaking, make it unlawful, in the United States, to hire (or recruit for employment) certain aliens. C. Provide training (to the extent necessary) to those persons required by this condition to be notified of the award requirement for employment eligibility verification and of the associated provisions of 8 U.S.C. 1324a(a)(1). D. As part of the recordkeeping for the award (including pursuant to the Part 200 Uniform Requirements), maintain records of all employment eligibility verifications pertinent to compliance with this award condition in accordance with Form 1-9 record retention requirements, as well as records of all pertinent notifications and trainings. 2. Monitoring Page: 9 of 22 City Council 24 — 27 8/20/2024 he recipient's monitoring responsibilities include monitoring of subreciplent compliance with this condition. . Allowable costs o the extent that such costs are not reimbursed under any other federal program, award funds may be obligated for ie reasonable, necessary, and allocable costs (if any) of actions designed to ensure compliance with this condition. Rules of construction Staff involved in the hiring process or purposes of this condition, persons "who are or will be involved in activities under this award" specifically includes without limitation).any and all recipient (or any subrecipient) officials or other staff who are or will be involved in the iring process with respect to a position that is or will be funded (in whole or in part) with award funds. Employment eligibility confirmation with E-Verify For purposes of satisfying the requirement of this condition regarding verification of employment eligibility, the recipient (or any subrecipient) may choose to participate in, and use, E-Verify (www.e-verify.gov), provided an appropriate person authorized to act on behalf of the recipient (or subrecipient) uses E Verify (and follows the proper E-Verify procedures, including in the event of a "Tentative Nonconfirmation" or a "Final Nonconfirmation") to confirm employment eligibility for each hiring for a position in the United States that is or will be funded (in whole or in part) with award funds. C. "United States" specifically includes the District of Columbia, Puerto Rico, Guam, the Virgin Islands of the United States, and the Commonwealth of the Northern Mariana Islands. D. Nothing in this condition shall be understood to authorize or require any recipient, any subrecipient at any tier, or any person or other entity, to violate any federal law, including any applicable civil rights or nondiscrimination law. E. Nothing in this condition, including in paragraph 4.B., shall be understood to relieve any recipient, any subrecipient at any tier, or any person or other entity, of any obligation otherwise imposed by law, including 8 U.S.C. 1324a(a)(1). Questions about E-Verify should be directed to DHS. For more information about E-Verify visit the E-Verify website (https://www.e-verify.gov/) or email E-Verify at E-Verify@dhs.gov. E-Verify employer agents can email E-Verify at E- VerifyEmployerAgent@dhs.gov. Questions about the meaning or scope of this condition should be directed to OJP, before award acceptance. 15 OJP Training Guiding Principles Any training or training materials that the recipient -- or any subrecipient ("subgrantee") at any tier -- develops or delivers with OJP award funds must adhere to the OJP Training Guiding Principles for Grantees and Subgrantees, available at https://www.ojp.gov/funding/implement/training-guiding-principles-grantees-and-subgrantees. 16 Determination of suitability to interact with participating minors SCOPE. This condition applies to this award if it is indicated -- in the application for the award (as approved by DOJ)(or in the application for any subaward, at any tier), the DOJ funding announcement (solicitation), or an associated federal statute -- that a purpose of some or all of the activities to be carried out under the award (whether by the recipient, or a subrecipient at any tier) is to benefit a set of individuals under 18 years of age. The recipient, and any subreciplent at any tier, must make determinations of suitability before certain individuals may interact with participating minors. This requirement applies regardless of an individual's employment status. details of this requirement are posted on the OJP web site at https:/Iojp.gov/funding/Explore/Interact-Minors.htm Page: 10 of 22 City Council 24 — 28 8/20/2024 (Award condition: Determination of suitability required, in advance, for certain individuals who may interact with participating minors), and are incorporated by reference here. 17 Potential imposition of additional requirements The recipient agrees to comply with any additional requirements that may be imposed by the DOJ awarding agency (OJP or OVW, as appropriate) during the period of performance for this award, if the recipient is designated as "high - risk" for purposes of the DOJ high -risk grantee list. 18 Required training for Grant Award Administrator and Financial Manager The Grant Award Administrator and all Financial Managers for this award must have successfully completed an "OJP financial management and grant administration training" by 120 days after the date of the recipient's acceptance of the award. Successful completion of such a training on or after October 15, 2020, will satisfy this condition. In the event that either the Grant Award Administrator or a Financial Manager for this award changes during the period of performance, the new Grant Award Administrator or Financial Manager must have successfully completed an "OJP financial management and grant administration training" by 120 calendar days after the date the Entity Administrator enters updated Grant Award Administrator or Financial Manager information in JustGrants. Successful completion of such a training on or after October 15, 2020, will satisfy this condition. A list of OJP trainings that OJP will consider "OJP financial management and grant administration training" for purposes of this condition is available at https://onlinegfmt.training.ojp.gov/. All trainings that satisfy this condition include a session on grant fraud prevention and detection. The recipient should anticipate that OJP will immediately withhold ("freeze") award funds if the recipient fails to comply with this condition. The recipient's failure to comply also may lead OJP to impose additional appropriate conditions on this award. 19 Restrictions and certifications regarding non -disclosure agreements and related matters No recipient or subrecipient ("subgrantee") under this award, or entity that receives a procurement contract or subcontract with any funds under this award, may require any employee or contractor to sign an internal confidentiality agreement or statement that prohibits or otherwise restricts, or purports to prohibit or restrict, the reporting (in accordance with law) of waste, fraud, or abuse to an investigative or law enforcement representative of a federal department or agency authorized to receive such information. The foregoing is not intended, and shall not be understood by the agency making this award, to contravene requirements applicable to Standard Form 312 (which relates to classified information), Form 4414 (which relates to sensitive compartmented information), or any other form issued by a federal department or agency governing the nondisclosure of classified information. 1. In accepting this award, the recipient -- a. represents that it neither requires nor has required internal confidentiality agreements or statements from employees or contractors that currently prohibit or otherwise currently restrict (or purport to prohibit or restrict) employees or contractors from reporting waste, fraud, or abuse as described above; and b. certifies that, if it learns or is notified that it is or has been requiring its employees or contractors to execute agreements or statements that prohibit or otherwise restrict (or purport to prohibit or restrict), reporting of waste, fraud, or abuse as described above, it will immediately stop any further obligations of award funds, will provide prompt written notification to the federal agency making this award, and will resume (or permit resumption of) such obligations only if expressly authorized to do so by that agency. Page: 11 of 22 City Council 24 — 29 8/20/2024 If the recipient does or is authorized under this award to make subawards ("subgrants"), procurement contracts, or a. it represents that-- (1) it has determined that no other entity that the recipient's application proposes may or will receive award funds (whether through a subaward ("subgrant"), procurement contract, or subcontract under a procurement contract) either requires or has required internal confidentiality agreements or statements from employees or contractors that currently prohibit or otherwise currently restrict (or purport to prohibit or restrict) employees or contractors from reporting waste, fraud, or abuse as described above; and (2) it has made appropriate inquiry, or otherwise has an adequate factual basis, to support this representation; and b. it certifies that, if it learns or is notified that any subrecipient, contractor, or subcontractor entity that receives funds under this award is or has been requiring its employees or contractors to execute agreements or statements that prohibit or otherwise restrict (or purport to prohibit or restrict), reporting of waste, fraud, or abuse as described above, it will immediately stop any further obligations of award funds to or by that entity, will provide prompt written notification to the federal agency making this award, and will resume (or permit resumption of) such obligations only if expressly authorized to do so by that agency. c Reclassification of various statutory provisions to a new Title 34 of the United States Code On September 1, 2017, various statutory provisions previously codified elsewhere in the U,S. Code were editorially reclassified (that is, moved and renumbered) to a new Title 34, entitled "Crime Control and Law Enforcement." The reclassification encompassed a number of statutory provisions pertinent to OJP awards (that is, OJP grants and cooperative agreements), including many provisions previously codified in Title 42 of the U.S. Code. Effective as of September 1, 2017, any reference in this award document to a statutory provision that has been reclassified to the new Title 34 of the U.S. Code is to be read as a reference to that statutory provision as reclassified to Title 34. This rule of construction specifically includes references set out in award conditions, references set out in material incorporated by reference through award conditions, and references set out in other award requirements. 21 Requirement to report actual or imminent breach of personally identifiable information (PI I) The recipient (and any "subrecipient" at any tier) must have written procedures in place to respond in the event of an actual or imminent "breach" (OMB M-17-12) if it (or a subrecipient) -- (1) creates, collects, uses, processes, stores, maintains, disseminates, discloses, or disposes of "Personally Identifiable Information (PII)" (2 CFR 200.1) within the scope of an OJP grant -funded program or activity, or (2) uses or operates a "Federal information system" (OMB Circular A-130). The recipient's breach procedures must include a requirement to report actual or imminent breach of PH to an OJP Program Manager no later than 24 hours after an occurrence of an actual breach, or the detection of an imminent breach. Requirement to disclose whether recipient is designated "high risk" by a federal grant -making agency outside of DOJ If the recipient is designated "high risk" by a federal grant -making agency outside of DOJ, currently or at any time during the course of the period of performance under this award, the recipient must disclose that fact and certain related information to OJP by email at OJP.ComplianceReporting@ojp.usdoj.gov. For purposes of this disclosure, high risk includes any status under which a federal awarding agency provides additional oversight due to the recipient's past performance, or other programmatic or financial concerns with the recipient. The recipient's disclosure must include the following: 1. The federal awarding agency that currently designates the recipient high risk, 2. The date the recipient was designated high risk, 3. The high -risk point of contact at that federal awarding agency (name, phone number, and email address), and 4. The reasons for the high -risk status, as set out by the federal awarding agency. Page: 12 of 22 City Council 24 — 30 8/20/2024 ragement of policies to ban text messaging while driving irsuant to Executive Order 13513, "Federal Leadership on Reducing Text Messaging While Driving," 74 Fed. Reg. 225 (October 1, 2009), DOJ encourages recipients and subrecipients ("subgrantees") to adopt and enforce policies nning employees from text messaging while driving any vehicle during the course of performing work funded by this Lard, and to establish workplace safety policies and conduct education, awareness, and other outreach to decrease ashes caused by distracted drivers. subawards ("subgrants") must have specific federal authorization e recipient, and any subrecipient ("subgrantee") at any tier, must comply with all applicable requirements for thorization of any subaward. This condition applies to agreements that -- for purposes of federal grants ministrative requirements -- OJP considers a "subaward" (and therefore does not consider a procurement )ntract"). details of the requirement for authorization of any subaward are posted on the OJP web site at https:llojp.gov/ ing/ExplorelSubawardAuthorization.htm (Award condition: All subawards ("subgrants") must have specific federal orization), and are incorporated by reference here. post -award approval required to use a noncompetitive approach in any procurement contract that would $250,000 ie recipient, and any subrecipient ("subgrantee") at any tier, must comply with all applicable requirements to obtain )ecific advance approval to use a noncompetitive approach in any procurement contract that would exceed the mplified Acquisition Threshold (currently, $250,000). This condition applies to agreements that -- for purposes of deral grants administrative requirements -- OJP considers a procurement "contract" (and therefore does not consider subaward). The details of the requirement for advance approval to use a noncompetitive approach in a procurement contract and an OJP award are posted on the OJP web site at https:llojp.gov/funding/Explore/NoncompetitiveProcurement.htm (Award condition: Specific post -award approval required to use a noncompetitive approach in a procurement contract (if contract would exceed $250,000)), and are incorporated by reference here. Requirements pertaining to prohibited conduct related to trafficking in persons (including reporting requirements and OJP authority to terminate award) The recipient, and any subrecipient ("subgrantee") at any tier, must comply with all applicable requirements (including requirements to report allegations) pertaining to prohibited conduct related to the trafficking of persons, whether on the part of recipients, subrecipients ("subgrantees"), or individuals defined (for purposes of this condition) as "employees" of the recipient or of any subrecipient. The details of the recipient's obligations related to prohibited conduct related to trafficking in persons are posted on the OJP web site at https:llojp.gov/funding/Explore/ProhibitedConduct-Trafficking.htm (Award condition: Prohibited conduct by recipients and subrecipients related to trafficking in persons (including reporting requirements and OJP authority to terminate award)), and are incorporated by reference here. 27 Requirement to report potentially duplicative funding If the recipient currently has other active awards of federal funds, or if the recipient receives any other award of federal funds during the period of performance for this award, the recipient promptly must determine whether funds from any of those other federal awards have been, are being, or are to be used (in whole or in part) for one or more of the identical cost items for which funds are provided under this award. If so, the recipient must promptly notify the DOJ awarding agency (OJP or OVW, as appropriate) in writing of the potential duplication, and, if so requested by the DOJ awarding Page: 13 of 22 City Council 24 — 31 8/20/2024 agency, must seek a budget -modification or change -of -project -scope Grant Award Modification (GAM) to eliminate any inappropriate duplication of funding. Reporting potential fraud, waste, and abuse, and similar misconduct The recipient, and any subrecipients ("subgrantees") at any tier, must promptly refer to the DOJ Office of the Inspector General (OIG) any credible evidence that a principal, employee, agent, subrecipient, contractor, subcontractor, or other person has, in connection with funds under this award- (1) submitted a claim that violates the False Claims Act; or (2) committed a criminal or civil violation of laws pertaining to fraud, conflict of interest, bribery, gratuity, or similar misconduct. Potential fraud, waste, abuse, or misconduct involving or relating to funds under this award should be reported to the OIG by--(1) online submission accessible via the OIG webpage at https://oig.justice.gov/hotline/contact-grants.htm (select "Submit Report Online"); (2) mail directed to: U.S. Department of Justice, Office of the Inspector General, Investigations Division, ATTN: Grantee Reporting, 950 Pennsylvania Ave., NW, Washington, DC 20630; and/or (3) by facsimile directed to the DOJ OIG Investigations Division (Attn: Grantee Reporting) at (202) 616-9881 (fax). information is available from the DOJ OIG website at https://oig.justice.gov/hotline. two Requirements related to System for Award Management and Universal Identifier Requirements The recipient must comply with applicable requirements regarding the System for Award Management (SAM), currently accessible at https://www.sam.gov/. This includes applicable requirements regarding registration with SAM, as well as maintaining the currency of information in SAM. The recipient also must comply with applicable restrictions on subawards ("subgrants") to first -tier subrecipients (first - tier "subgrantees"), including restrictions on subawards to entities that do not acquire and provide (to the recipient) the unique entity identifier required for SAM registration. The details of the recipient's obligations related to SAM and to unique entity identifiers are posted on the OJP web site at https://ojp.gov/funding/Explore/SAM.htm (Award condition: System for Award Management (SAM) and Universal Identifier Requirements), and are incorporated by reference here. This condition does not apply to an award to an individual who received the award as a natural person (i.e., unrelated to any business or nonprofit organization that he or she may own or operate in his or her name). 30 Restrictions on "lobbying" In general, as a matter of federal law, federal funds awarded by OJP may not be used by the recipient, or any subrecipient ("subgrantee") at any tier, either directly or indirectly, to support or oppose the enactment, repeal, modification, or adoption of any law, regulation, or policy, at any level of government. See 18 U.S.C. 1913. (There may be exceptions if an applicable federal statute specifically authorizes certain activities that otherwise would be barred by law.) Another federal law generally prohibits federal funds awarded by OJP from being used by the recipient, or any subrecipient at any tier, to pay any person to influence (or attempt to influence) a federal agency, a Member of Congress, or Congress (or an official or employee of any of them) with respect to the awarding of a federal grant or cooperative agreement, subgrant, contract, subcontract, or loan, or with respect to actions such as renewing, extending, or modifying any such award. See 31 U.S.C. 1352. Certain exceptions to this law apply, including an exception that applies to Indian tribes and tribal organizations. Should any question arise as to whether a particular use of federal funds by a recipient (or subrecipient) would or might fall within the scope of these prohibitions, the recipient is to contact OJP for guidance, and may not proceed without the express prior written approval of OJP. Page: 14 of 22 City Council 24 — 32 8/20/2024 31 The recipient agrees that it will submit quarterly financial status reports (the SF 425 Federal Financial Report) to OJP in JustGrants, no later than the deadlines set out in the DOJ Financial Guide and the JustGrants guidance (typically 30 days after the end of each calendar quarter). Delinquent reports may lead to funds being frozen and other remedies. 32 The recipient shall submit semiannual performance reports. Performance reports shall be submitted within 30 days after the end of the reporting periods, which are June 30 and December 31, for the life of the award. These reports will be submitted to the Office of Justice Programs, on-line through the Internet at https:lljustgrants.usdoj.gov 33 The recipient agrees to submit a final report at the end of this award documenting all relevant project activities during the entire period of support under this award. This report will include detailed information about the project(s) funded, including, but not limited to, information about how the funds were actually used for each purpose area, data to support statements of progress, and data concerning individual results and outcomes of funded projects reflecting project successes and impacts. The final report is due no later than 120 days following the close of this award period or the expiration of any extension periods. This report will be submitted to the Office of Justice Programs, on-line through the Internet at https://iustgrants.usdoj.gov/ 0 FFATA reporting: Subawards and executive compensation The recipient must comply with applicable requirements to report first -tier subawards ("subgrants") of $30,000 or more and, in certain circumstances, to report the names and total compensation of the five most highly compensated executives of the recipient and first -tier subrecipients (first -tier "subgrantees") of award fun ft..;The details of recipient obligations, which derive from the Federal Funding Accountability and Transparency Act of 2006 (FFATA), are posted on the OJP web site at https://ojp.gov/funding/Explore/FFATA.htm (Award condition: Reporting Subawards and Executive Compensation), and are incorporated by reference here. is condition, including its reporting requirement, does not apply to-- (1) an award of less than $30,000, or (2) an and made to an individual who received the award as a natural person (i.e., unrelated to any business or non-profit lanization that he or she may own or operate in his or her name). 35 Recipient integrity and performance matters: Requirement to report information on certain civil, criminal, and administrative proceedings to SAM and FAPIIS The recipient must comply with any and all applicable requirements regarding reporting of information on civil, criminal, and administrative proceedings connected with (or connected to the performance of) either this OJ P award or any other grant, cooperative agreement, or procurement contract from the federal government. Under certain circumstances, recipients of OJP awards are required to report information about such proceedings, through the federal System for Award Management (known as "SAM"), to the designated federal integrity and performance system (currently, "FAPIIS"). The details of recipient obligations regarding the required reporting (and updating) of information on certain civil, criminal, and administrative proceedings to the federal designated integrity and performance system (currently, "FAPIIS") within SAM are posted on the OJP web site at https:llojp.gov/funding/FAPIIS.htm (Award condition: Recipient Integrity and Performance Matters, including Recipient Reporting to FAPIIS), and are incorporated by reference here. 0 Limit on use of grant funds for grantees' employees' salaries With respect to this award, federal funds may not be used to pay cash compensation (salary plus bonuses) to any employee of the award recipient at a rate that exceeds 110% of the maximum annual salary payable to a member of Page: 15 of 22 City Council 24 — 33 8/20/2024 federal government's Senior Executive Service (SES) at an agency with a Certified SES Performance Appraisal tem for that year. (An award recipient may compensate an employee at a higher rate, provided the amount in ess of this compensation limitation is paid with non-federal funds.) is limitation on compensation rates allowable under this award may be waived on an individual basis at the cretion of the OJP official indicated in the program announcement under which this award is made. 7 of Federal Involvement Due to the substantial Federal involvement contemplated in completion of this project, the OVC has elected to enter into a cooperative agreement rather than a grant. This decision is based on OJP and OVC's ongoing responsibility to assist and coordinate projects that relate to the funded activities. OJP and OVC will provide input and re -direction to the project, as needed, in consultation with the recipient, and will actively monitor the project by methods including, but not limited to, ongoing contact with the recipient. In meeting programmatic responsibilities, OJP, OVC, and the recipient will be guided by the following principles: responsibility for the day-to-day operations of this project rests with the recipient in implementation of the recipient's approved proposal, the recipient's approved budget, and the terms and conditions specified in this award. Responsibility for general oversight and redirection of the project, if necessary, rests with OVC. In addition to its programmatic reporting requirements, the recipient agrees to provide necessary information as requested by OJP and OVC. Information requests may include, but are not limited to, specific submissions related to: performance, including measurement of project outputsloutcomes; meeting performance specifications; developmental decision points; changes in project scope or personnel; budget modifications; and/or coordination of related projects. 38 Within 45 calendar days after the end of any conference, meeting, retreat, seminar, symposium, training activity, or similar event funded under this award, and the total cost of which exceeds $20,000 in award funds, the recipient must provide the program manager with the following information and itemized costs: 1) name of event; 2) event dates; 3) location of event; 4) number of federal attendees; 5) number of non-federal attendees; 6) costs of event space, including rooms for break-out sessions; 7) costs of audio visual services; 8) other equipment costs (e.g., computer fees, telephone fees); 9) costs of printing and distribution; 10) costs of meals provided during the event; 11) costs of refreshments provided during the event; 12) costs of event planner; 13) costs of event facilitators; and 14) any other costs associated with the event. Page: 16 of 22 City Council 24 — 34 8/20/2024 The recipient must also itemize and report any of the following attendee (including participants, presenters, speakers) costs that are paid or reimbursed with cooperative agreement funds: 1) meals and incidental expenses (M&IE portion of per diem); 2) lodging; 3) transportation to/from event location (e.g., common carrier, Privately Owned Vehicle (POV)); and, 4) local transportation (e.g., rental car, POV) at event location. Note that if any item is paid for with registration fees, or any other non -award funding, then that portion of the expense does not need to be reported. Further instructions regarding the submission of this data, and how to determine costs, are available in the DOJ Financial Guide Conference Cost Chapter. 39 The recipient will coordinate its efforts with other similar OVC-funded programs within the relevant jurisdiction in order to enhance the project and avoid duplication of efforts. ustification of consultant rate pproval of this award does not indicate approval of any consultant rate in excess of $650 per day. A detailed stification must be submitted to and approved by the OJP program office prior to obligation or expenditure of such The recipient agrees to submit to OJP for review and approval any product (e.g., curricula, training materials, publications, reports, videos, or any other written, web -based, or audio-visual, or other materials) that will be developed and published under this award, 60 days before its intended publication. The recipient agrees to correct a product in response to comments generated through the OJP peer review process, the internal Department of Justice review process, or as otherwise requested by OJP. Any products developed under this award shall contain the following statement: ?This was produced by under [add grant number], awarded by the [add Awarding Program Office, e.g., Office for Victims of Crime], Office of Justice Programs, U.S. Department of Justice. The opinions, findings, and conclusions or recommendations expressed in this are those of the contributors and do not necessarily represent the official position or policies of the U.S. Department of Justice.? The OJP grant manager will determine whether minor deliverables, such as webinars, one -page flyers and discrete web pages, require review or prior approval by OJP. The recipient (and any "sub recipient" at any tier) must have written policies and procedures in place that address how it will maintain the confidentiality of victims' names, addresses, telephone numbers, or any other identifying information, including how this information will be protected when there is information sharing between partners. In addition, the recipient must submit a signed, written certification that data privacy and sharing protocols comport with the confidentiality and privacy rights and obligations of federal law or the grantee jurisdiction's laws, court rules, or rules of professional conduct applicable to the work performed by the recipient. The recipient agrees to provide to OJP all documentation as required for grant monitoring purposes. Applicants must ensure that Limited English Proficiency persons have meaningful access to the services under this program(s). National origin discrimination includes discrimination on the basis of limited English proficiency (LEP). To ensure compliance with Title VI and the Safe Streets Act, recipients are required to take reasonable steps to ensure that LEP persons have meaningful access to their programs. Meaningful access may entail providing language assistance services, including oral and written translation when necessary. The U.S. Department of Justice has issued Page: 17 of 22 City Council 24 — 35 8/20/2024 guidance for grantees to help them comply with Title VI requirements. The guidance document can be accessed on the Internet at www.lep.gov. e Project Director and/or any other key program personnel designated in the application shall be replaced only for mpelling reasons. Successors to key personnel must be approved by OJP, and such approval is contingent upon bmission of appropriate information, including, but not limited to, a resume. Changes in program personnel, other in key personnel, require only notification to OJP and submission of resumes, unless otherwise designated in the yard document. Data rights The recipient acknowledges that OJP reserves a royalty -free, non-exclusive, and irrevocable license to reproduce, publish, or otherwise use, and authorize others to use (in whole or in part, including in connection with derivative works), for Federal purposes: (1) any work subject to copyright developed under an award or subaward (at any tier); and (2) any rights of copyright to which a recipient or subrecipient (at any tier) purchases ownership with Federal support. The recipient acknowledges that OJP has the right to (1) obtain, reproduce, publish, or otherwise use the data first produced under any such award or subaward; and (2) authorize others to receive, reproduce, publish, or otherwise use such data for Federal purposes. "Data" includes data as defined in Federal Acquisition Regulation (FAR) provision 52.227-14 (Rights in Data - General). It is the responsibility of the recipient (and of each subrecipient (at any tier), if applicable) to ensure that the provisions of this condition are included in any subaward (at any tier) under this award. The recipient has the responsibility to obtain from subrecipients, contractors, and subcontractors (if any) all rights and data necessary to fulfill the recipient's obligations to the Government under this award. If a proposed subrecipient, contractor, or subcontractor refuses to accept terms affording the Government such rights, the recipient shall promptly bring such refusal to the attention of the OJP program manager for the award and not proceed with the agreement in question without further authorization from the OJP program office. Non-profit organization recipient - Disclosure of process for determining compensation For any year during the period of performance for this award as to which the recipient non-profit organization believes (or asserts) that it has satisfied the requirements of 26 C.F.R. 53.4958-6 (which relates to establishing or invoking a rebuttable presumption of reasonableness of compensation of certain individuals and entities), the recipient must make a prompt written disclosure to OJP that satisfies the requirements of this award condition. (Under certain circumstances, a non-profit organization that provides unreasonably -high compensation to certain persons may subject both the organization's managers and those who receive the compensation to additional federal taxes. A rebuttable presumption of the reasonableness of a non-profit organization's compensation arrangements, however, may be available if the non-profit organization satisfied certain rules set out in Internal Revenue Service regulations with regard to its compensation decisions.) Each disclosure required by this award condition must describe in pertinent detail the process used by the recipient non-profit organization to determine the compensation of its officers, directors, trustees, and key employees (together, "covered persons"). At a minimum, the disclosure must describe in pertinent detail -- (1) the composition of the body that reviews and approves compensation arrangements for covered persons; (2) the methods and practices used by the recipient organization to ensure that no individual with a conflict of interest participates as a member of the body that reviews and approves a compensation arrangement for a covered person; (3) the appropriate data as to comparability of compensation that is obtained in advance and relied upon by the body Page: 18 of 22 City Council 24 — 36 8/20/2024 that reviews and approves compensation arrangements for covered persons; (4) the written or electronic records that the recipient maintains as concurrent documentation of the decisions with respect to compensation of covered persons made by the body that reviews and approves such compensation arrangements, including records of deliberations and of the basis for decisions. For purposes of this condition, the following terms and phrases have the meanings set out by the Internal Revenue Service for use in connection with 26 C.F.R. 53.4958-6: officers, directors, trustees, key employees, compensation, conflict of interest, appropriate data as to comparability, adequate documentation, concurrent documentation. This condition implements a law that affects the program under which this OJP award is made. In accepting this award, the recipient acknowledges that, following receipt of an appropriate request, OJP may be authorized or required by law to make information submitted pursuant to this condition available for public inspection. 47 Representation and agreement regarding funds in offshore accounts In accepting this award, the recipient nonprofit organization -- (1) represents to the Department of Justice that it does not hold money in offshore accounts for the purpose of avoiding paying the tax described in 26 U.S.C. 511(a), and agrees that it will not hold money in any such accounts for such a purpose during the period of performance of this award; and (2) agrees that, if, during the period of performance of this award, the recipient learns that it does hold money in offshore accounts for such a purpose, it will immediately stop any further obligations of award funds, it will provide prompt written notification to OJP, and will resume (or permit resumption of) such obligations only if expressly authorized to do so by OJP. Recipient certifies that it does not promote, support, or advocate the legalization or practice of prostitution, nor will it use grant funds or program match funds to promote, support, or advocate the legalization or practice of prostitution. •. The value or amount of any "non-federal share," "match," or cost -sharing contribution incorporated into the OJP OCFO-approved budget for this award is part of the "project cost" for purposes of the Part 200 Uniform Requirements, and is subject to audit. In general, the rules and restrictions that apply to award funds from federal sources also apply to funds in the OJP-approved budget that are provided as "match" or through "cost sharing." 50 The recipient agrees that its anti -trafficking program policies, procedures, and rules enhance access to services and promote survivor autonomy, consistent with the principles set out in the "Enhancing Access to Service and Promoting Survivor Autonomy' heading of the applicable solicitation; and that they conform with the requirements outlined in the solicitation, particularly those in the "Mandatory Program Requirements" heading. See also "What expectations does OVC have for the programmatic policies and procedures of ant -trafficking award recipients?" (https://ovc.ojp.gov/ programlhuman-traffickinglovc-human-trafficking-program-faqs). thin 90 days of an OVC request, the recipient must submit for OVC review and approval, the policies, procedures, d rules governing the provision of program services supported with award funding or provided as a match. These cuments should include, but are not limited to, those used for program eligibility, intake, working with participants, d program protocols. The recipient further agrees to work with OVC-sponsored technical assistance provider(s) to velop or modify its policies, procedures, and rules where OVC determines that changes are needed to ensure they lect best practices for serving survivors of human trafficking. recipients may not use award funds to hold beds in a housing facility by charging their cost to the grant while pty; pay victims cash or non -cash stipends or incentives to encourage support service participation; engage in Page: 19 of 22 City Council 24 — 37 8/20/2024 primary prevention activities; or purchase or lease vehicles. 52 In accepting this award, the recipient agrees that grant funds cannot be used for Facial Recognition Technology (FRT) unless the recipient has policies and procedures in place to ensure that the FRT will be utilized in an appropriate and responsible manner that promotes public safety, and protects privacy, civil rights, and civil liberties and complies with all applicable provisions of the U.S. Constitution, including the Fourth Amendment's protection against unreasonable searches and seizures and the First Amendment's freedom of association and speech, as well as other laws and regulations. Recipients utilizing funds for FRT must make such policies and procedures available to DOJ upon request. 53 holding of funds: Research and evaluation independence and integrity The recipient may not obligate, expend, or draw down any award funds until: (1) it has provided to the grant manager for this OJP award information regarding research and evaluation independence and integrity in accordance with the detailed instructions in the program solicitation, (2) OJP has completed its review of the information provided and of any supplemental information it may request, (3) the recipient has made (or agreed to) any adjustments to the award (including as to amount) that OJP may require to prevent, eliminate, mitigate, or otherwise adequately address any actual or apparent personal or financial conflict of interest on the part of the investigators or other stafflconsultants engaged in the research/evaluation or organizational conflict of interest on the partof_the recipient_entity,_and _(4)____ Award Condition Modification (ACM) has been issued to remove this condition. If this award is a "discretionary" award (i.e., not an award under a statutory "formula" program), the recipient understands and agrees that if it does not provide an adequate research and evaluation independence and integrity submission (as determined by OJP), or if it fails to implement (as determined by OJP) any safeguard included in its submission or required by OJP, this award may be terminated (without right of appeal), upon thirty (30) calendar days advance written notice by OJP. M recipient's budget (and budget narrative) is pending clearance by OJP. Prior to budget clearance (and unless there is a more restrictive condition on this award, in which case the terms of that more restrictive condition apply): The recipient may not drawdown more than 10% of the award. Pre -clearance obligations, expenditures, and drawdowns may be disallowed if not in compliance with program requirements, The recipient should be judicious in using award funds prior to budget clearance. Generally, OJP expects that recipients (depending on the specific project scope) may need to advertise for award -funded positions, pay personnel and fringe benefits for positions budgeted under the award, plan for project activities, attend training and pay training - related travel needed to begin the project, and engage in other limited activities conducted by recipient staff (i.e., generally not requiring a subaward or procurement contract under an award). P will issue an Award Condition Modification upon budget clearance. 55 ie recipient may not obligate, expend, or draw down any award funds for indirect costs, unless and until either -- (1) e recipient submits to OJP a current, federally -approved indirect cost rate agreement, or (2) the recipient determines at it is eligible under the Part 200 Uniform Requirements to use the "de minimis" indirect cost rate described in 2 .F.R. 200.414(f), and advises OJP in writing of both its eligibility and its election. The financial review of the budget for this award is pending. if the OJP Office of the Chief Financial Officer (OCFO) determines as part of its financial review that the recipient already has submitted the documentation concerning indirect costs described above, this condition will be released through a Grant Award Condition Modification (ACM) upon completion of the OCFO final budget review. If the OJP OCFO instead determines as part of its financial review that the recipient has not yet submitted the required documentation concerning indirect costs, this condition will not be released until OJP (including its OCFO) receives and reviews a satisfactory submission. Page: 20 of 22 City Council 24 — 38 8/20/2024 j have read and understand the information presented in this section of the Federal Award Instrument. Acceptance claration and Certification to the U.S. Department of Justice as to Acceptance checking the declaration and certification box below, I -- Declare to the U.S. Department of Justice (DOJ), under penalty of perjury, that I have authority to make this aration and certification on behalf of the applicant. 1. Certify to DOJ, under penalty of perjury, on behalf of myself and the applicant, to the best of my knowledge and relief, that the following are true as of the date of this award acceptance: (1)1 have conducted or there was conducted including by applicant's legal counsel as appropriate and made available to me) a diligent review of all terms and :onditlons of, and all supporting materials submitted in connection with, this award, including any assurances and :ertifications_(Including-anything submitted -in -connection -therewith -by a -person on behalf of -the -applicant befora, after, it at the time of the application submission and any materials that accompany this acceptance and certification); and 2)1 have the legal authority to accept this award on behalf of the applicant. Accept this award on behalf of the applicant. D. Declare the following to DOJ, under penalty of perjury, on behalf of myself and the applicant: (1)1 understand that, in taking (or not taking) any action pursuant to this declaration and certification, DOJ will rely upon this declaration and certification as a material representation; and (2) 1 understand that any materially false, fictitious, or fraudulent information or statement in this declaration and certification (or concealment or omission of a material fact as to either) may be the subject of criminal prosecution (including under 18 U.S.C. §§ 1001 and/or 1621, and/or 34 U.S.C. §§ 10271-10273), and also may subject me and the applicant to civil penalties and administrative remedies under the federal False Claims Act (including under 31 U.S.C. §§ 3729-3730 and/or §§ 3801-3812) or otherwise. Agency Approval Titre of Approving Official Assistant Attorney General Authorized Representative Entity Acceptance Name of Approving Official Signed Date And Time Amy Solomon 9120/23 8:20 PM Title of Authorized Entity Official Chief of Police Signed Date And Time Page: 21 of 22 City Council 24 — 39 8/20/2024 FIRST AMENDMENT TO FY 2023 ENHANCED COLLABORATIVE MODEL TASK FORCE TO COMBAT HUMAN TRAFFICKING MEMORANDUM OF UNDERSTANDING THIS FIRST AMENDMENT to the above -referenced agreement is entered into on August 20, 2024, by and between the City of Anaheim, ("Anaheim"), a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California ("Anaheim"). 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 ("Santa Ana"). RECITALS A. On May 14, 2024, the parties entered into the FY 2023 Enhanced Collaborative Model Task Force To Combat Human Trafficking Memorandum Of Understanding, Santa Ana Agreement No. N-2024-160 ("Agreement"). The Agreement is still in effect and expires on September 30, 2026. B. The Anaheim Police Department applied for the FY 2023 Enhanced Collaborative Model Task Force to Combat Human Trafficking Grant. Anaheim was awarded $750,000, and the Santa Ana Police Department has been allocated a subaward in the amount of $75,000 as a sub -recipient under this grant. The grant is anticipated to continue to fund the OCHTTF from October 1, 2023 to September 30, 2026. C. The Memorandum of Understanding from the Anaheim Police Department inadvertently omitted the grant amount to be subawarded to the Santa Ana Police Department. The First Amendment specifies the amount of the subaward as $75,000 and also provides the federal grant requirements associated with this subaward. The parties would now like to amend the Agreement by incorporating Exhibit C, attached, Notification of Subrecipient Award, which specifies the amount of the subaward to the Santa Ana Police Department as $75,000 and provides the federal grant requirements associated with this subaward. The Parties therefore agree: The Agreement, is hereby amended to include the terms and conditions in Exhibit C, Notification of Subrecipient Award, reflecting the subaward amount of $75,000 and providing federal grant requirements 2. Except as modified by this First Amendment, all terms and conditions of the Agreement shall remain in full force and effect. Page 1 of 2 City Council 24 — 40 8/20/2024 IN WITNESS WHEREOF, the parties hereto have executed this Amendment to the Agreement on the date and year first written above. ATTEST JENNIFER L. HALL City Clerk APPROVED AS TO FORM SONIA R. CARVALHO City Attorney By: AMARA BOGOSIAN Senior Assistant City Attorney ATTEST THERESA BASS, CMC City Clerk APPROVED AS TO FORM ROBERT FABELA City Attorney By: CITY OF SANTA ANA ALVARO NU&EZ Acting City Manager RECOMMENDED FOR APPROVAL ROBERT RODRIGUEZ Acting Chief of Police CITY OF ANAHEIM JAMES VANDERPOOL City Manager RECOMMENDED FOR APPROVAL RICK ARMENDARIZ Chief of Police Page 2 of 2 City Council 24 — 41 8/20/2024 EXHIBIT C ,oil�a�H�� Aatr�E ANAHEIM POLICE DEPARTMENT TO MAINTAIN A SAFE COMMUNITY TO LIVE, WORK, AND PLAY July 11, 2024 Robert Rodriguez, Chief of Police Santa Ana Police Department Special Investigation Division 66 Civic Center Plaza Santa Ana, CA 92701 SUBJECT: Notification of Sub -Recipient Award Fiscal Year (FY) 2023 Enhanced Collaborative Model Task Force to Combat Human Trafficking (HT) Program Grant #15POVC-23-GK-02742-HT; CFDA# 16.320 Sub -Recipient Performance Period: October 1, 2023 to September 30, 2026 Requesting Jurisdiction: Santa Ana Police Department UEI No. KZE9G2M4GRX9 Projects: Orange County Human Trafficking Task Force Partnership Total Award: $75,000 Dear Chief Rodriguez: This letter serves to inform you that the Santa Ana police Department has been approved for grant funding under the FY2023 Enhanced Collaborative Model Task Force to Combat Human Trafficking (HT) Grant Program in an amount not to exceed $75,000. Once the Memorandum of Understanding (MOU) between the Anaheim Police Department and the Santa Ana Police Department has been signed, received, and an executed copy of the agreement is on file, reimbursement may be requested for eligible expenditures. It is critical that all Santa Ana Police Department employees that are involved in the FY2023 Enhanced Collaborative Model Task Force to Combat Human Trafficking (HT) Grant Program become familiar with the Memorandum of Understanding between the City of Anaheim and the Santa Ana Police Department regarding the FY2023 Enhanced Collaborative Model Task Force to Combat Human Trafficking (HT) Grant Program. This subaward is subject to the requirements in 2 CFR, Part 200. Sub -Recipients must also comply with the following conditions and limitations set by the granting agency: City Council 24 — 42 8/20/2024 425 S. HARBOR BLVD., ANAHEIM, CA 92805 I T: (714) 765-1900 I F: (714) 765-1690 I W WWANAHEIMPD.ORG • Compliance with 41 USC 4712 that prohibit, under specified circumstances, discrimination against an employee as reprisal for the employee's disclosure of information related to gross mismanagement of a federal grant, a gross waste of federal funds, an abuse of authority relating to a federal grant, a substantial and specific danger to public health or safety, or a violation of law, rule, or regulation related to a federal grant. • 2 CFR 200.334 Record retention and access: records pertinent to the award that the recipient (and any subrecipient) must retain — typically for a period of 3 years from the date of submission of the final expenditure report, unless a different retention period applies —and to which the recipient must provide access, include performance measurement information, in addition to the financial records, supporting documents, statistical records, and other pertinent records. • 28 CFR Part 38 Compliance with DOJ regulations pertaining to civil rights and nondiscrimination • 28 CFR Part 42 must comply with all applicable requirements of 28 CFR Part 42, specifically including any applicable requirements in Subpart E that relate to an equal employment opportunity program. • No sub -recipient under this award that receives a subcontract with any funds under this award, may require any employee to sign an internal confidentiality agreement or statement that prohibits or otherwise restricts, or purports to prohibit or restrict, the reporting of waste, fraud, or abuse to an investigative or law enforcement representative of a federal department or agency authorized to receive such information. • Requirement to report actual or imminent breach of personally identifiable information (PII): must have written procedures in place to respond in the event of an actual or imminent "breach" • Sub -recipient must comply with all applicable requirements pertaining to prohibited conduct related to the trafficking of persons, whether on the part of the recipients, subrecipients, or individuals defined as "employees" of the recipient or of any subrecipient • Report potential fraud, waste, and abuse, and similar misconduct • 18 USC 1913 Restrictions on Lobbying • Must have written policies and procedures in place that address how it will maintain the confidentiality of victims' names, addresses, telephone numbers, or any other identifying information, including how this information will be protected when there is information sharing between partners. • Copyright; Data rights: acknowledges that OJP has the right to (1) obtain, reproduce, publish, or otherwise use the data first produced under any such award or subaward; and (2) authorize others to receive, reproduce, publish, or otherwise use such data for Federal purposes. Reimbursement for overtime will be provided for personnel who assist the task force with their operations. Overtime reimbursement will not include any benefits or other compensation that such personnel may be entitled to as a consequence of enhanced services rendered pursuant to this MOU. The funding allocation below is an estimated value based on task force participation from investigators in your agency that have been approved to participate in task force operations. It is being provided for your City's respective internal budgetary needs only and does not reflect a direct City Council 24 — 43 8/20/2024 allocation as in the past. Additional funds may be awarded at a later time depending on your agency's participation and available dollars. Orange County Human TraffickinE Task Force — Investigator Participation Police Department: $75,000 Please not that all activities funded with this award must be completed within the Sub -Recipient performance period with the last allowable date of operation being July 31, 2026 in order to allow invoices to be processed and paid before the grant end date of September 30, 2026. Sub -Recipients are encouraged to seek reimbursement through the grant cycle, as funds are expended. Final Overtime Reimbursement Requests are due no later than August 31, 2026. This grant is subject to all provisions of 2 CFR Part 200 Subpart F — Audit Requirements. A dated signature from you is required below. Please sign and return the original to the Anaheim Police Department and retain a copy for your files. If you have any questions regarding this letter, please feel free to contact Grant Coordinator Kathy Harrell at (714) 765-1586 or il@anaheim.net. Sincerely, Ben Starke Lieutenant Name of Signatory: Santa Ana Police Department Date City Council 24 — 44 8/20/2024 Public Works Agency www.santa-ana.org/public-works Item # 25 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report August 20, 2024 TOPIC: Grand Avenue Rehabilitation from McFadden Avenue to First Street AGENDA TITLE Award a Construction Contract to All American Asphalt for the Grand Avenue Rehabilitation from McFadden Avenue to First Street Project (Project No. 23-6702) (Non -General Fund) RECOMMENDED ACTION Approve an appropriation adjustment recognizing $972,882 in Coronavirus Response and Relief Supplemental Appropriations Act (CRRSAA) grant from Select Street Construction, State Grant -Direct revenue account and appropriate the same amount into the Select Street Construction, Improvements Other Than Buildings, expenditure account. (Requires five affirmative votes.) 2. Approve an appropriation adjustment recognizing $676,000 of prior -year fund balance from Special Gas Tax, Prior Year Carry Forward and Select Street Construction, Transfer from Fund 029 revenue accounts and appropriate the same amount into the Gas Tax Interfund Transfer, Transfer to Fund 059 and HUTA 2103 Gas Tax, Improvements Other Than Buildings, expenditure account. (Requires five affirmative votes.) 3. Approve an appropriation adjustment to transfer $30,907 from Roadway Maintenance, Improvements Other Than Buildings, Transfer from Fund 029 revenue accounts and appropriate the same amount into the Gas Tax Interfund Transfer, Transfer to Fund 059 and Select Street Construction, Improvements Other Than Buildings, Improvements Other Than Buildings, Improvements Other Than Buildings, expenditure account. (Requires five affirmative votes.) 4. Authorize a budget reallocation of $44,590 in unspent funds from the Santa Clara Avenue Bike Lane from Lincoln Avenue to Tustin Avenue Project (No. 23-6997) and $30,907 from Omnibus Concrete Program Support Project (No. 22-6970) to construction funds for the Grand Avenue Rehabilitation from McFadden Avenue to First Street Project (No. 23-6702) 5. Approve an amendment to the Fiscal Year 2024-25 Capital Improvement Program (CIP) to include $972,882 from Select Street Construction funds, $676,000 from City Council 25 — 1 8/20/2024 Grand Avenue Rehabilitation from August 20, 2024 Page 2 McFadden Avenue to First Street HUTA 2103 Gas Tax funds and $75 497 in unspent funds from projects 22-6970 and 23-6997, for the Grand Avenue Rehabilitation from McFadden Avenue to First Street Project. 6. Approve the Project Cost analysis for a total estimated construction delivery cost of $2,242,499, which includes $1,793,999, for the construction contract; $269,100 for contract administration, inspection, and testing; and a $179,400 project contingency for unanticipated or unforeseen work. 7. Award a construction contract to All American Asphalt, the lowest responsible bidder, in accordance with the base bid in the amount of $1,793,999, subject to change orders in accordance with the Greenbook: Standard Specifications for Public Works Construction, for term beginning August 20, 2024, and ending upon project completion, and authorize the City Manager to execute the contract. 8. Determine that, pursuant to the California Environmental Quality Act, the recommended actions are exempt from further review. Categorical Exemption Environmental Review No. ER-2023-29 was filed for Project 23-6702. GOVERNMENT CODE 484308 APPLIES: No DISCUSSION The Public Works Agency's Engineering Services Division (PWA) is responsible for managing the City's roads and transportation network. The section of Grand Avenue between McFadden Avenue and First Street (Exhibit 1) was identified in needing rehabilitation and was programmed into the Capital Improvement Project (CIP). In addition to Senate Bill 1 Funding, the City received funding from the Coronavirus Response and Relief Supplemental Appropriations Act (CRRSAA) for the Grand Avenue Rehabilitation from McFadden Avenue to First Street. The scope of work includes restoring asphalt pavement, curb and gutter, driveway approaches, utility adjustments, traffic loops, and signing, and striping. Once completed, these improvements will improve the overall pavement condition, enhance the visual appearance of the street, upgrade ride quality, drainage, and support compliance with Americans with Disabilities Act (ADA) standards. Public Outreach and Contractor Participation To provide an opportunity for local vendors to submit bids, the City notified a total of 58 regional vendors via PlanetBids, many of which are Santa Ana -based. A total of six bids were received. No bids were received from any Santa Ana contractors. As legally required, a Notice Inviting Bids was advertised in the Orange County Register newspaper on June 17 and June 21, 2024. The project was also advertised in PlanetBids from June 13 through July 3, 2024. Bids were received electronically via PlanetBids on July 3, 2024. City Council 25 — 2 8/20/2024 Grand Avenue Rehabilitation from McFadden Avenue to First Street August 20, 2024 Page 3 Bid Results Summary Rank Bidder's Name Location Base Bid 1 All American Asphalt Corona, CA $1,793,999 2 Hardy & Harper, Inc. Lake Forest, CA $1,950,000 3 R.J. Noble Company Corona, CA $2,067,735 4 DOJA, Inc. Ontario, CA $2,160,000 5 Excel Paving Co. Long Beach, CA $2,184,140 6 Onyx Paving Company, Inc. Anaheim, CA $2,488,000 A total of six bids were received and all were deemed responsive. All American Asphalt submitted the lowest responsive base bid in the amount of $1,793,999 (Exhibit 2). As specified in the bid documents, the lowest bid shall be determined on the basis of the Base Bid. Based on the bid analysis and a contractor's reference check, staff recommends awarding the construction contract to All American Asphalt for the base bid (Exhibit 3). All American Asphalt has previously performed work as a prime contractor in the City of Santa Ana within the last five years, most recently completing the Grand Avenue Rehabilitation from Warner to Edinger Avenue. A reference check was made with staff and good reviews were received regarding the quality of work performed by the contractor on previous projects. Project Delivery To deliver a complete project, in addition to the construction contract, the estimated total project delivery cost includes construction administration, inspection, and testing, along with an allowance for contingencies to account for unexpected or unforeseen conditions. Construction administration and inspection includes construction management and implementation of the labor requirements. As indicated in the Cost Analysis (Exhibit 4) and as summarized in the table below, the estimated total construction delivery cost of the project is $2,242,499. Project Item Total Construction Contract Bid Amount $1,793,999 Construction Administration, Inspection, Testing $269,100 Project Contingencies $179,400 TOTAL ESTIMATED CONSTRUCTION DELIVERY COST $2,242,499 City Council 25 — 3 8/20/2024 Grand Avenue Rehabilitation from McFadden Avenue to First Street August 20, 2024 Page 4 ENVIRONMENTAL IMPACT Pursuant to the California Environmental Quality Act (CEQA), the recommended actions are exempt from further review pursuant to Section 15301(c) of the CEQA Guidelines for projects consisting of existing highways and streets, sidewalks, gutters, bicycle and pedestrian trails, and similar facilities. The proposed project continues to meet these parameters of the CEQA Guidelines, and Categorical Exemption Environmental Review No. ER-2023-29 was filed for Project 23-6702 (Exhibit 5). FISCAL IMPACT As indicated in the Cost Analysis, the estimated total construction delivery cost of the project (23-6702) is $2,242,499, which includes construction, contract administration, inspection, testing, and authorized contingencies of $448,500. Funds were available the HUTA 2103 Gas Tax, Improvements Other Than Buildings account (05917663- 66220) and Measure M2 Local Fairshare St, Improvements Other Than Buildings account (03217662-66220) in FY 2023-24. Therefore, a proposed carry-over of unspent funds will be presented to the City Council in September for approval of carryovers to FY 2024-25. Any remaining balances not expended at the end of the fiscal year will be presented to the City Council for approval of carryovers to FY 2025-26. Approval of the requested Appropriation Adjustments will recognize $676,000 of prior - year fund balance from the Special Gas Tax Revenue, Prior Year Carry Forward revenue account (No. 02917002-50001) and $972,882 in Coronavirus Response and Relief Supplemental Appropriations Act (CRRSAA) grant from Select Street Construction, State Grant -Direct revenue account (No. 05917002-52025), and appropriate it to the Select Street Construction, Improvements Other Than Buildings expenditure account (No. 05917660-66220) and HUTA 2103 Gas Tax, Improvements Other Than Buildings expenditure account (No. 05917663-66220). The spendable portion of the Gas Tax fund balance is estimated to be $676,006 at June 30, 2025, which is sufficient to allow for the recommended appropriation of $676,000. An appropriation adjustment to transfer $30,907 from Roadway Maintenance, Improvements Other Than Buildings, Transfer from Fund 029 revenue accounts and appropriate the same amount into the Gas Tax Interfund Transfer, Transfer to Fund 059 and Select Street Construction, Improvements Other Than Buildings, Improvements Other Than Buildings, Improvements Other Than Buildings, expenditure account, is required for the reallocation of funds from project 22-6970. Approval of the requests to reallocate funds will provide a total of $75,497 in unspent funds from projects 22-6970 and 23-6997. The following table summarizes the funds budgeted for expenditure to deliver the construction of this project: City Council 25 — 4 8/20/2024 Grand Avenue Rehabilitation from McFadden Avenue to First Street August 20, 2024 Page 5 Fiscal Accounting Unit Fund Accounting Unit, Year - Account No. Description Account No. Amount project No. Description Existing Budget 05917663-66220 Select Street HUTA 2103 Gas Tax, 2024-25 (23-6702) Construction Improvements Other $518,120 Than Buildings Budget Reallocation 03217662-66220 Measure M- Measure M2 Local 2024-25 (From 23-6997 Street Fairshare St, $44,590 to 23-6702) Construction Improvements Other Than Buildings 05917663-66220 Select Street HUTA 2103 Gas Tax, 2024-25 (From 22-6970 Construction Improvements Other $30,907 to 23-6720) Than Buildings Additional Budget 05917663-66220 Select Street HUTA 2103 Gas Tax, 2024-25 (23-6702) Construction Improvements Other $676,000 Than Buildings Select Street 2024-25 05917660-66220 Select Street Construction, $972 882 (23-6702) Construction Improvements Other Than Buildings Total $2,242,499 EXHIBIT(S) 1. Location Map 2. Bid Proposal 3. Construction Contract 4. Cost Analysis 5. Categorical Exemption Environmental Review No. ER-2023-29 6. FY 2023-24 Capital Improvement Program Sheet Submitted By: Nabil Saba, P.E., Executive Director — Public Works Agency Approved By: Alvaro Nunez, City Manager City Council 25 — 5 8/20/2024 EXHIBIT 1 DA 01 � DA 02 DA 03 DA 04 ' rnn�-J a J a a a a � �J GRAND AVE ST DA 05 n rT--- LOCATION MAP (NOT TO SCALE) SANTA ANA Pl PUBLIC WORKS AGENCY City Council Project No. 23-6702: Grand Avenue Roadway Rehabilitation from McFadden Avenue to First Street Location Map 25-6 8/20/2024 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 23-6702 GRAND AVENUE ROADWAY REHABILITATION FROM MCFADDEN AVENUE TO FIRST STREET BID PROPOSAL TO: CITY COUNCIL OF THE CITY OF SANTA ANA FROM: All American Asphalt REQUIREMENT: The undersigned bidder declares that they have carefully examined the location of the proposed work, that they have examined the Contract Documents in its entirety and hereby proposes to furnish all material and do all the work required to complete the said work in accordance with said plans (if any) and the specifications for the unit price(s) or lump sum(s) set forth in the following schedule: Item Description Qty Unit Unit Price Amount 1 Unclassified Excavation* 1,060 CY $ $ 215.00 227,900.00 2 AC Pavement* 1,990 TN $ $ 150.00 298,500.00 3 Cold Mill (2-3/8") Expect Pavement 305,000 SF $ $ Fabric 2" Below Existing Surface 0.54 164,700.00 4 Asphalt Rubber and Aggregate Membrane 33,990 SY $ $ (ARAM) 7.00 237,930.00 5 Asphalt Rubber Hot Mix (ARHM) 3,900 TN $ $ 147.18 574,002.00 6 PCC Sidewalk (T=4") 100 SF $ $ 31.88 3,188.00 7 PCC Driveway Approach (T = 8") 600 SF $ $ 22.00 13,200.00 8 PCC Curb and Gutter (Type A-2-8) 500 LF $ $ 97.00 48,500.00 9 Cross -Gutter (Local Street) 1,400 SF $ $ 31.00 43,400.00 10 Furnish and Install Detectable Warning 1 EA $ $ Surface (Caltrans STD. A88A) 3,400.00 3,400.00 11 Adjust Sewer and Drainage Manhole to 15 EA $ $ Finished Grade 1,550.00 23,250.00 12 Furnish and Install New Water Valve 25 EA $ $ Frame and Cover to Finished Grade 1,250.00 31,250.00 13 Furnish and Install Traffic Loops Type F 9 EA $ $ 471.00 4,239.00 City Council 25 — 7 8/20/2024 P-1 of P-18 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 23-6702 GRAND AVENUE ROADWAY REHABILITATION FROM MCFADDEN AVENUE TO FIRST STREET Item Description Qty Unit Unit Price Amount 14 Furnish and Install Traffic Loops Type E 30 EA $ 448.00 $ 13,440.00 15 Project Advertisement Sign 2 EA $ 3,800.00 $ 7,600.00 16 Signing and Striping 1 LS $ 33,000.00 $ 33,000.00 17 Construction Permit 1 LS $8,500 $8,500 18 SCRRA Right -of -Entry Permit I LS $ 58,630.00 $ 58,630.00 TOTAL BASE BID $ 1,793,999.00 The lowest responsible bidder shall be selected based on the total base bid. The City reserves the right to award the Base Bid, and any, all, or none of the add -alternate bid items (if any). * The quantity for this bid item is shown for bid comparison only. This bid item shall not be subject to the "25%" limit as stated in Section 7-3.5 of the Standard Specifications. The actual amount for this item will be dictated by the actual quantity used, and the Agency reserves the right to increase or decrease the quantity of this item accordingly. j This bid item is considered a Specialty Item per Section 3-2 of the Standard Specifications. TIME FOR COMPLETION OF IMPROVEMENTS AND LIOUIDATED DAMAGES The undersigned bidder hereby proposes to complete the Work for the total base bid amount shown above, within number (50) working days after the commencement date stated in the Notice to Proceed. The liquidated damages amount, in lieu of the amount specified in Subsection 6-9 of the Standard Specifications, shall be $5,000 per calendar day. Name of Firm All American Asphalt Signature of BIDDER / Z_ �/ Title Edward J. Carlson, Vice President (If an individual, so state. If a firm or co -partnership, state the firm name and give the names of all individual co-partners composing the firm. If a corporation, state legal name of corporation, and names of President, Secretary, Treasurer and Manager, thereof.) City Council 25 — 8 8/20/2024 P-2 of P-18 CITY OF SANTA ANA CONSTRUCTION CONTRACT AGREEMENT PROJECT 23-6702 GRAND AVENUE ROADWAY REHABILITATION FROM MCFADDEN AVENUE TO FIRST STREET This CONSTRUCTION CONTRACT is made and entered into this 20d' day of August, 2024 by and between the City of Santa Ana, California, a charter city and municipal corporation organized and existing under the Constitution and laws ofthe State of California (hereinafter "CITY"), and All American Asphalt (hereinafter "CONTRACTOR"). WITNESSETH: The CITY and the CONTRACTOR, for the consideration hereinafter named, mutually agree as follows: 1. CONTRACTOR agrees to perform all the work and furnish all the materials at its own cost and expense necessary to construct and complete in a good and workmanlike manner and to the satisfaction of the City Engineer of the CITY, the Grand Avenue Roadway Rehabilitation from McFadden Avenue to First Street Project (hereinafter referred to as the "WORK OF IMPROVEMENT") identified in and in accordance with the Contract Documents prepared by the City's Public Works Agency and approved by the City Council. 2. The complete Construction Contract consists of the "Contract Documents" as defined by the Standard Specifications for Public Works Construction and which include the following: • Notice Inviting Bids • Information to Bidders • Bid Proposal • Bid Bond • Contract Form • Contract Bonds • General Provisions • Special Provisions • Technical Provisions and Project Plans • Community Workforce Agreement • Appendices In case of conflict between the Contract Documents, the precedence of documents shall be as established in the Standard Specifications for Public Works Construction. 3. CITY agrees to pay and CONTRACTOR agrees to accept in full payment to complete the WORK OF IMPROVEMENT the sum total amount not to exceed One Million Seven Hundred Ninety Three Thousand Nine Hundred Ninety Nine Dollars and No Cents ($1,793,999.00), as set forth and identified in the BID PROPOSAL, which is attached hereto and incorporated herein as Exhibit "A," and in accordance with Section 2-7.1 of the Greenbook: Standard Specifications for Public Works Construction. The BID PROPOSAL contains a schedule of unit price(s) or lump sum(s) based on approximate quantities only, and the City does not expressly or by implication agree that the actual amount of work will correspond therewith, but reserves the right to increase or decrease the amount of any I rev. 08/01 a4l Council 25 — 9 PW01 MN class or portion of the work or to omit portions of the work as may be deemed necessary or advisable. 4. CONTRACTOR agrees to complete the WORK OF IMPROVEMENT within the time specified in the Time for Completion of Improvements section of the BID PROPOSAL (Exhibit "A") including commencing construction within the timeframe therein specified after issuance of a Notice to Proceed. 5. The CONTRACTOR will pay, and will require all subcontractors to pay, all employees on the WORK OF IMPROVEMENT a salary or wage at least equal to the prevailing salary or wage established for such work as set forth in the wage determinations for this work in accordance with applicable State and Federal law. 6. If applicable, the CONTRACTOR shall adhere to the CITY'S Community Workforce Agreement (CWA), a pre -hire collective bargaining agreement, which establishes the labor relations policies and procedures for CONTRACTOR to follow in the crafts persons employed to complete the WORK OF IMPROVEMENT as more fully described in the CWA. The CWA may be found on the City's website at: http://www.santa-ana.org/pwa/documents/CWA.pdf 7. CONTRACTOR shall, after award of this Contract, furnish two bonds to be approved by the CITY, one in the amount of One Hundred Percent (100%) of the Contract price, to guarantee the faithful performance of the work (Performance Bond), and one in the amount of One Hundred Percent (1000/0) of the Contract price to guarantee payment of all claims for labor and materials furnished (Payment Bond). This Contract shall not become effective until such bonds are supplied to and approved by the CITY. 8. CONTRACTOR shall, prior to the release of the performance and payment bonds or the retention payment, furnish a warranty performance and payment bond (Warranty Bond). Said Warranty Bond shall also be required as a condition of project acceptance. For projects up to Five Hundred Thousand Dollars ($500,000), the Warranty Bond amount shall be the greater of Ten Thousand Dollars ($10,000) or Twenty Percent (20%) of the final contract price. For projects above Five Hundred Thousand Dollars ($500,000), the Warranty Bond amount shall be the greater of One Hundred Thousand Dollars ($100,000) or Ten Percent (10%) of the final contract price. 9. CONTRACTOR shall, after award of this Contract, furnish Certificates of Liability Insurance and - Worker's Compensation Insurance as outlined in the General Provisions, to be approved by the CITY. 10. INDEMNIFICATION. To the fullest extent allowed by law, CONTRACTOR and its Subcontractors hereby agree to defend, indemnify, and hold harmless CITY, its City Council, boards and commissions, officers, agents, employees, representatives and volunteers (hereinafter collectively referred to as "Indemnitees"), through legal counsel acceptable to CITY, from and against any liability, claims, actions, costs, damages or losses, including reasonable costs and attorney's fees, for injury, including death to any person or damage to any property, arising directly or indirectly from, or in any manner relating to, any of the following: (i) Performance or nonperformance of the Work of Improvement by CONTRACTOR or its Subcontractors of any lower tier; City Council 25 — 10 PW(P204 (ii) Performance or nonperformance by CONTRACTOR or its Subcontractors of any lower tier, of any of the obligations under the Contract Documents; (iii) The construction activities of CONTRACTOR or its Subcontractors of any lower tier, either on the project site or on other properties; (iv) The payment or nonpayment by CONTRACTOR of any of its Subcontractors of any lower tier, for Work of Improvement performed on or off the project site; and (v) Any personal injury, property damage or economic loss to third persons related to and arising from the performance or nonperformance by CONTRACTOR or its Subcontractors of any lower tier, of the Work of Improvement. (vi) The indemnity obligations of Subcontractors provided by this Section shall be included in all subcontract documents issued by CONTRACTOR. Nothing in the Contract Documents shall be construed to give rise to any implied right of indemnity in favor of CONTRACTOR against CITY or any other Indemnitee. ATTEST: CITY OF SANTA ANA JENNIFER L. HALL City Clerk APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney B VI Y• JONE MONTOYA Assistant City Attorney RECOMMENDED FOR APPROVAL: Digitally signed by Nabil Saba N a b 1 I C ✓ a b a Date: 2024.08.05 14:57:16 -07'00' NABIL SABA, PE Executive Director Public Works Agency ALVARO N"EZ Acting City Manager CONTRACTOR: All American Asphalt ��-- NAME. Edward J. Carlson TITLE:Vice President City Council 25 —11 PMG3/2624 CALIFORNIA ALL-PURPOSE ACKNOWLEDGEMENT CIVIL CODE § 1189 A notary public or other officer completing this certificate verifies only the identity of the individual who signed the document to which this certificate is attached and not the tnithfitlness. accuracv. or validity of that document. State of California County of Riverside On 07/31/2024 before me, Kimberly Deiro, Notary Public Date Here Insert name and Title of the Officer personally appeared Edward J. Carlson NameKof Sign who proved to me on the basis of satisfactory evidence to be the person(s) whose name(&) is/are subscribed to the within instrument and acknowledged to me that he/64e4hey executed the same in his/#ef/##e# authorized capacity(ie&), and that by his/#e4theif SFp�oF ry KIMBERLY DEIRO signatures) on the instrument the person(s), or the entity upon behalf " F Notary Public - California n of which the persons) acted, executed the instrument. W a Riverside County r ° Commission # 2491436 FOp My Comm. Expires May 27, 2028 1 certify under PENALTY OF PERJURY under the laws of the State of California that the forgoing paragraph is true and correct. WITNESS my hand and official seal. Signature Place Notary Seal Above Sig re of Nobfry Public OPTIONAL Though the information below is not required by law, it may prove valuable to person relying on the document and could prevent fraudulent removal and reattachment of this form to another document. Description of Attached Document Title or Type of Document Construction Contract - City of Santa Ana Document Date: 07/31/2024 Signer(&) Other Than Named Above: Capacity(") Claimed by Signer(s) N/A Number of Pages: 5 Signer's Name: Edward J. Carlson Signer's Name: ❑ Individual ❑ Individual X Corporate Officer — Title(&): Vice President ❑ Partner ❑ o Limited ❑ General ❑ Attorney in Fact ❑ Trustee ❑ Other: Signer is Representing: N/A ❑ Corporate Officer — Title(s): ❑ Partner ❑ ❑ Limited ❑ General ❑ Attorney in Fact ❑ Trustee ❑ Other: N/A Signer is Representing: N/A N/A City Council 25 — 12 8/20/2024 EXHIBIT A CITY OF SANTA ANA PROPOSAL PROJECT NO.: 23-6702 GRAND AVENUE ROADWAY REHABILITATION FROM MCFADDEN AVENUE TO FIRST STREET BID PROPOSAL TO: CITY COUNCIL OF THE CITY OF SANTA ANA FROM: All American Asphalt REQUIREMENT: The undersigned bidder declares that they have carefully examined the location of the proposed work, that they have examined the Conixact Documents in its entirety and hereby proposes to furnish all material and do all the work required to complete the said work in accordance with said plans (if any) and the specifications for the unit price(s) or lump sum(s) set forth in the following schedule: Item Description Qty Unit Unit Price Amount 1 Unclassified Excavation* 1,060 CY $ $ 215.00 227,900.00 2 AC Pavement* 1,990 TN $ $ 150.00 298,500.00 3 Cold Mill (2-3/8") Expect Pavement 305,000 SF $ $ Fabric 2" Below Existing Surface 0.54 164, 700.00 4 Asphalt Rubber and Aggregate Membrane 33,990 SY $ $ 7.00 237, 930.00 5 Asphalt Rubber Hot Mix (ARHM) 3,900 TN $ $ 147.18 574,002.00 6 PCC Sidewalk (T=4") 100 SF $ $ 31.88 3,188.00 7 PCC Driveway Approach (T = 811) 600 SF $ $ 22.00 13,200.00 8 PCC Curb and Gutter (Type A 2-8) 500 LF $ $ 97.00 48,500.00 9 Cross -Gutter (Local Street) 1,400 SF $ $ 31.00 43,400.00 10 Furnish and Install Detectable Warning 1 EA $ $ Surface (Caltrans STD. A88A) 3,400.00 3,400.00 11 Adjust Sewer and Drainage Manhole to 15 EA $ $ Finished Grade 1,550.00 23,250.00 12 Furnish and Install New Water Valve 25 EA $ $ Frame and Cover to Finished Grade 1,250.00 31,250.00 13 Furnish and Install Traffic Loops Type F 9 EA $ $ 471.00 4,239.00 City Council of P-1825 — 13 8/20/2024 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 23-6702 GRAND AVENUE ROADWAY REHABILITATION FROM MCFADDEN AVENUE TO FIRST STREET Item Description Qty Unit Unit Price Amount 14 Furnish and Install Traffic Loops Type E 30 EA $ 448.00 $ 13,440.00 15 Project Advertisement Sign 2 EA $ 3,800.00 $7,600.00 46 Signing and Striping I LS $ 33,000.00 $ 33,000.00 17 Construction Permit 1 LS $8,500 $8,500 18 SCRRA Right -of -Entry Permit I LS $ 58,630.00 $ 58,630.00 TOTAL BASE BID $ 1, 793, 999.00 The lowest responsible bidder shall be selected based on the total base bid. The City reserves the right to award the Base Bid, and any, all, or none of the add -alternate bid items (if any). * The quantity for this bid item is shown for bid comparison only. This bid item shall not be subject to the "25%" limit as stated in Section 7-3.5 of the Standard Specifications. The actual amount for this item will be dictated by the actual quantity used, and the Agency reserves the right to increase or decrease the quantity of this item accordingly. t This bid item is considered a Specialty Item per Section 3-2 of the Standard Specifications. TIME FOR COMPLETION OF IMPROVEMENTS AND LIQUIDATED DAMAGES The undersigned bidder hereby proposes to complete the Work for the total base bid amount shown above, within number (50) working days after the commencement date stated in the Notice to Proceed. The liquidated damages amount, in lieu of the amount specified in Subsection 6-9 of the Standard Specifications, shall be $5,000 per calendar day. Name of Firm All American Signature of BIDDER Title Edward J. Carlson, Vice President (If an individual, so state. If a firm or co -partnership, state the firm name and give the names of all individual co-partners composing the firm. If a corporation, state legal name of corporation, and names of President, Secretary, Treasurer and Manager, thereof.) City Council P-2 ofP-1k — 14 8/20/2024 EXHIBIT 4 COST ANALYSIS CONSTRUCTION OF PROJECT NO. 23-6702: Grand Avenue Roadway Rehabilitation from McFadden Avenue to First Street Construction Contract $ 1,793,999.00 Contract Administration, Inspection and Testing $ 269,100.00 Contingencies $ 179,400.00 TOTAL ESTIMATED CONSTRUCTION COSTS $ 2,242,499.00 City Council 25 — 15 8/20/2024 Recorded in Official Records, Orange County Hugh Nguyen, Clerk -Recorder FILED NO FEE *$ R 0 0 1 4 2 3 8 8 1 2$ MAR 0 9 2023 202385000181 9:36 am 03/09/23 256 Vitlndx Z01 ORANGE COUNTY CLERK -RECORDER DEPARTMENT 0.00 50.00 0.00 0.00 0.00 0.00 0.00 0.00 EXHIBIT 5 BY: DEPUTY MAYOR CITY MANAGER Valerie Amezcua"eK" Kristine Ridge MAYOR PRO TEM "� CITY ATTORNEY Jessie Lopez Sonia R. Carvalho COUNCILMEMBERS ° ` ._� CLERK OF THE COUNCIL Phil Bacerra Jennifer L. Hall Johnathan Ryan Hernandez David Penaloza Thai Viet Phan Benjamin Vazquez PUBLIC WORKS AGENCY 20 Civic Center Plaza (M-36) P.O. BOX 1988 . Santa Ana, California 92702 (714) 647-5690 - Fax (714) 647-5823 www.santa-ana.org NOTICE OF EXEMPTION From the Requirements of the California Environmental Quality Act (CEQA) Fee Exemption per California Government Code Section 6103 To: COUNTY CLERK From: City of Santa Ana County of Orange Public Works Agency P.O. Box 238 20 Civic Center Plaza (M-36) Q Santa Ana, CA 92702 Santa Ana, CA 92702 Project Title: Grand Avenue Rehabilitation from 1st Street to McFadden Avenue Project Number(s): 23--6702 M Project Location: Grand Avenue - 1st Street to McFadden Avenue Q City: Santa Ana County: Orange ER Number: ER-2023-29 Date of Approval: 06/21/2022 ,"``... Project Description: The project will rehabilitate and reconstruct the existing asphalt pavement, and replace damaged curbs, gutters, curb ramps, driveway approaches, catch basins, and concrete bus pads. Applicant Name: City of Santa Ana, Public Works Agency Applicant Address: 20 Civic Center Plaza M-36 Santa Ana, CA 92702 M Name of Public Agency Approving Project City Council POSTE Name of Agency Carrying Out Project: Public Works Agency ( Exempt Status: ❑ Ministerial (Sec. 15268) MAR 0 9 2023 (� ❑ Declared Emergency (Sec. 15269 (a)) ❑ Emergency Project (Sec. 15269 (b through e)) ORANGE COUNTY CLERK -RECORDER DEPARTMENT ❑ General Rule (Sec. 15061(b)(3)/(5)) BY: _DEPUTY ❑ Statutory Exemption: 0 Categorical Exemption: 15301(c) Reason(s) Why Project is Exempt From CEQA: 15301(c) consists of existing highways and streets, sidewalks, gutters, bicycle and pedestrian trails, and similar facilities. City Contact: Anderson Chrysostomo Title: Associate Engineer Telephone: (714) 647-5838 Signature: G Date: _03 0!!4'2v'z3 SANTA ANA CITY COUNCIL Valerie Amezcua Jessie Lopez Thai Viet Phan Benjamin Vazquez Phil Bacerra Johnathan Ryan Hernandez David Penaloza Mayor Mayor Pro Tem, Ward3 Ward 1 Ward 2 Ward 4 Ward 5 Ward 6 y Council 2b — EXHIBIT 6 PROJECT TITLE: Grand Ave Roadway Rehab: McFadden Ave to 1st St PROJECT CATEGORY: Street Improvements Arterial Street Rehabilitation LOCATION MAP A N CITY OF SANTA ANA FY 24/25CIP CAPITAL IMPROVEMENT PROJECT WORKSHEET PROJECT DESCRIPTION: Reconstruction/resurfacing of existing pavement and replacement/installation of missing or damaged, curbs, gutters, sidewalks, driveway approaches, and wheelchair ramps within this segment of roadway. PROJECT NEED: The City's Pavement Management Program (PMP) has been developed to prioritize and recommend the most cost-effective roadway Irepairs, and maximize the return from available funding for street pavement. This segment of Grand Avenue pavement rehabilitation is identified as a high priority in the PMP. PROJECT COSTS FY 24/25 FY 25/26 FY 26/27 FY 27/28 FY 28/29 FY 29/30 FY 30/31 Construction 1,724,379 - - - - - - Engineering 518,120 TOTAL 2,242,499 - - - - - - SOURCE OF FUNDS FY 24/25 FY 25/26 FY 26/27 FY 27/28 FY 28/29 FY 29/30 FY 30/31 CMAQ 972,882 - - - - - - GAS TAX 1,269,617 TOTAL 2,242,499 - - - - - - AGENCY: DIVISION: CONTACT: DATE: Public Works C/P Engineering Jason Gabriel, Principal Civil Engineer 06-Aug-2024 City Council 25 — 17 8/20/2024 Public Works Agency www.santa-ana.org/public-works Item # 26 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report August 20, 2024 TOPIC: Outdoor Library at Jerome Park AGENDA TITLE Construction Contract with Legion Contractors, Inc. for the Outdoor Library at Jerome Park Project (Project No. 22-1381 & 25-7523) (General Fund and Non -General Fund) (Revive Santa Ana) RECOMMENDED ACTION Approve an amendment to the Fiscal Year 2024-25 Capital Improvement Program to include $3,270,040 of various funding sources listed below for the Outdoor Library at Jerome Park. 2. Approve the Project Cost Analysis for a total estimated construction delivery cost of $3,720,040, which includes $3,336,400 for the construction contract, $50,000 for contract administration, inspection, and testing, and a $333,640 project contingency for unanticipated or unforeseen work. 3. Award a construction contract to Legion Contractors, Inc. the lowest responsible bidder, in accordance with the base bid and alternate bid in the amount of $3,336,400, subject to change orders in accordance with the Greenbook: Standard Specifications for Public Works Construction, for construction of the Outdoor Library at Jerome Park Project, for a term beginning August 20, 2024, and ending upon project completion, and authorize the City Manager to execute the contract. 4. Determine that, pursuant to the California Environmental Quality Act, the recommended actions are exempt from further review. Categorical Exemption Environmental Review No. ER-2024-34 was filed for Project 22-1381. GOVERNMENT CODE 484308 APPLIES: No DISCUSSION The Public Works Agency (PWA) maintains most City facilities, including the parks throughout the City of Santa Ana, and delivers a variety of capital improvement projects. The Outdoor Library at Jerome Park Project aims to activate and revitalize the existing City Council 26 — 1 8/20/2024 Outdoor Library at Jerome Park Project August 20, 2024 Page 2 park located at the northeast corner of Center Street and McFadden Avenue (Exhibit 1) into an innovative educational and recreational space with various new amenities catered to serve the surrounding community. This project features a Santa Ana-themed "satellite library" book kiosk and custom lockable shelter, a children's trike play track to encourage awareness of street and traffic safety, new pedestrian concrete pathways, a "story walk" with library themed signage to help residents learn about water conservation, and new multigenerational playground equipment. The scope of work includes excavation, grading, installation of the library kiosk, playground equipment, concrete sidewalks, concrete accessible curb ramps, resurfacing an existing parking lot, drought -tolerant landscaping, irrigation, overall site lighting, security camera, and signing and striping. These improvements will enhance the health and wellness of the surrounding community by providing new and upgraded educational and recreational activities that will advance safety, equity, access, and support for Santa Ana's disproportionately impacted children and families. Public Outreach and Contractor Participation To provide an opportunity for local vendors to submit bids, the City notified a total of 60 regional vendors via PlanetBids, many of which are Santa Ana based. A total of five bids were received. No bids were received from a Santa Ana contractor. As legally required, a Notice Inviting Bids was advertised in the Orange County Register newspaper on June 5 and June 12, 2024. The project was also advertised in PlanetBids from June 5 through June 26, 2024. Bids were received electronically via PlanetBids on June 26, 2024. No bid protest was submitted by any of the bidders during the bid protest period. Bid Results Summ Rank Bidder's Name Location Base Bid + Alternate Bid 1 Legion Contractors, Inc. Irvine, CA $3,336,400 2 C.S. Legacy Construction, Inc. Walnut, CA $3,488,950 3 DOJA, Inc. Ontario, CA $3,626,570 4 MBC Enterprises, Inc. Westminster, CA $4,311,189 5 The Nazerian Group Encino, CA $4,654,123 A total of five bids were received and all were deemed responsive. Legion Contractors, Inc. submitted the lowest responsive base bid in the amount of $3,276,400 (Exhibit 2). As specified in the bid documents, the lowest bid shall be determined on the basis of the Base Bid. Based on the bid analysis and a contractor's reference check, staff City Council 26-2 8/20/2024 Outdoor Library at Jerome Park Project August 20, 2024 Page 3 recommends awarding the construction contract with the alternate bid to Legion Contractors, Inc. (Exhibit 3). Legion Contractors, Inc. has previously performed work as a prime contractor in the City of Santa Ana within the last five years, most recently the Standard -McFadden (Gerardo Mouet) Park project. A reference check was made internally with staff and good reviews were received regarding the quality of work performed by the contractor on the previous project. Project Delivery To deliver a complete project, in addition to the construction contract, the estimated total project delivery cost includes construction administration, inspection, and testing, along with an allowance for contingencies to account for unexpected or unforeseen conditions. Construction administration and inspection includes the following: construction management; implementation of the labor requirements; inspection of the Contractor's work to ensure contract compliance, workmanship, and quality; and materials testing. As indicated in the Cost Analysis (Exhibit 4) and as summarized in the table below, the estimated total construction delivery cost of the project is $3,720,040. Project Item Total Construction Contract Bid Amount $3,336,400 Construction Administration, Inspection, Testing $50,000 Project Contingencies $333,640 TOTAL ESTIMATED CONSTRUCTION DELIVERY COST $3,720,040 ENVIRONMENTAL IMPACT Pursuant to the California Environmental Quality Act, the recommended actions are exempt from further review pursuant to Sections 15301(a) and 15301(d) of the CEQA Guidelines for projects consisting of interior and exterior alterations, as well as restoration or rehabilitation of structures, facilities, mechanical equipment, and windows. The proposed project continues to meet these parameters of the CEQA Guidelines, and Categorical Exemption Environmental Review No. ER-2024-34 was filed for Project 22- 1381 on May 7, 2024. (Exhibit 5) FISCAL IMPACT As indicated in the Cost Analysis, the estimated total construction delivery cost of the project (22-1381 & 25-7523) is $3,720,040, which includes construction, contract administration, inspection, testing, and authorized contingencies of $383,640. A proposed carry-over of unspent funds will be presented to the City Council in September for approval of carry-overs to FY 2024-25. Additional funding of $300,000 in the Water Utility Capital Projects, Water Capital Project account is available for expenditure in the FY 2024-25 budget. Any remaining balances not expended at the end of the fiscal year will be carried forward into FY 2025-26. City Council 26 — 3 8/20/2024 Outdoor Library at Jerome Park Project August 20, 2024 Page 4 Accounting Fiscal Unit -Account Fund Accounting Unit, Amount Year No. Description Account No. Description (Project No.) Existing Budget 13518783- Community CDBG Programs, 2024-25 66220 Development Improvements Other Than $450,000 (25-7523) Block Grant Buildings Budget Available via Proposed Carry Forward to FY24-25 18111013- American ARPA — Library, 2024-25 66220 Rescue Plan Improvements Other Than $2,613,390 (22-1381) Act (ARPA) Buildings 01111017- Library — Service 2024-25 66220 General Fund Enhancement, $156,650 (22-1381) Improvements Other Than Buildings 01111190- Library — Tech & Support 2024-25 66220 General Fund Services, Improvements $100,000 22-1381 Other Than Buildings Additional Budget 2024-25 06617647- 66301 Acquisition & Water Uty Capital Projects, $300,000 22-1381 Construction Water Capital Project 05113263- Capital Park Improvements, 2024-25 66220 Outlay Fund Improvements Other Than $100,000 22-1381 Buildings TOTAL $3,720,040 EXHIBIT(S) 1. Location Map 2. Bid Proposal 3. Construction Contract 4. Cost Analysis 5. Categorical Exemption Environmental Review No. ER-2024-34 6. FY 2024-25 Capital Improvement Program Sheet Submitted By: Nabil Saba, P.E., Executive Director — Public Works Agency Brian Sternberg, Executive Director — Library Approved By: Alvaro Nunez, City Manager City Council 26 — 4 8/20/2024 EXHIBIT 1 C......... Au] LNq bO R N Y JEOMEY C�ENTEVj0 PLAYGROUND 0 /pp _ LC — o — o Q o o kk— 1` 1 1 -L_��__L MCFADDEN AVE. LOCATION MAP N (NOT TO SCALE) SANTA ANA Pr � Project No. 22-1381 & 25-7523: Outdoor Library at Jerome Park Location Map PUBLIC WORKS AGENCY City Council 26 — 5 8/20/2024 Addendum No. 3 CITY OF SANTA ANA Project No. 22-1381 PROPOSAL PROJECT NO.: 22-1381 OUTDOOR LIBRARY AT JEROME PARK BID PROPOSAL TO: CITY COUNCIL OF THE CITY OF SANTA ANA FROM: Legion Contractors, Inc. REQUIREMENT: The undersigned bidder declares that they have carefully examined the location of the proposed work, that they have examined the Contract Documents in its entirety and hereby proposes to furnish all material and do all the work required to complete the said work in accordance with said plans (if any) and the specifications for the unit price(s) or lump sum(s) set forth in the following schedule: Item Description Qty Unit Unit Price Amount 1 Mobilization/Erosion Control 1 LS $ 150,000 $ 150,000 2 Clearing and Grubbing 1 LS $ $ 80,000 80,000 3 Site Demolition 1 LS $ $ 95,000 95,000 4 Grading and Excavations 1 LS $ $ 100,000 100,000 5 Site Drainage 1 LS $ $ 120,000 120,000 6 24-Hour Library and Shelter 1 LS $ $ 200,000 200,000 7 Site Electrical and Fiber 1 LS $ $ 315,000 315,000 8 Concrete Slab on Grade 420 SF $ $ 25 10,500 9 Pedestrian Concrete Paving — Bike Play 3,513 SF $ $ Track * 40 140,520 10 6" Wide Flush Concrete Curb * 336 LF $ $ 100 33,600 11 Pedestrian Concrete Paving — Pathways * 16,665 SF $ $ 25 416,625 12 Accessible Concrete Ramps 250 SF $ 100 $ 25,000 13 Demonstration Surface — Recycled Concrete 74 SF $ $ Pavers with Aggregate * 250 18,500 14 Pour -in -Place Permeable Pavement — 1,369 SF $ 50 $ 68 450 Filterpave City Council 26 — 6 8/20/2024 P-1 of P-19 Addendum No. 3 CITY OF SANTA ANA Project No. 22-1381 PROPOSAL PROJECT NO.: 22-1381 OUTDOOR LIBRARY AT JEROME PARK Item Description Qty Unit Unit Price Amount 15 Synthetic Safety Surfacing 6,250 SF $ $ 26 162,500 16 Playground Equipment 1 LS $ 185,000 $ 185,000 17 Site Furnishings I LS $ $ 300,000 300,000 18 Seat walls 106 LF $ $ 1,000 106,000 19 Irrigation System I LS $ $ 200,000 200,000 20 Planting I LS $ $ 200,000 200,000 21 Landscape Establishment 1 LS $ $ 17,000 17,000 22 Asphalt Pavement 21,600 SF $ 6 $ 129,600 23 Remove and Replace Cross Gutter 460 LF $ $ 200 92,000 24 Signing and Striping 1 LS $ $ 25,000 25,000 25 Bioretention Basin 1 LS $ 35,000 $ 35,000 26 SWPPP - Risk Level 2 1 LS $ $ 30,000 30,000 27 Construction Permit 1 EA $ 11,700.00 $ 11,700.00 28 Project Advertising Sign I EA $ 9,405 $ 9,405 Bid Alternates 1 Asphalt Pavement Aggregate Base 200 CY $ 300 $ 60,000 City Council 26-7 8/20/2024 P-2 of P-19 Addendum No. 3 CITY OF SANTA ANA Project No. 22-1381 PROPOSAL PROJECT NO.: 22-1381 OUTDOOR LIBRARY AT JEROME PARK TOTAL BASE BID $ 3,276,400 TOTAL ADD ALTERNATE BID $ 3,336,400 The lowest responsible bidder shall be selected based on the total base bid. The City reserves the right to award the Base Bid, and any, all, or none of the add -alternate bid items (if any). * The quantity for this bid item is shown for bid comparison only. This bid item shall not be subject to the "25%" limit as stated in Section 7-3.5 of the Standard Specifications. The actual amount for this item will be dictated by the actual quantity used, and the Agency reserves the right to increase or decrease the quantity of this item accordingly. t This bid item is considered a Specialty Item per Section 3-2 of the Standard Specifications. TIME FOR COMPLETION OF IMPROVEMENTS AND LIQUIDATED DAMAGES The undersigned bidder hereby proposes to complete the Work for the total base bid amount shown above, within One -Hundred Twenty (120) working days after the commencement date stated in the Notice to Proceed. Upon issuance of the Notice to Proceed, Contractor shall immediately place order for long -lead time items (24-Hour Library Kiosk and Shelter). The liquidated damages amount, in lieu of the amount specified in Subsection 6-9 of the Standard Specifications, shall be $4,280 per calendar day. Name of Firm Legion Contractors, Inc. - Corporation Signature of BIDDER Title Saba Khoubanshargh - Secretary & Vice President (If an individual, so state. If a firm or co -partnership, state the firm name and give the names of all individual co-partners composing the firm. If a corporation, state legal name of corporation, and names of President, Secretary, Treasurer and Manager, thereof.) Amir Movafegh - President, Treasurer and Manager 41�v_ City Council 26 — 8 8/20/2024 P-3 of P-I 9 EXHIBIT 3 CITY OF SANTA ANA CONSTRUCTION CONTRACT AGREEMENT PROJECT NOS.: 22-1381 & 25-7523 OUTDOOR LIBRARY AT JEROME PARK This CONSTRUCTION CONTRACT is made and entered into this 20th day of August, 2024 by and between the City of Santa Ana, California, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California (hereinafter "CITY"), and Legion Contractors, Inc. (hereinafter "CONTRACTOR"). WITNESSETH: The CITY and the CONTRACTOR, for the consideration hereinafter named, mutually agree as follows: 1. CONTRACTOR agrees to perform all the work and furnish all the materials at its own cost and expense necessary to construct and complete in a good and workmanlike manner and to the satisfaction of the City Engineer of the CITY, the Outdoor Library at Jerome Park Project (hereinafter referred to as the "WORK OF IMPROVEMENT") identified in and in accordance with the Contract Documents prepared by the City's Public Works Agency and approved by the City Council. 2. The complete Construction Contract consists of the "Contract Documents" as defined by the Standard Specifications for Public Works Construction and which include the following: • Notice Inviting Bids • Information to Bidders • Bid Proposal • Bid Bond • Contract Form • Contract Bonds • General Provisions • Special Provisions • Technical Provisions and Project Plans • Community Workforce Agreement • Appendices In case of conflict between the Contract Documents, the precedence of documents shall be as established in the Standard Specifications for Public Works Construction. 3. CITY agrees to pay and CONTRACTOR agrees to accept in full payment to complete the WORK OF IMPROVEMENT the sum total amount not to exceed Three Million Three Hundred Thirty Six Thousand Four Hundred Dollars and No Cents ($3,336,400.00), as set forth and identified in the BID PROPOSAL, which is attached hereto and incorporated herein as Exhibit "A," and in accordance with Section 2-7.1 of the Greenbook: Standard Specifications for Public Works Construction. The BID PROPOSAL contains a schedule of unit price(s) or lump sum(s) based on approximate quantities only, and the City does not expressly or by implication agree that the actual amount of work will correspond therewith, but reserves the right to increase or decrease the amount of any City Council 26 — 9 8/20/2024 rev. 08/01/2023 Page 1 of 4 class or portion of the work or to omit portions of the work as may be deemed necessary or advisable. 4. CONTRACTOR agrees to complete the WORK OF IMPROVEMENT within the time specified in the Time for Completion of Improvements section of the BID PROPOSAL (Exhibit "A") including commencing construction within the timeframe therein specified after issuance of a Notice to Proceed. 5. The CONTRACTOR will pay, and will require all subcontractors to pay, all employees on the WORK OF IMPROVEMENT a salary or wage at least equal to the prevailing salary or wage established for such work as set forth in the wage determinations for this work in accordance with applicable State and Federal law. 6. If applicable, the CONTRACTOR shall adhere to the CITY'S Community Workforce Agreement (CWA), a pre -hire collective bargaining agreement, which establishes the labor relations policies and procedures for CONTRACTOR to follow in the crafts persons employed to complete the WORK OF IMPROVEMENT as more fully described in the CWA. The CWA may be found on the City's website at: http://www.santa-ana.ora//pwa/documents/CWA.pdf 7. CONTRACTOR shall, after award of this Contract, furnish two bonds to be approved by the CITY, one in the amount of One Hundred Percent (100%) of the Contract price, to guarantee the faithful performance of the work (Performance Bond), and one in the amount of One Hundred Percent (100%) of the Contract price to guarantee payment of all claims for labor and materials furnished (Payment Bond). This Contract shall not become effective until such bonds are supplied to and approved by the CITY. 8. CONTRACTOR shall, prior to the release of the performance and payment bonds or the retention payment, furnish a warranty performance and payment bond (Warranty Bond). Said Warranty Bond shall also be required as a condition of project acceptance. For projects up to Five Hundred Thousand Dollars ($500,000), the Warranty Bond amount shall be the greater of Ten Thousand Dollars ($10,000) or Twenty Percent (20%) of the final contract price. For projects above Five Hundred Thousand Dollars ($500,000), the Warranty Bond amount shall be the greater of One Hundred Thousand Dollars ($100,000) or Ten Percent (10%) of the final contract price. 9. CONTRACTOR shall, after award of this Contract, furnish Certificates of Liability Insurance and Worker's Compensation Insurance as outlined in the General Provisions, to be approved by the CITY. 10. INDEMNIFICATION. To the fullest extent allowed by law, CONTRACTOR and its Subcontractors hereby agree to defend, indemnify, and hold harmless CITY, its City Council, boards and commissions, officers, agents, employees, representatives and volunteers (hereinafter collectively referred to as "Indemnitees"), through legal counsel acceptable to CITY, from and against any liability, claims, actions, costs, damages or losses, including reasonable costs and attorney's fees, for injury, including death to any person or damage to any property, arising directly or indirectly from, or in any manner relating to, any of the following: (i) Performance or nonperformance of the Work of Improvement by CONTRACTOR or its Subcontractors of any lower tier; City Council 26 — 10 8/20/2024 Page 2 of 4 (ii) Performance or nonperformance by CONTRACTOR or its Subcontractors of any lower tier, of any of the obligations under the Contract Documents; (iii) The construction activities of CONTRACTOR or its Subcontractors of any lower tier, either on the project site or on other properties; (iv) The payment or nonpayment by CONTRACTOR of any of its Subcontractors of any lower tier, for Work of Improvement performed on or off the project site; and (v) Any personal injury, property damage or economic loss to third persons related to and arising from the performance or nonperformance by CONTRACTOR or its Subcontractors of any lower tier, of the Work of Improvement. (vi) The indemnity obligations of Subcontractors provided by this Section shall be included in all subcontract documents issued by CONTRACTOR. Nothing in the Contract Documents shall be construed to give rise to any implied right of indemnity in favor of CONTRACTOR against CITY or any other Indemnitee. 11. FEDERAL FUNDING REQUIREMENTS. Contractor shall comply, and ensure all subcontractors comply, with all applicable regulations, policies, guidelines and requirements of the Community Development Block Grant (CDBG) program set forth by U.S. Department of Housing and Urban Development for sub -recipients including, without limitation, the funding requirements laid out in Appendix P of the Contract Documents. Contractor's attention is specifically directed to the following, which are each incorporated herein by this reference: (i) 2 CFR Part 200 (Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards). (ii) Program Income — 24 CFR Part 570.500(a)(1) (iii) Unused Program Income — 24 CFR Part 570.503(b)(3) (iv) Transfers of Program Income — 24 CFR Part 570.504(b)(2) (v) Disposition of Program Income — 24 CFR Part 570.504(c) (vi) Applicability of Uniform Administrative Requirements — 24 CFR § 570.502 (vii) Subpart K of the CDBG Regulations, commencing with 24 CFR § 570.600 (viii) Section 3 Requirements specified herein. (ix) Federal Contract Provisions specified herein. With respect to any conflict between such federal requirements and the terms of the Contract Documents and/or the provisions of state law and except as otherwise required under federal law or regulation, the more stringent requirement shall control. Contractor shall be subject to the Davis -Bacon Act. The federal minimum wage rates are attached hereto as Appendix O of the Contract Documents. When the Davis - Bacon wage rates and California prevailing wage rates differ for similar kinds of labor, the Contractor shall pay not less than the higher rate. Contractor shall additionally comply with the applicable flow down terms and conditions of the CDBG Funding Agreement, which are attached hereto as Exhibit `B", and incorporated herein by reference. Nothing in the Contract Documents shall be construed to give rise to any implied right of indemnity in favor of CONTRACTOR against CITY or any other Indemnitee. [Signatures on the following page] City Council 26 —11 8/20/2024 Page 3 of 4 IN WITNESS WHEREOF, the parties hereto have executed this Construction Contract on the day and year first above written. ATTEST: JENNIFER L. HALL City Clerk APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: JOSF MONTOYA Assistant City Attorney RECOMMENDED FOR APPROVAL: N a b i l Saba Date: 202 08.01b10:10:27 aba -0700, NABIL SABA, PE Executive Director Public Works Agency CITY OF SANTA ANA ALVARO NUNEZ Acting City Manager CONTRACTOR: Legion Contractors, Inc. NAME: Saba Khoubanshargh TITLE: Secretary & Vice President City Council 26 — 12 8/20/2024 Page 4 of 4 Addendum No. 3 CITY OF SANTA ANA Project No. 22-1381 PROPOSAL PROJECT NO.: 22-1381 OUTDOOR LIBRARY AT JEROME PARK BID PROPOSAL TO: CITY COUNCIL OF THE CITY OF SANTA ANA FROM: Legion Contractors, Inc. REQUIREMENT: The undersigned bidder declares that they have carefully examined the location of the proposed work, that they have examined the Contract Documents in its entirety and hereby proposes to furnish all material and do all the work required to complete the said work in accordance with said plans (if any) and the specifications for the unit price(s) or lump sum(s) set forth in the following schedule: Item Description Qty Unit Unit Price Amount 1 Mobilization/Erosion Control 1 LS $ 150,000 $ 150,000 2 Clearing and Grubbing 1 LS $ $ 80,000 80,000 3 Site Demolition 1 LS $ $ 95,000 95,000 4 Grading and Excavations 1 LS $ $ 100,000 100,000 5 Site Drainage 1 LS $ $ 120,000 120,000 6 24-Hour Library and Shelter 1 LS $ $ 200,000 200,000 7 Site Electrical and Fiber 1 LS $ $ 315,000 315,000 8 Concrete Slab on Grade 420 SF $ $ 25 10,500 9 Pedestrian Concrete Paving — Bike Play 3,513 SF $ $ Track * 40 140,520 10 6" Wide Flush Concrete Curb * 336 LF $ $ 100 33,600 11 Pedestrian Concrete Paving — Pathways * 16,665 SF $ $ 25 416,625 12 Accessible Concrete Ramps 250 SF $ 100 $ 25,000 13 Demonstration Surface — Recycled Concrete 74 SF $ $ Pavers with Aggregate * 250 18,500 14 Pour -in -Place Permeable Pavement — 1,369 SF $ 50 $ 68 450 Filterpave City Council 26 — 13 8/20/2024 P-1 of P-19 Addendum No. 3 CITY OF SANTA ANA Project No. 22-1381 PROPOSAL PROJECT NO.: 22-1381 OUTDOOR LIBRARY AT JEROME PARK Item Description Qty Unit Unit Price Amount 15 Synthetic Safety Surfacing 6,250 SF $ $ 26 162,500 16 Playground Equipment 1 LS $ 185,000 $ 185,000 17 Site Furnishings I LS $ $ 300,000 300,000 18 Seat walls 106 LF $ $ 1,000 106,000 19 Irrigation System I LS $ $ 200,000 200,000 20 Planting I LS $ $ 200,000 200,000 21 Landscape Establishment 1 LS $ $ 17,000 17,000 22 Asphalt Pavement 21,600 SF $ 6 $ 129,600 23 Remove and Replace Cross Gutter 460 LF $ $ 200 92,000 24 Signing and Striping 1 LS $ $ 25,000 25,000 25 Bioretention Basin 1 LS $ 35,000 $ 35,000 26 SWPPP - Risk Level 2 1 LS $ $ 30,000 30,000 27 Construction Permit 1 EA $ 11,700.00 $ 11,700.00 28 Project Advertising Sign I EA $ 9,405 $ 9,405 Bid Alternates 1 Asphalt Pavement Aggregate Base 200 CY $ 300 $ 60,000 City Council 26 — 14 8/20/2024 P-2 of P-19 Addendum No. 3 CITY OF SANTA ANA Project No. 22-1381 PROPOSAL PROJECT NO.: 22-1381 OUTDOOR LIBRARY AT JEROME PARK TOTAL BASE BID $ 3,276,400 TOTAL ADD ALTERNATE BID $ 3,336,400 The lowest responsible bidder shall be selected based on the total base bid. The City reserves the right to award the Base Bid, and any, all, or none of the add -alternate bid items (if any). * The quantity for this bid item is shown for bid comparison only. This bid item shall not be subject to the "25%" limit as stated in Section 7-3.5 of the Standard Specifications. The actual amount for this item will be dictated by the actual quantity used, and the Agency reserves the right to increase or decrease the quantity of this item accordingly. t This bid item is considered a Specialty Item per Section 3-2 of the Standard Specifications. TIME FOR COMPLETION OF IMPROVEMENTS AND LIQUIDATED DAMAGES The undersigned bidder hereby proposes to complete the Work for the total base bid amount shown above, within One -Hundred Twenty (120) working days after the commencement date stated in the Notice to Proceed. Upon issuance of the Notice to Proceed, Contractor shall immediately place order for long -lead time items (24-Hour Library Kiosk and Shelter). The liquidated damages amount, in lieu of the amount specified in Subsection 6-9 of the Standard Specifications, shall be $4,280 per calendar day. Name of Firm Legion Contractors, Inc. - Corporation Signature of BIDDER Title Saba Khoubanshargh - Secretary & Vice President (If an individual, so state. If a firm or co -partnership, state the firm name and give the names of all individual co-partners composing the firm. If a corporation, state legal name of corporation, and names of President, Secretary, Treasurer and Manager, thereof.) Amir Movafegh - President, Treasurer and Manager 4q�_ City Council 26 — 15 8/20/2024 P-3 of P-I 9 Funding Approval/Agreement U.S. Department of Housing and Urban Development Title I of the Housing and Community Office of Community Planning and Development Development Act (Public Law 930383) Community Development Block Grant Program OMB Approval No. 2506-0193 HI-00515R of 20515R exp 1/31/2025 1. Name of Grantee (as shown in item 5 of Standard Form 424) 3a. Grantee's 9-digit Tax ID Number 3b. Grantee's 9-digit DUNS Number Santa Ana 956000785 KZE9G2M4GRX9 (UEI) 2. Grantee's Complete Address (as shown in item 5 of Standard Form 424) 4. Date use of funds may begin 20 Civic Center Plaza 07/01/2022 Santa Ana, CA 92701-0000 5a. Project/Grant No. 1 6a. Amount Approved B-22-MC-06-0508 $5,088,771 5b. Project/Grant No. 2 6b. Amount Approved Grant Agreement: This Grant Agreement between the Department of Housing and Urban Development (HUD) and the above named Grantee is made pursuant to the authority of Title I of the Housing and Community Development Act of 1974, as amended, (42 USC 5301 et seq.). The Grantee's submissions for Title I assistance, the HUD regulations at 24 CFR Part 570 (as now in effect and as may be amended from time to time), and this Funding Approval, including any special conditions, constitute part of the Agreement. Subject to the provisions of this Grant Agreement, HUD will make the funding assistance specified here available to the Grantee upon execution of the Agreement by the parties. The funding assistance specified in the Funding Approval may be used to pay costs incurred after the date specified in item 4 above provided the activities to which such costs are related are carried out in compliance with all applicable requirements. Pre -agreement costs may not be paid with funding assistance specified here unless they are authorized in HUD regulations or approved by waiver and listed in the special conditions to the Funding Approval. The Grantee agrees to assume all of the responsibilities for environmental review, decision making, and actions, as specified and required in regulations issued by the Secretary pursuant to Section 104(g) of Title I and published in 24 CFR Part 58. The Grantee further acknowledges its responsibility for adherence to the Agreement by sub- recinient entities to which it makes fundine assistance hereunder available. U.S. Department of Housing and Urban Development (By Name) Grantee Name (Contractual Organization) Rufus Washington Santa Ana (City of) Title Title CPD Director City Manager Signature Date (mm/dd/yyyy) Signature Date (mm/dd/yyyy) 10/21 /2022 x X 7. Category of Title I Assistance for this Funding Action: 8. Special Conditions 9a. Date HUD Received Submission 10. check one Entitlement, Sec 106(b) (check one) ❑ None ® Attached (mm/dd/yyyy) ® a. Orig. Funding Approval ❑ b. Amendment Amendment Number 9b. Date Grantee Notified (mm/dd/yyyy) 9c. Date of Start of Program Year 7/1 /2022 11. Amount of Community Development Block Grant FY 2022 a. Funds Reserved for this Grantee b. Funds now being Approved $5,088,771 c. Reservation to be Cancelled 11a minus 11b 12a. Amount of Loan Guarantee Commitment now being Approved 12b. Name and complete Address of Public Agency N/A Loan Guarantee Acceptance Provisions for Designated Agencies: The public agency hereby accepts the Grant Agreement executed by the Department of Housing and Urban Development on the above date with respect to the above grant number(s) as Grantee designated to receive loan guarantee assistance, and agrees to comply with the terms and conditions 12c. Name of Authorized Official for Designated Public Agency of the Agreement, applicable regulations, and other requirements of HUD now or hereafter in effect, pertaining to the assistance provided it. Title Signature x HUD Accounting use Only Effective Date Batch TAC Program Y A Reg Area Document No. Project Number Category Amount (mm/dd/yyyy) IM 1 7 6 17 E n E YY Project Number Amount I ITT] I Y Project Number Am n Date Entered PAS (mm/dd/yyyy) Date Entered LOCCS (mm/dd/yyyy) Batch Number Transaction Code Entered By Verified By City Council 26 — 16 8/20/2024 24 CFR 570 form HUD-7082 (5115) 8. Special Conditions. (a) The period of performance and single budget period for the funding assistance specified in the Funding Approval ("Funding Assistance") shall each begin on the date specified in item 4 and shall each end on September 1, 2029. The Grantee shall not incur any obligations to be paid with such assistance after September 1, 2029. (b) The Recipient shall attach a schedule of its indirect cost rate(s) in the format set forth below to the executed Agreement that is returned to HUD. The Recipient shall provide HUD with a revised schedule when any change is made to the rate(s) described in the schedule. The schedule and any revisions HUD receives from the Recipient shall be incorporated herein and made a part of this Agreement, provided that the rate(s) described comply with 2 CFR part 200, subpart E. Administering Direct Department/Agency CDA Indirect cost rate Cost Base 14.92 % Instructions: The Recipient must identify each agency or department of the Recipient that will carry out activities under the grant, the indirect cost rate applicable to each department/agency (including if the de minimis rate is used per 2 CFR §200.414(f)), and the type of direct cost base to which the rate will be applied (for example, Modified Total Direct Costs (MTDC)). Do not include indirect cost rates for subrecipients. (c) In addition to the conditions contained on form HUD 7082, the grantee shall comply with requirements established by the Office of Management and Budget (OMB) concerning the Dun and Bradstreet Data Universal Numbering System (DUNS); the System for Award Management (SAM.gov.); the Federal Funding Accountability and Transparency Act as provided in 2 CFR part 25, Universal Identifier and General Contractor Registration; and 2 CFR part 170, Reporting Subaward and Executive Compensation Information. (d) The grantee shall ensure that no CDBG funds are used to support any Federal, State, or local projects that seek to use the power of eminent domain, unless eminent domain is employed only for a public use. For the purposes of this requirement, public use shall not be construed to include economic development that primarily benefits private entities. Any use of funds for mass transit, railroad, airport, seaport or highway projects as well as utility projects which benefit or serve the general public (including energy -related, communication - related, water- related and wastewater -related infrastructure), other structures City Council 26 — 17 8/20/2024 designated for use by the general public or which have other common -carrier or public -utility functions that serve the general public and are subject to regulation and oversight by the government, and projects for the removal of an immediate threat to public health and safety or brownfield as defined in the Small Business Liability Relief and Brownfields Revitalization Act (Public Law 107-118) shall be considered a public use for purposes of eminent domain. (e) The Grantee or unit of general local government that directly or indirectly receives CDBG funds may not sell, trade, or otherwise transfer all or any such portion of such funds to another such entity in exchange for any other funds, credits or non -Federal considerations, but must use such funds for activities eligible under title I of the Act. (f) E.O. 12372-Special Contract Condition - Notwithstanding any other provision of this agreement, no funds provided under this agreement may be obligated or expended for the planning or construction of water or sewer facilities until receipt of written notification from HUD of the release of funds on completion of the review procedures required under Executive Order (E.O.) 12372, Intergovernmental Review of Federal Programs, and HUD's implementing regulations at 24 CFR Part 52. The recipient shall also complete the review procedures required under E.O. 12372 and 24 CFR Part 52 and receive written notification from HUD of the release of funds before obligating or expending any funds provided under this agreement for any new or revised activity for the planning or construction of water or sewer facilities not previously reviewed under E.O. 12372 and implementing regulations. (g) CDBG funds may not be provided to a for -profit entity pursuant to section 105(a)(17) of the Act unless such activity or project has been evaluated and selected in accordance with Appendix A to 24 CFR 570 - "Guidelines and Objectives for Evaluating Project Costs and Financial Requirements." (Source - P.L. 113-235, Consolidated and Further Continuing Appropriations Act, 2015, Division K, Title II, Community Development Fund). City Council 26 — 18 8/20/2024 IWA: 1: COST ANALYSIS CONSTRUCTION OF PROJECT NO. 22-1381 & 25-7523: Outdoor Library at Jerome Park Construction Contract $ 3,336,400.00 Construction Engineering $ 50,000.00 Contingencies $ 333,640.00 TOTAL ESTIMATED CONSTRUCTION COSTS $ 3,720,040.00 City Council 26 — 19 8/20/2024 EXHIBIT 5 MAYOR Valerie Arnezcua MAYOR PRO TEM Thai Viet Phan COUNCILMEMBER5 Phil Bacerra Johnathan Ryan Hernandez Jessie Lopez David Penaloza Benjamin Vazquez PUBLIC WORKS AGENCY 20 Civic Cenler Plaza (M-36) P.O. BOX 1988 • Santa Ana, California 92702 (714) 647-569D -Fax (714) 647-5B23 warw.santa-ana.org NOTICE OF EXEMPTION INTERIM CITY MANAGER Alvafo Nuiez CITY ATTORNEY Sonia R. Carvalho CLERK OF THE COUNCIL Jennifer L. Hall From the Requirements of the California Environmental Quality Act (CEQA) Fee Exemption per California Government Code Section 6103 To, COUNTY CLERK From: City of Santa Ana County of Orange Public Works Agency P.O. Box 238 20 Civic Center Plaza (M-36) Santa Ana, CA 92702 Santa Ana, CA 92702 Project Title: Outdoor Library at Jerome Park Project Number(s): 22-1381 Project location: 2115 W McFadden Avenue, Santa Ana, CA 92704 City: Santa Ana County: Orange ER Number: ER-2024-34 Date of Approval: 06/01/2021 Project Description: This project will include excavation, grading, Installation of a library kiosk, playground equipment, accessible curb ramps, concrete sidewalk, concrete curbs, grind & overlay of an existing parking lot, landscaping, irrigation, and signing & striping, Applicant Name: City of Santa Ana, Public Works Agency Applicant Address: 20 Civic Center Plaza M-36 Santa Ana, CA 92702 Name of Public Agency Approving Project: City Council Name of Agency Carrying Out Project: Public Works Agency Exempt Status: d Ministerial (Sec. 15268) 0 Declared Emergency (Sec. 15269 (a)) d Emergency Project (Sec. 15269 (b through e)) © General Rule (Sec, 1506,1(b)(3)1(5)) FILED MAY a 7 2024 ORANGE COUNTY CLERK RECORDERDEPARTAIENT BY: C • H DEPUTY C Statutory Exemption: Q Categorical Exemption: 15304 Reason(s) Why Project Is Exempt From CFQA: 15304 involves minor alterations to the condition of land and vegetation; project will not involve the removal of healthy mature, scenic trees except for forestry purposes. City Contact: Sa tha Cheney Title: Assistant Engineer Telephone: (714) 647-6033 Sign Date: SANTA ANA CITY COUNCIL VaWe Arnezcua David Penaloza Mayor G�Jt7t'r6lVvardt� Ward3 wardz 26 — 20 WardWard/O/2f14 wardB vampzcua ..santa-ena,om: t�lt$r1 12g. {M20liusi91WZ0.wila-in4ta mijununu-pra.si9; f_sagt�ca[la4r91lYa�h I1c�Q3s �fl�47 B4rlfll4��� a� PROJECT TITLE: Outdoor Library @ Jerome Park PROJECT CATEGORY: City & Park Facility Improvements Park Facility LOCATION MAP N AGENCY: Library EXHIBIT 6 CITY OF SANTA ANA FY 24/25CIP CAPITAL IMPROVEMENT PROJECT WORKSHEET PROJECT DESCRIPTION: Outdoor Library at Jerome Park PROJECT NEED: Create an Outdoor Public Library that will include the installation of an innovative 24-hour "satellite library" kiosk at the southwest end of Jerome Park. The satellite library will incorporate learning and recreation -based play experiences that will advance equity, access, and provide support for Santa Ana's disproportionately impacted children and families. I aw PROJECT COSTS FY 24/25 FY 25/26 FY 26/27 FY 27/28 FY 28/29 FY 29/30 FY 30/31 Construction 3,420,040 - - - - - - Engineering 300,000 TOTAL 3,720,040 - - - SOURCE OF FUNDS FY 24/25 FY 25/26 FY 26/27 FY 27/28 FY 28/29 FY 29/30 FY 30/31 GENERAL FUND 100,000 - - - - - - ARPA Funds 2,613,390 CAPITAL OUTLAY/CELL TOWER 100,000 CDBG Programs 450,000 GENERAL FUND 156,650 WATER CAPITAL 300,000 TOTAL 3,720,040 - - - - - - DIVISION: Administration CONTACT: DATE: Maria Castro, Management Analyst- Library 31-Jul-2024 City Council 26 — 21 8/20/2024 Public Works Agency www.santa-ana.org/public-works Item # 27 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report August 20, 2024 TOPIC: Legacy Square Transportation Improvements AGENDA TITLE Award a Construction Contract to CJ Concrete Construction for the Legacy Square Transportation Improvements Project (Project No. 22-9001(20-AHSC-14700)) (Non - General Fund) RECOMMENDED ACTION 1. Award a construction contract to CJ Concrete Construction, the lowest responsible bidder, in accordance with the base bid in the amount of $1,433,200, subject to change orders in accordance with the Greenbook: Standard Specifications for Public Works Construction, for construction of the Legacy Square Transportation Improvements Project, for a term beginning August 20, 2024, and ending upon project completion, and authorize the City Manager to execute the contract. 2. Approve the Project Cost Analysis for a total estimated construction delivery cost of $1,798,079, which includes $1,433,200 for the construction contract; $221,559 for contract administration, inspection, and testing; and a $143,320 project contingency for unanticipated or unforeseen work. 3. Determine that, pursuant to the California Environmental Quality Act (CEQA), the recommended actions are exempt from further review pursuant to Section 15301(c) of the CEQA guidelines for projects consisting of highways and streets, sidewalks, gutters, bicycle and pedestrian trails, and similar facilities. The proposed project continues to meet these parameters of the CEQA guidelines, and Categorical Exemption Environmental Review No. ER-2023-92 was filed for Project 22-9001. GOVERNMENT CODE §84308 APPLIES: No DISCUSSION The Public Works Agency (PWA)'s Engineering Services is responsible for managing roads, transportation network, and the administration and oversight of all Capital Improvement Projects in the city. The City received a grant from the State of California's Affordable Housing and Sustainable Communities (AHSC) Program for improvements in City Council 27 — 1 8/20/2024 Legacy Square Transportation Improvements August 20, 2024 Page 2 association with the Legacy Square Affordable Housing project recently completed on Santa Ana Boulevard and French Street. The AHSC grant funds projects that make it easier for Californians to drive less by ensuring housing, jobs, and key destinations are accessible by walking, biking, and transit. The Legacy Square Transportation Improvements project will construct bicycle and pedestrian improvements to increase accessibility from the Santa Ana Regional Transportation Center (SARTC) to residential neighborhoods and downtown businesses. The project will construct class II bicycle lanes (dedicated striped -bike lane) on Santiago Street from Washington Avenue to SARTC (Exhibit 1 & 2) for bicycle safety. The bicycle lane will have a buffer between the travel lanes. Pedestrian safety will also be improved by the project by adding curb bulb -outs to reduce vehicular speeds through intersections and shortening pedestrian crossing distances, installing ADA compliant curb ramps, and removing sidewalk tripping hazards. A pocket park at Santa Ana Boulevard and Mortimer Street will also be constructed with this project to enhance the community. Landscaping, irrigation, benches, trash receptacles, and lighting will be part of the pocket park. Public Outreach and Contractor Participation To provide an opportunity for local vendors to submit bids, the City notified a total of 69 regional vendors via PlanetBids, many of which are Santa Ana based. Furthermore, staff specifically reached out to Santa Ana vendors to encourage their participation in bids. A total of five bids were received. No bids were received from any Santa Ana contractors. As legally required, a Notice Inviting Bids was advertised in the Orange County Register newspaper on May 13, 2024. The project was also advertised in PlanetBids from May 13, 2024 through June 4, 2024. Bids were received electronically via PlanetBids on June 4, 2024. Bid Results Summary Rank Bidder's Name Location Base Bid 1 CJ Concrete Construction Santa Fe Springs, CA 1,433,200 2 1 E General Engineering Beaumont, CA 1,512,370 3 Hardy & Harper, Inc. Lake Forest, CA 1,525,000 4 All American Asphalt Corona, CA 1,543,187 5 Vido Samarzich, Inc. Rancho Cucamonga, CA 1,578,650 A total of five bids were received and the lowest four were deemed responsive. CJ Concrete Construction submitted the lowest responsive base bid in the amount of City Council 27 — 2 8/20/2024 Legacy Square Transportation Improvements August 20, 2024 Page 3 $1,433,200 (Exhibit 3). As specified in the bid documents, the lowest bid shall be determined on the basis of the Base Bid. Based on the bid analysis and a contractor's reference check, staff recommends awarding the construction contract to CJ Concrete Construction for the base bid of $1,433,200 (Exhibit 4), excluding the alternate bid. CJ Concrete Construction has previously performed work as a prime contractor in the City of Santa Ana within the last five years, most recently completing the Civic Center Plaza Sidewalk Improvement Project. A reference check was made with staff and good reviews were received regarding the quality of work performed by the contractor on previous projects. Project Delivery To deliver a complete project, in addition to the construction contract, the estimated total project delivery cost includes construction administration, inspection, and testing, along with an allowance for contingencies to account for unexpected or unforeseen conditions. Construction administration and inspection includes construction management and implementation of the labor requirement. As indicated in the Cost Analysis (Exhibit 5) and as summarized in the table below, the estimated total construction delivery cost of the project is $1,798,079. Project Item Total Construction Contract Bid Amount $1,433,200 Construction Administration, Inspection, Testing $221,559 Project Contingencies $143,320 TOTAL ESTIMATED CONSTRUCTION DELIVERY COST $1,798,079 ENVIRONMENTAL IMPACT Pursuant to the California Environmental Quality Act (CEQA), the recommended actions are exempt from further review pursuant to Sections 15301(c) of the CEQA guidelines for projects consisting of highways and streets, sidewalks, gutters, bicycle and pedestrian trails, and similar facilities. The proposed project continues to meet these parameters of the CEQA guidelines, and Categorical Exemption Environmental Review No. ER-2023-92 was filed for Project 22-9001. (Exhibit 6) FISCAL IMPACT As indicated in the Cost Analysis, the estimated total construction delivery cost of the project (22-9001) is $1,798,079, which includes construction, contract administration, inspection, testing, and authorized contingencies of $143,320. Funds were available in the Affordable Housing AHSC Program, Improvements Other Than Buildings account (41818832-66220) in FY 23-24. Therefore, a proposed carryover of unspent funds will be presented to the City Council in September for approval of carryovers to FY 24-25. City Council 27 — 3 8/20/2024 Legacy Square Transportation Improvements August 20, 2024 Page 4 EXHIBIT(S) 1. Location Map 2. Project Concept Drawing 3. Bid Proposal 4. Construction Contract 5. Cost Analysis 6. CEQA — Categorical Exemption Environmental Review No. ER-2023-92 Submitted By: Nabil Saba, P.E., Executive Director — Public Works Agency Approved By: Alvaro Nunez, City Manager City Council 27 — 4 8/20/2024 „) 1ar=1' , a �1lI� .1111�1� �1A ORANGE \ SANTA ANA 3�0 cO Pry Project No. 22-9001: o i tJ Legacy Square Transportation Improvements PUBLIC WORKS AGENCY Project T City Council 27 — 5 8/20/2024 �1A ORANGE \ SANTA ANA 3�0 cO Pry Project No. 22-9001: o i tJ Legacy Square Transportation Improvements PUBLIC WORKS AGENCY Project T City Council 27 — 5 8/20/2024 EXHIBIT 2 EXISTING CONDITIONS SANTIAGO STREET (NO BIKE LANE) o WORM 9' S. 16' Sidewalk tree Parking lane No turn lane 14' Center turn lane EMIEW 16' 8' 9' No turn lane Parking lane Sidewalktree PROPOSED CONDITIONS SANTIAGO STREET (WITH CLASS II BIKE LANE) in 9' 8' S' 3' 10' 10' 10' Sidewalk tree Parking lane No turn lane Centerturn lane No turn lane -j- WRoN M 3' S' 8' 9' Parking lane Sidewalk tree LEGACY SQUARE TRANSPORTATION IMPROVEMENTS SANTIAGO STREET I City Council 27-6 0A ISPEED CUSHIONS I I I III o I � a I 70C f � I I }QR" �I I I I I MORTIMER ST Cm3IW17-1 (MOD21 30'X30' W6 (15) 24'X24' SIGN B II I II ---+ s II � II I I II it II I I MINTER ST BPEED W17-I(MOD) 30'X30' BUMP WIG-7P 24'X12' SIGN A y G%61AL NOTES CONSIRKTION_NOTES II L 4L SIRPIR -AAA DDNFglY IC III IT. or SANTA AAI. SIAq.q PLAN RD NS P151µL AS-4f SPEED HUMP CIISNRNS PER CITY DF SANTA ANA Q SID ft. AID.PSN AND WI,, v. i.DOCn III. ALL 11EUSADR .—Ls NOI [orLRED N 1NE CITY SINGARD ft" L %I%C-N. 10 IxE PPI.i[ARII x[AgNs . LINE M JIIIE DE CµEDRu VEIT L OR REFRESH TIERNSWLASTIC LECENDISh AS SKNN. CRW CE $T.q.q aLAxS A. sPlculcAimrrs. ELKFNL LEGEND P ANCE55ARY- - 2. 4L P.NEu[N1 LEGENp5. 51CPBARsiERCss.Al.s SHALL K TIERARPL.SIK. ALL OINIR 1-0 SHALL BE CITR�EO IKRADPLA5IC. Q PROTECT N PLACE. E S. AL CRDSSF-. -T LNNES.AND LESEIOS SIYu BE NAIE NINESS TRIED 0141-E. A. Aµ f. 5F.x5 IANDT[D BE MI . a TNEF TNT PEIF—ILO AND 6µYRAEEC A[Tµ TD 1. QMTALL PER SRP.SI AND TN ISL PER CITY OF SANTA ANA STD.PLAN A(,, I -A AND 150I-R. PDSILIIL[IS 311 1— µL SALYALED 5A915 SWAG BE -WEIED 1111 k Cp ATE YW0. CON-T CITY NWIENLI(E Al 1-611-SS11 — IB DELMRI. S. MESS NDIDD )TNERRISE. 4L UAT LINES PULL K KACED AS 0.05E AS POSSNERE ©MSALL RED CURB Al 51gRLl TIT 1K BACK V ADJACENT B or .µ. d1 S TL Not C—. To IN, LANWC AR[A DF THE WEE C— RANP. 6. 4L C-,CTK A —.PIKA[xf —E, ArR RASED Pw .1 uAR.[RS EWII BL P,.vCD EYER F ql SHC.N IN IK KAK ITT,— CY'I— Aq ..K.T MRWMDS SNALLJBE D NENT DIE ID RE—JA 6 OINDANY�D SDD�BY�OPWD. i CDIFLE]DR s T 7. ALL FIE RIMANT L-TRxs SRNL SE MARRED NIN SIDE BEILECITIE — PER SII_ ANA s1D.KAN ND.0 p g E IL AN EEN-9 AND PPEDDEETTP aE— Su4, BE 3F THE TYPE AM ELIVESCENT �' E i.W[R PRDBI $CRE.S SHALL BE RRF➢ Ru µl SGA xS1Y1.lR16 "LE REVISIONS LExERx.R. ND casrRNLTIOA ISPEED CUSHIONS I I I I I I PORTER ST REFERENCES *.e'suWPLis1oA $�K �• 1iviD`s1 ��I DEVIEaD r0R .mIIPA —Eoz CONSTRLICTAB fLITv. �'x�. RR..riv SP EC. D, 2L SMF: c. I.A. A -L — EN Ea RCE Ew1N s m2I �ARTN cAARCII FIANcp.L clnl ORRNEFA R[F xD.A 66219 D und ry Underground Service Alert a (u�7 TWO WORKING DAYS BEFORE YOU DIG 2.11. NOTICE TO CONTRACTOR wnwxT ro.sSEAeL, eIu .r1s xo criAs E.:°o'Rerii�s' � .sr nv a CHANPIELIZA71ONcPLAN EEAw� TA04 5TH STREET MORfrHi STFlffT TO LACY STREET PUBLIC YVORKS AGENCY C I TY OF SANTA ANA WES a a 25 11 City Council 27 — 7 8/20/2024 9' 18' CITY RIGHT OF WAY II I m W II W fl /1 co CITY RIGHT OF WAY - --------------- J N N STREET A N T — \ C �S.JJ L T1 1 CITYIGHT OF WAY III III 9' II Ia' CITY RIGHT OF WAY II I I II II II II D CITY RIGHT OF WAY I BULB -OUT I -B A CITY RIGHT OF WAY p 0 N a N CITY RIGHT OF WAY ;B A I BULB -OUT I CITY RIGHT OF WAY o o - SAW CUT AND REMOVE EXISTING PCC SLAB. CURB, o do CUTTER. CROSS GUTTER. AND/OR SIDEWALK AND a RECONSTRUCT AS SHOWN ON PLAN. — SAW UT AND REMOVE EXISTING AC PAVEMENT, PCC PAVEMENT, SUBGRADE, AND/OR AB AND RECONSTRUCT AS SHOWN ON PLAN. ALL WORK SHALL BE DONE WITHIN CITY RIGHT OF WAY. APPROVED° DATE- CITY OF SANTA ANA 0 CITY ENGINEER DATE REVISION PUBLIC WORKS AGENCY TYPICAL PLAN HALF STREET BULB OUT NUMBER SHT. I OF City Council 27 — 8 8/20/2024 EXISTING CURB -TO -CURB STREET CROSSING WIDTH CITY RIGHT C.L. CITY RIGHT OF WAYOF WAY 9' 20' 20' 9' a4m 6.1 N I ZA REDUCED CURB -TO -CURB STREET CROSSING WIDTH CITY RIGHT C.L. CITY RIGHT OF WAYOF WAY 16' 13' 13' 16' "1'131 a14m: LEGEND: o - PORTLAND CEMENT CONCRETE. - THICKNESS OF STRUCTURAL SECTION SHALL BE BASED ON TRAFFIC INDEX AND SOIL ""R"" VALUE DETERMINATIONS AGGREGATE BASE.. BUT IN NO CASE SHALL BE LESS THAN 3" OF ASPHALT CONCRETE OVER G" OF OR 6" THICK CLASS 560-A-3250 PCC. - ALL WORK SHALL BE DONE WITHIN CITY RIGHT OF WAY. - A FULL DEPTH ASPHALT CONCRETE PAVEMENT DESIGN IN LIEU OF AGGREGATE BASE MAY BE SUBMITTED TO THE CITY ENGINEER FOR APPROVAL. - WHERE TRANSVERSE ROADWAY SLOP IS USED, THE CROWN HEIGHT SHALL BE NOT LESS THAN 0.40' ABOVE THE GUTTER FLOW LINE ON THE HIGH SIDE. - SEE STD. PLAN NO. 1104 FOR SIDEWALK DETAIL. - SEE STD. PLAN NO. 1101 FOR CURB AND GUTTER DETAIL. - MAXIMUM STREET GRADE BREAK SHALL BE 0.5% OTHERWISE VERTICAL CRUVE SHALL BE USED. APPROVED= DATE= CITY ENGINEER DATE I REVISION CITY OF SANTA ANA o ioo" PUBLIC WORKS AGENCY TYPICAL BULB OUT pU.N CROSS SECTION NUMBER SHT. I OF City Council 27 — 9 8/20/2024 EXHIBIT 3 CITY OF SANTA ANA PROPOSAL 111tOJEC`I" NO.: 22.-9001 LEGACY SQUARE TRANSPORTATION IMPROVEMENTS BID PROPOSAL TO: CITY COUNCIL OF TIDE CITY OF SANTA ANA FROM: CJ CONCRETE CONSTRUCTION, INC REQUIREMENT: The undersigned Kidder declares that they have carefully examined the location of the proposed work, that they have examined the Contract Documents in its entirety and hereby proposes to furnish all material and do all the work required to complete the said work in accordance with said plans (if any) and the specifications for the unit price(s) or lump sum(s) set forth in the tollowing schedule: Item Description Qty Unit Unit Price Anio► nt 1 Unclassified L; cavation 480 CY $ $ 100.00 49,000.00 2 AC Pavement 360 'IN $ $ 250.00 90,000.00 3 Asphalt Rubber 1-tot Mix 110 TN $ t 10,00 $ 14,300.00 ......... 4 Exposed Aggregate PCC Median 260 SF $ 40.00 $ 10,400.00 5 PCC Curb Ramp 7,000 SF $ $ 35.00 245,000.00 b PCC Curb & Gutter (Tyke A-2-6) 340 LF $ 80.00 $ 27,200.00 7 PCC Sidewalk (T=4") 5,800 SF $ 13.00 $ 75,400.00 8 PCC Cross -Gutter (W=6') 1,800 SF $ $ 30.00 54,000.00 9 PCC Alley Apron 430 SF $ 20.00 $ 8,600.00 10 PCC Driveway Approach 200 SF $ $ (Commercial T 8") 17.00 3,400.00 11 PCC Pavement 2 CY $ $ Root Shave EA 300.00 600.00 12 18 $ $ 7,000.00 126,000.00 13 Adjust Water Valve France & Cover 7 EA $ $ to Finished Grade 800.00 5,600.00 14 Adjust hater Meter France & Cover 3 EA $ $ to Finished Grade 800.00 2,400.00 City Council P-1 of P-V — 10 8/20/2024 CITY OF SANTA ANA PROPOSAL PROJECT" NO.: 22-9001 LEGACY SQUARE TRANSPOWFATION IMPROVEMENTS Item Description Qty Unit Unit Price Anionnt 15 Adjust No. 6 Pull Box to Finished 10 EA $ 3,000.00 $ 30,000.00 Grade 16 Adjust Sewer Cleanout to Finished 5 LA $ 1,000.00 $ 5,000.00 Grade 17 Paint Curb Red 300 LF $ 30.00 $ 9,000.00 18 Project Advertisement Sign 4 LA $ $ I,500.00 6,000.00 19 Landscaping 1 LS $ $ 50,000.00 50,000.00 20 Irrigation I LS $ 80,000.00 80,000.00 2I Park Bench I LS $ $ 2,000.00 2,000.00 22 Park Sign 1 LS $ $ 800.00 800.00 23 Electrical Meter Pedestal i EA $ $ 7,000.00 7,000.00 24 Traffic Improvements I LS $ $ 300,000.00 300,000.00 25 Install Street Light Pole 5 EA $ 33,500.00 $ 167,500.00 26 Install 348 AWG Conductor Wires* 500 LF $ $ 8.00 4,000.00 27 Install T' PVC Conduit* 400 LF $ $ 85.00 34,000.00 28 Pothole Street Light Pole Location 5 EA $ $ 5,000.00 I,000.00 29 Pothole Utilities Not Shown on Plan 5 EA $ 1,000.00 $ 5,000.00 30 60-Day J.andscaping & Irrigation I I'S $ 8,000.00 $ 8,000.00 Maintenance Period 31 Construction Permit I LS $13,000 $ 13,000.40 City Council P-2 oCP-07 —11 8/20/2024 CITY OF SANTA ANA PROPOSAL PROJEC'I, NO.: 22-9001 LEGACY SQUARE TRANSPORTATION IMPROVEMENTS TOTAL BASE BID (1-31) The lowest responsible bidder shall be selected based on Sthe total base bid. The City reserves the right to award the Base Bid, and any, all, or none of the add -alternate bid items (if any). The quantity for this bid item is shown for bid coniparison only. 'I"his bid item shall not be subject to the "25%" limit as stated in Section 7-3.5 of the Standard Specifications. The actual amount for this item will be dictated by the actual quantity used, and the Agency reserves the right to increase or decrease the quantity of this item accordingly. j This bid item is considered a Specialty Item per Section 3-2 of the Standard Specifications. TIME .FOR COMPLETION OF IMPROVEMENTS AND LIQUIDATED DAMAGES The undersigned bidder hereby proposes to complete the Work for the total base bid amount shown above, within number (120) working days after the commencement date stated in the Notice to Proceed. Upon issuance of the Notice to Proceed, Contractor shall immediately place order for long -lead time items (i,e.; Street lights, irrigation cabinet, irrigation controller, and irrigation coniponents). The liquidated damages amount, in lieu of the amount specified in Subsection 6-9 of the Standard Specifications, shall be $1,730 per calendar day. Name oflairai CJ CONCRETE C0 S�TRUCTION, INC. Signature of BIDDER Title JOHN SARNO / tREVENT (If an individual, so state. If a firm or co -partnership, state the firm name and give the names of all individual co-partners composing the firm. If a corporation, state legal name of corporation, and names of President, Secretary, Treasurer and Manager, thereof.) City Council P-3 of P-21?0 — 12 8/20/2024 EXHIBIT 4 CITY OF SANTA ANA CONSTRUCTION CONTRACT PROJECT22-9001 LEGACY SQUARE TRANSPORTATION IMPROVEMENTS This CONSTRUCTION CONTRACT is made and entered into this 20s' day of August, 2024 by and between the City of Santa Ana, California, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California (hereinafter "CITY"), and CJ Concrete Construction (liereinafter "CONTRACTOR"). WITNESSETH: The CITY and the CONTRACTOR, foi• the consideration hereinafter named, mutually agree as follows: CONTRACTOR agrees to perform all the work and furnish all the materials at its own cost and expense necessary to construct and complete in a good and workmanlike manner and to the satisfaction of the City Engineer of the CITY, the Legacy Square Transportation Improvements Project (hereinafter referred to as the "WORK OF IMPROVEMENT") identified in and in accordance with the Contract Documents prepared by the City's Public Works Agency and approved by the City Council. 2. The complete Construction Contract consists of the "Contract Documents" as defined by the Standard Specifications for Public Works Construction and which include the following: • Notice Inviting Bids • Information to Bidders • Bid Proposal • Bid Bond • Contract Form • Contract Bonds • General Provisions • Special Provisions • Technical Provisions and Project Plans • Community Workforce Agreement • Appendices In case of conflict between the Contract Documents, the precedence of documents sliall be as established in the Standard Specifications for Public Works Construction. 3. CITY agrees to pay and CONTRACTOR agrees to accept in full payment to complete the WORK OF IMPROVEMENT the sum total amount not to exceed One Million Four Hundred Thirty -Three Thousand Two Hundred Dollars and No Cents ($1,433,200.00), as set forth and identified in the BID PROPOSAL, which is attached hereto and incorporated herein as Exhibit "A," and in accordance with Section 2-7.1 of the Greenbook: Standard Specifications for Public Works Construction. The BID PROPOSAL contains a schedule of unit price(s) or lump sum(s) based on approximate quantities only, and the City does not expressly or by implication agree that the actual amount of work will correspond therewith, but reserves the right to increase or decrease the amount of any class or portion of the work or to omit portions of the work as may be deemed necessary or advisable. rev,0910EMy Council 27 — 13 P89* 24 4. CONTRACTOR agrees to complete the WORK OF IMPROVEMENT within the time specified in the Time for Completion of Improvements section of the BID PROPOSAL (Exhibit "A") including commencing construction within the timeframe therein specified after issuance of a Notice to Proceed. 5. The CONTRACTOR will pay, and will require all subcontractors to pay, all employees on the WORK OF IMPROVEMENT a salary or wage at least equal to the prevailing salary or wage established for such work as set forth in the wage determinations for this work in accordance with applicable State and Federal law. G. If applicable, the CONTRACTOR shall adhere to the CITY'S Community Workforce Agreement (CWA), a pre -hire collective bargaining agreement, which establishes the labor relations policies and procedures for CONTRACTOR to follow in the crafts persons employed to complete the WORK OF IMPROVEMENT as more fully described in the CWA. The CWA may be found on the City's website at: littp://www.santa-ana.org/pwa/docuiiients/CWAZdf 7. CONTRACTOR shall, after award of this Contract, furnish two bonds to be approved by the CITY, one in the amount of One Hundred Percent (100%) of the Contract price, to guarantee the faithful performance of the work (Performance Bond), and one in the amount of One Hundred Percent (100%) of the Contract price to guarantee payment of all claims for labor and materials furnished (Payment Bond). This Contract shall not become effective until such bonds are supplied to and approved by the CITY. 8. CONTRACTOR shall, prior to the release of the performance and payment bonds or the retention payment, furnish a warranty performance and payment bond (Warranty Bond). Said Warranty Bond shall also be required as a condition of project acceptance. For projects up to Five Hundred Thousand Dollars ($500,000), the Warranty Bond amount shall be the greater of Ten Thousand Dollars ($10,000) or Twenty Percent (20%) of the final contract price. For projects above Five Hundred Thousand Dollars ($500,000), the Warranty Bond amount shall be the greater of One Hundred Thousand Dollars ($100,000) or Ten Percent (10%) of the final contract price. 9. CONTRACTOR shall, after award of this Contract, furnish Certificates of Liability Insurance and Worker's Compensation Insurance as outlined in the General Provisions, to be approved by the CITY. 10. INDEMNIFICATION. To the fullest extent allowed by law, CONTRACTOR and its Subcontractors hereby agree to defend, indemnify, and hold harmless CITY, its City Council, boards and commissions, officers, agents, employees, representatives and volunteers (hereinafter collectively referred to as "Indemnitees"), through legal counsel acceptable to CITY, from and against any liability, claims, actions, costs, damages or losses, including reasonable costs and attorney's fees, for injury, including death to any person or damage to any property, arising directly or indirectly from, or in any manner relating to, any of the following: (i) Performance or nonperformance of the Work of Improvement by CONTRACTOR or its Subcontractors of any lower tier; (ii) Performance or nonperformance by CONTRACTOR or its Subcontractors of any lower tier, of any of the obligations under the Contract Documents; City Council 27 — 14 P-W12ta/=4 (iii) The construction activities of CONTRACTOR or its Subcontractors of any lover tier, either on the project site or on other properties; (iv) The payment or nonpayment by CONTRACTOR of any of its Subcontractors of any lower tier, for Work of Improvement performed on or off the project site; and (v) Any personal injury, property damage or economic loss to third persons related to and arising from the performance or nonperformance by CONTRACTOR or its Subcontractors of any lower tier, of the Work of Improvement. (vi) The indemnity obligations of Subcontractors provided by this Section shall be included in all subcontract documents issued by CONTRACTOR. Nothing in the Contract Documents shall be construed to give rise to any implied right of indemnity in favor of CONTRACTOR against CITY or any other Indeninitee. IN WITNESS WHEREOF, the parties hereto have executed this Construction Contract on the day and year first above written. ATTEST: JENNIFER L. HALL City Clerk APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: JO E MONTOYA Assistant City Attorney RECOMMENDED FOR APPROVAL: Saba Digitally signed by Nabil Nd b i I d b a Date: 2024.08.05 11:48:18 -07,00, NABIL SABA, PE Executive Director Public Works Agency CITY OF SANTA ANA ALVARO NUNEZ Acting City Manager CONTRACTOR: CJ CONCRETE CONSTRUCTION AMA: : JOfIN SARNO TITHE. PRESIDENT City Council 27 — 15 I'MOV2024 CITY Or SANTA ANA PROPOSAL PRO.I ECT N O.: 22-9001 LEGACY SQUARE TRANSPORTATION IMPROVEMENTS NTS AID PROPOSAL TO, CITY COUNCIL OF THE CITY OF SANTA ANA FROM: C.l CONCRETE CONSTRU REQUIREMENT - The undersigned bidder declares (list they have carefully examined the location of the Proposed work, that they have examined the Contract Documents in its entirety and hereby proposes to furnish all material and. do all the work required to complete the said work in accordance with said plans (if ally) and the specifications for the unit price{s) or lump sum(s) set forth in the following; schedule: Item Description Qty U111t Ur1It )Px•iee� Amount 1 Udlelassitied Excavation 480 CY $ 100,00 W w48,000.00 2 AC Nvement 360 'IN $ $ 2S0.00 90,000.00 3 Asphalt Rubber IIot Mix 110 T $�� 130.00 $ 14,300,00 4 Exposed Aggregate PCC Median 260 SF $ 40.60 $ 10,400,00 5 PCC Curb Ramp 7,000 SO $ $ 35,00 245,000.00 6 PCC Curti & Gutter (Type A-2-6) 340 LP $ 80.00 $ 27,200.00 7 PCC SidewRik (T=4") 5,800 SP $ 13.00 $ 75,400.00 8 PCC Cross -Gutter (W-6') 1,800 Sr $ $ 30.00 54,000.00 9 PCC Alley Apron 430 SF $ 20.00 $ 8,600.00 10 PCC Driveway Approach 20U SF $ (Commercia( T`=8") 17.00 3,400.00 L L PCC Pavement m 2 CY $ S 300,00 600,00 12 Root Shave � � mm 18 EA $ 7,000.00 126,000.00 13 Adjust Water Valve Frame & Cover 7 EA $ S to Finished Grade 800.00 5,600.00 14 Adjust \Yates Metes > same cC! Cover 3 EA to Finished Grade 800.00 2,400.00 City Council 27 — 16 8/20/2024 CITY OF SANTA ANA PROPOSAL PROJECT N O.: 22-900 ! LEGACY SQUARE TRANSPOICI ATION IMPROVEMENTS Will _ Ueset•illlion t: (Y _ Unit Unit Price Amount )5 Adjust No. G Pull Box to Finished 10 -EA $ 3,OOUAO $ 3U,000.00 Grade 16 Adjust Sewer Cle'anout to Finished 5 GA $� $ Grade 1,000.00 5,000.00 17 Paint Curb Red 300 LP $ 30,00 $ 9,000.00 18 Project Advertisement Sign 4 EA�— $ $ 1,500.00 6,000.00 19 Landscaping --- I LS $ $ 50,000.00 50,000.00 20 Irrigation I LS $ $ 80,000.00 80,000.00 21 Park Bench I LS $ - 2,000.04 2,000.00 22 Park Sign I LS $ $ 800.00 800.00 23 Electrical Ibicter Pedestal I EA $ 8 7,000.00 7,000.00 24 Traffic Improvements _ 1 LS $W� $ 340,004.00 300,000.00 25 Install Street Light Pole $ LA $ 33,500.00 $ 167,500.00 _ 26 Install 3#8 AWG Conductor Wires` 500 LF $ $ 8.00 '1'000.00 27 Install 2" PVC Conduit" 400 Ll~ $ $ 85.00 34,000.00 28 Pothole Street Light Pole Location 5 EA $ $ 5,000.00 1,000.00 29 Pothole Utilities Not Shown on Plan 5 EA $ 1,000.00 $ 5,000.00 30 60-nay I-andscaping & Irrigation _ I I,5 $ 8,000.00 $ 8,000.00 Maintenance Period 31 Construction Permit I LS $13,000 $ 13,000.06 City Council 27 — 17 8/20/2024 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 22-9001 LEGACY SQUARE TRANSPORTATION IMPROVI MEM'S TOTAL BASE BID (1-31) $ 1 �. o33 2-60 Q Tice lowest responsible bidder shall be selected based on Sthe total base bid. The City reserves the right to award the Base Bid, and any, all, or none of the add -alternate laid items (if any). 1'hc quantity for this bid item is shown for bid comparison only. This bid item shall not be subject to the "25%" limit as stated in Section 7-3.5 of the Standard Specifications. '1'he actual amount for this item will be dictated by the actual quantity used, and the Agency reserves the right to increase or decrease the quantity of this item accordingly, This bid ite►n is considered a Specialty Item per Section 3-2 of the Standard Specifications, DIME FOR COMPLETION OF IMPROVEMEWTS AND LIQUIDATED DAMAGES The undersigned bidder hereby proposes to complete the Work for the total base bid amount shown above, within number 124 working days after the con]meticement date stated in the Notice to Proceed. Upon issuance of the Notice to Proceed, Contractor shall immediately place order for long -lead time items (i.e.; Street lights, irrigation cabinet, irrigation controller, and irrigation components). I'lie liquidated damages amount, in lieu of the amount specified in Subsection 6-9 of the Standard Specifications, shall be $1,730 per calendar day, Nance of Firm CJ CONCRETE CONS RUCTION. 1NC. Signature of BIDDER Title JOHN SARNO / tl?E�VENT (If an individual, so state. If a firm or co -partnership, state the firm name and give the navies of all individual co-partners composing the firm. If a corporation, state legal name of corporation, and nanics of President, Secretary, Treasurer and Manager, thereof) City Council 27 — 18 8/20/2024 EXHIBIT 5 COST ANALYSIS CONSTRUCTION OF PROJECT NO. 22-9001: Legacy Square Transportation Improvements Construction Contract $ 1,433,200.00 Contract Administration, Inspection and Testing $ 221,559.00 Contingencies $ 143,320.00 TOTAL ESTIMATED CONSTRUCTION COSTS $ 1,798,079.00 City Council 27 — 19 8/20/2024 EXHIBIT 6 AUG 0 8 2023 ORANGE COUNTY CLERkRECORDER DEPARTMENT MAYOR SY. C - G DEPUTY Valerie Amezcua — MAYOR PRO TEM Jessie Lopez COUNCILMEMBERS Phil Bacerra Johnathan Ryan Hernandez David Penaloza Thal Viet Phan Benjamin Vazquez PUBLIC WORKS AGENCY 20 Civic Center Plaza (M-36) P.O. BOX 1988 -Santa Ana, California 92702 (714) 647-5690 - Fax (714) 647-5823 www.senta-ana.org NOTICE OF EXEMPTION CITY MANAGER Kristine Ridge CITY ATTORNEY Sonia R. Carvalho CLERK OF THE COUNCIL Jennifer L. Hall FILE® AUG 0 8 2023 ORANGE COUNTY CLERK-R£COROER DEPARTmEar BY:_ C - DEPUTY From the Requirements of the California Environmental Quality Act (CEQA) To: COUNTY CLERK From: City of Santa Ana County of Orange Public Works Agency P.O. Box 238 20 Civic Center Plaza (M-36) Santa Ana, CA 92702 Santa Ana, CA 92702 Project Title: Legacy Square Transportation Improvement Project Number(s): 22-9001 Project Location: Various Locations in the Transit Zoning Area City: Santa Ana County: Orange ER Number: ER-2023-92 Date of Approval• 06/08/2021 Project Description: Installation of bike lanes class Il, speed cushions, park improvement, sidewalk repair/construction, crosswalks, curb extenslons, and curb ramps. Applicant Name: City of Santa Ana, Public Works Agency Applicant Address: 20 Civic Center Plaza M-36 Santa Ana, CA 92702 Name of Public Agency Approving Project: City Council Name of Agency Carrying Out Project: Public Works Agency Exempt Status: ❑ Ministerial (Sec. 15268) ❑ Declared Emergency (Sec. 15269 (a)) ❑ Emergency Project (Sec. 15269 (b through e)) ❑ General Rule (Sec. 15061(b)(3)/(5)) 30 - 0(� 10 9 J 202z3 - 00-6 3 Recorded In Official Records, Orange County Hugh Nguyen, Clerk -Recorder I1JI�l III 1[111111 I1111 111J�Il 11111 � I1111 NO FEE *$ R 0 0 1 4 4 9 5 9 8 6$ 202385000694 3:18 pm 08/08/23 ❑ Statutory Exemption: 477 Vitlndx Z01 E1 Categorical Exemption: 15301(c) 0.00 60.00 0.00 0.00 0.00 0.00 0.00 0.00 Reason(s) Why Project Is Exempt From CEQA: 15301(c) Exhibits highways and streets, sidewalks, gutters, bicycle and pedestrian trails, and similar facilities. City Contact: Anderson Chrysostomo Title: Associate Engineer Telephone: (714) 719-0015 Signature _ Date: -0 8L0 0170 Z 3 SANTA ANA CITY COUNCIL Valerie Amezcua Jessie Lopez Thai Viet Phan Benjamfn Vazquez Phil Bacerra Johnathan Ryan Hernandez David Penaloza Mayor Mayor Pro Tem, Ward3 Ward 1 Ward 2 Ward Ward5 WardB ry rl in.1 —1/1 1.1119 Public Works Agency www.santa-ana.org/public-works Item # 28 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report August 20, 2024 TOPIC: Construction Management at Risk Services for the State Building Demolition Project AGENDA TITLE Agreement with Bernards Bros, Inc., for Construction Management at Risk Services for the State Building Demolition Project (Project No. 24-9002) (Non -General Fund) RECOMMENDED ACTION Authorize the City Manager to execute an agreement with Bernards Bros, Inc. to perform Construction Management at Risk services for the State Building Demolition Project in the amount of $765,481, with a contingency of $84,519, for a total amount of $850,000, for a two-year term beginning August 20, 2024 and expiring August 19, 2026, with an option for two, one-year extensions (Agreement No. A-2024-XXX). GOVERNMENT CODE §84308 APPLIES: Yes DISCUSSION The Public Works Agency (PWA)'s Engineering Division is responsible for the administration and oversight of all Capital Improvement Projects in the city. The City received grant funding from the State for the acquisition of the State Building and modernization of the Civic Center. On December 28, 2023, the City of Santa Ana purchased the State Building located at 28 Civic Center Plaza (Exhibit 1) and is proposing to demolish the building with the intent of facilitating future development. The State Building consists of an 8-story concrete structure with 191,832 square feet, approximately 183 ft. by 131 ft. To facilitate an expedited timeline for demolition, a Construction Manager at -Risk (CMAR) delivery method was recommended. This will allow for a single entity to prepare the plans, publicly bid the project, and oversee the demolition. The demolition will be implemented in two phases. The first includes the pre - demolition planning including environmental analysis and preparation of plans and specifications for the demolition. At the completion of the construction document phase, Bernard Bros, Inc. will prepare a Guaranteed Maximum Price (GMP) for the demolition and site work. Staff will negotiate with Bernard Bros, Inc. and, if mutually agreed upon, will return to the City Council with a recommendation to amend the contract for the phase two demolition and site work scope. The first phase is expected to be completed in six months, with the second phase finishing by December 2025. City Council 28-1 8/20/2024 Construction Management for the State Building Demolition Project August 20, 2024 Page 2 In addition to preparing Engineering plans and documents for the demolition of the State Building, the scope of work includes the preparation of engineering plans to remove portions of the Civic Center Plaza to accommodate the demolition and provide a secure, contiguous space so pedestrians can maneuver throughout the Civic Center. As an interim condition, the demolished space will be converted to accommodate parking spaces along with irrigation, landscaping, and security lighting. On April 3, 2024, the Public Works Agency released Request for Qualifications (RFQ) No. 24-032, by which it sought a qualified firm to provide CMAR services with special skills and knowledge in the field of construction management, engineering, demolition, landscape architecture, and administrative services to develop and provide engineering plans for the State Building Demolition project. The RFQ was advertised on the City's online procurement management and publication system, with proposals due June 12, 2024. One proposal was received and evaluated by a selection committee. Based on criteria outlined in the RFQ, the following summarizes the responding firm. Firm city Rank Bernards Bros, Inc. I Irvine, CA 1 Staff recommends awarding an agreement (Exhibit 2) to Bernards Bros, Inc. to provide full construction document services upon the scope of work and selection criteria outlined in RFQ 24-032. Bernards Bros, Inc., will provide general construction management at risk services including engineering drawings, constructability review, and public bidding services. Their proposal demonstrated the firm has the necessary capacity and expertise to complete the required services. The firm's rates are reasonable and within industry standards, the team qualifications are appropriate for this project, and the proposal was determined to provide the best value for the City. ENVIRONMENTAL IMPACT There is no environmental impact associated with the action. FISCAL IMPACT Funds in the amount of $850,000 were available in the Modernization of SA Civic Center, Buildings and Building Improvements account (41818833-66200) in FY 2023- 24. Therefore, a proposed carry-over of unspent funds will be presented to the City Council in September for approval of carry-overs to FY 2024-25. EXHIBIT(S) 1. Location Map 2. Consultant Agreement with Bernards Bros, Inc. Submitted By: Nabil Saba, P.E., Executive Director — Public Works Agency Approved By: Alvaro Nunez, City Manager City Council 28 — 2 8/20/2024 SANTIIAA/A�\NA RFQ 24-032 DEMOLITION OF THE STATE BUILDING N.T.S LEGEND PROJECT LIMITS 1 OF 1 CONSULTANT AGREEMENT BETWEEN THE CITY OF SANTA ANA AND BERNARDS BROS, INC FOR CONSTRUICTION MANAGEMENT SERVICES FOR THE STATE BUILDING DEMOLITION THIS AGREEMENT is made and entered into this 20th day of August, 2024 by and between Bernards Bros, Inc, ("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 City desires to retain a consultant having special skill and knowledge in the field of construction management services for the demolition of the State Building located at 28 Civic Center Plaza. B. Consultant represents that Consultant is able and willing to provide such services to the City. C. In undertaking the performance of this Agreement, Consultant represents that it is ki-iowledgeable in its field and that any services performed by Consultant 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 Consultant 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 Consultant's Proposal, attached hereto as Exhibit A, and incorporated herein by this reference. 2. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services for City, the rates and charges identified in Exhibit B, attached hereto and incorporated by reference. The compensation for this Agreement shall be comprised of $765,481 with a contingency amount of $84,518 for a total not to exceed amount of $850,000 during the term of this Agreement, including any extension periods exercised under Section 3. b. Payment by City shall be made within 45 days (forty-five) days following receipt of proper invoice evidencing work performed, subject to City accounting procedures. 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. City Council 28 — 4 8/20/2024 3. TERM This Agreement shall commence on the date first written above for a two (2) year term with the option for the City to grant up to two _(2) one_(ll ,_ear renewals, exercisable by a writing by the City Manager and the City Attorney, unless terminated earlier in accordance with Section 16, below. 4. PREVAILING WAGES Consultant 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, Consultant agrees to fully comply with such Prevailing Wage Laws. Consultant 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 Consultant shall, during the entire term of this Agreement, be construed to be an independent contractor andnot 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 Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant 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. OWNERSfHP 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 Consultant under this Agreement ("Documents & Data"). Consultant shall require all subcontractors to agree in writing that City is granted a non-exclusive and perpetual license for any Documents & Data the subcontractor prepares under this Agreement. Consultant represents and warrants that Consultant has the legal right to license any and all Documents & Data. Consultant makes no such representation and warranty in regard to Documents & Data which were provided to Consultant 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. 2 City Council 28 — 5 8/20/2024 7. INSURANCE Consultant shall procure and maintain for the duration of the contract, and for 5 years thereafter, insurance against claims for injuries to persons or damage to property which may arise from or in connection with the performance of the work hereunder by the Consultant, its agents, representatives, employees, and sub -contractors. MINIMUM SCOPE AND LIMIT OF INSURANCE Coverage shall be at least as broad as: 1. Commercial General Liability (COL). Insurance Services Office (ISO) Form CG 0001 covering CGL on an "occurrence" basis, including products and completed operations, property damage, bodily injury and personal & advertising injury with limits no less than $5,000,000 per occurrence and $10,000,000 in the aggregate. Umbrella and excess insurance policies can be used to meet the required limits. 2. Automobile Liability (AL). Insurance Services Office Form CA 0001 covering Code l(any auto), with combined single limit no less than $5,000,000. 3. Workers' Compensation (WC). As required by the State of California, with statutory limits, and Employers' Liability insurance with a limit of no less than$1,000,000 per accident, policy, employee for bodily injury or disease. 4. Builder's Risk (Course of Construction) (BR). Utilizing an "All Risk" (Special Perils) coverage form, with limits equal to the completed value of the project and no coinsurance penalty provisions. 5. Surety Bonds as described below. b. Professional Liability (PL) (if Design/Build). With limits no less than $1,000,000 per occurrence or claim, and $2,000,000 policy aggregate. 7. Pollution Legal Liability and/or Errors and Omissions (PLL). With limits no less than $1,000,000 per occurrence or claim, and $2,000,000 policy aggregate. These insurance requirements shall not in any way act to reduce coverage that is broader or includes higher limits than the minimums shown above. If Consultant maintains broader coverage and/or higher limits than the minimums shown above, City shall be entitled to the broader coverage and/or the higher limits maintained by Consultant. Insurance provided under this contract shall not contain any restrictions or limitations which are inconsistent with City's rights under this contract. Self -Insured Retentions Self insured retentions must be declared to and approved by City. At the option of City, Consultant shall cause its insurer(s) to reduce or eliminate such self -insured retentions as respects City; or Consultant shall provide a financial guarantee satisfactory to City guaranteeing payment of losses and related investigations, claim administration, and defense expenses. Other Insurance Provisions The insurance policies are to contain, or be endorsed to contain, the following provisions: City Council 28 — 6 8/20/2024 City of Santa Ana, its City Council, officers, officials, employees, agents, and volunteers are to be covered as additional insureds on Consultant's CGL and AL policies with respect to liability arising out of work operations performed by or on behalf of Consultant including materials, parts, and equipment furnished in connection with such work or operations and automobiles owned, leased, hired, or borrowed by or on behalf of Consultant. Additional insured status can be provided in the form of an endorsement to Consultant's insurance. 2. For any claims related to this project, Consultant's insurance coverage shall be primary insurance coverage as respects City of Santa Ana, its City Council, officers, officials, employees, agents, and volunteers. Any insurance or self-insurance maintained by City of Santa Ana, its City Council, officers, officials, employees, agents, or volunteers shall not contribute with it. 3. A severability of interest provision must apply for all the additional insureds, ensuring that Consultant'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. 4. Consultant hereby grants to City a waiver of subrogation which any insurer of said Consultant may acquire against City of Santa Ana, its City Council, officers, officials, employees, agents and volunteers" by virtue of the payment of any loss under such insurance. Consultant agrees to obtain any endorsement(s) that may be necessary to affect this waiver of subrogation, but this provision applies regardless of whether or not City has received a waiver of subrogation endorsement from any insurer(s). 5. Each insurance policy required by this clause shall provide that coverage shall not be canceled, suspended, voided, reduced in scope or in limits, non -renewed by the carrier, or materially changed except after thirty (30) days prior written notice has been given to City and ten (10) days prior written notice of policy cancellation or non -renewal due to non-payment. 6. Certificate Holder on each Evidence of Insurance certificate shall be: City of Santa Ana, 20 Civic Center Plaza, M-28, Santa Ana, CA 92701. The name and location of project must be indicated in the Description of Operations section of each certificate. Claims Made Policies If any coverage required is written on a claims -made coverage form: 1. The retroactive date must be shown, and this date must be before the execution date of the contract. 2. Insurance must be maintained and evidence of insurance must be provided for at least five (5) years after completion of work. 3. If coverage is cancelled or non -renewed, and not replaced with another claims -made policy form with a retroactive date prior to the contract effective, or start of work date, Consultant must purchase extended reporting period coverage for a minimum of five (5) years after completion of worlc. 4. A copy of the claims reporting requirements must be submitted to City. 4 City Council 28 — 7 8/20/2024 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. Waiver of Subrogation Consultant hereby agrees to waive rights of subrogation which any insurer of Consultant may acquire from Consultant by virtue of the payment of any loss. Consultant agrees to obtain any endorsement that may be necessary to affect this waiver of subrogation. The Workers' Compensation policy shall be endorsed with a waiver of subrogation in favor of City for all work performed by Consultant, its employees, agents and sub -contractors. Verification of Coverage Consultant 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). A statement on a Certificate(s)/Evidence of Insurance will not be accepted in lieu of the actual endorsements required herein. Failure to obtain the required documents prior to the work beginning shall not waive Consultant'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. Sub -Contractors Consultant shall require and verify that all sub -contractors maintain insurance meeting all requirements stated herein, and Consultant shall ensure that City is an additional insured on insurance required from sub -contractors. For CGL coverage, sub -contractors shall provide coverage with a form at least as broad as CG 20 38 04 13. Failure to Maintain Insurance Coverage If Consultant, for any reason, fails to maintain insurance coverage which is required pursuant to this contract, the same shall be deemed a material breach of contract. City, at its sole option, may terminate this contract at any time and obtain damages from Consultant resulting from said breach. 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 circumstances. S. INDEMNIFICATION Consultant 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 Consultant, its subcontractors, agents, employees, or other persons acting on its behalf which relates to the services described in section I 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 5 City Council 28 — 8 8/20/2024 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 Consultant 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 Consultant'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 Consultant. 9. INTELLECTUAL PROPERTY INDEMNIFICATION Consultant 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 Consultant to the City pursuant to this Agreement. 10. RECORDS Consultant shall keep records and invoices in connection with the work to be performed under this Agreement. Consultant 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 Consultant under this Agreement. All such records and invoices shall be clearly identifiable. Consultant 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. Consultant 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 Consultant under this Agreement. 11. CONFIDENTIALITY If Consultant receives from the City information which due to the nature of such information is reasonably understood to be confidential and/or proprietary, Consultant agrees that it shall not use or disclose such information except in the performance of this Agreement, and further agrees to exercise the sane 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 Consultant disclosed in a publicly available source; (c) is in rightful possession of the Consultant 0 City Council 28 — 9 8/20/2024 without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Consultant without reference to information disclosed by the City. 12. CONFLICT OF INTEREST CLAUSE Consultant 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. 13. NON-DISCRIMINATION Consultant 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. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 14. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Consultant, 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 Consultant. 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 Consultant 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 Consultant, Consultant 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 consultants retained by City. 16. TERMINATION This Agreement may be terminated for any reason by the City upon thirty (3 0) days written notice of termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant compensation for all services performed by Consultant prior to receipt of such notice 7 City Council 28 — 10 8/20/2024 of termination, subject to the following conditions: As a condition of such payment, the Executive Director may require Consultant 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 Consultant consents to the City's use thereof for such purposes as the City deems appropriate. b. Payment need not be, made for work which fails to meet the standard of performance specified in the Recitals of this Agreement. 17. WAIVER No waiver of breach, failure of any condition, or any right or remedy contained in or granted by the provisions of this Agreement shall be effective unless it is in writing and signed by the party waiving the breach, failure, right or remedy. No waiver of any breach, failure or right, or remedy shall be deemed a waiver of any other breach, failure, right or remedy, whether or not similar, nor shall any waiver constitute a continuing waiver unless the writing so specifies. 18. JURISDICTION - VENUE This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement, 19. PROFESSIONAL LICENSES Consultant shall, throughout the term of this Agreement, maintain all necessary Iicenses, 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. Consultant 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. MISCELLANEOUS PROVISIONS b. 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. C. The Agreement is the final and complete agreement and any prior or contemporaneous agreements for similar services between the parties is superseded by this Agreement. This clause shall not apply where the Parties are currently engaged and Consultant is providing services not contemplated by this Agreement. 8 City Council 28 —11 8/20/2024 d. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. 21. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by fax or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M-30) P.O. Box 1988 Santa Ana, CA 92702-1988 Fax: 714- 647-6956 With courtesy copies to: Nabil Saba Executive Director, Public Works Agency City of Santa Ana 20 Civic Center Plaza (M-21) P.O. Box 1988 Santa Ana, California 92702 Fax: 714- 647-5635 To Consultant: Ahmad Sierawan Bernards Bros, Inc. 2569 McCabe Way, Suite 100 Irvine, CA 92614 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 9 City Council 28 — 12 8/20/2024 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. IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: Jennifer L. Hall City Clerk APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By. . Jose ontoya Assistant City Attorney RECOMMENDED FOR APPROVAL: N a b i l Saba Date: 202 08.05 1 59:02 Saba _07'00' �, -Nabil Saba Executive Director Public Works Agency 10 CITY OF SANTA ANA Alvaro Nunez Acting City Manager CONSULTANT: Saw LOLN Sam Laham (Jul 31, 20241GA4 PDT) Sam Laham Vice President City Council 28 — 13 8/20/2024 EXHIBIT A City Council 28 — 14 8/20/2024 LM; BEETNAMOS City of Santa Ana State Building Demolition Project RFQ NO: 24-032 PREPARED FOR: _ PREPARED BY: Ross Annex Bernards 3132 M-36, 20 Civic Center Plaza 2569 McCabe Way, Suite 100 Santa Ana, CA 92701 l Irvine, CA 92614 Attention: Jason Gabriel T: 949.461.3650 www.bernards.com ARRIYERSARY City Council 28 — 15 8/20/2024 :qw BERNANDS 0 r City of Lake Forest Civic Center I Lake Forest, CA City Council 28 — 16 8/20/2024 M7 S Services Provided . SERVICES FOR PRECONSTRUCTION ACTIVITIES Bernards' approach during the design and construction phases has always been about maintaining an unyielding commitment to partnerships and communication. Our projects are implemented with the stakeholders' goals in mind — early planning, clearly defined roles, and a team -focused approach streamline our processes and enable us to deliver the highest level of service during all phases of a project. Bernards has formed a team of experienced professionals to perform, design, engineering, planning, surveying, estimating, scheduling, on -site safety management, and more to successfully complete the Demolition of State Building at 28 Civic Center Plaza. In the following paragraphs, we describe the services to he provided to meet the needs of the City. Survey, CEQA, Historical, ASCE 41 Structural Evatuation Our team shall prepare a topographic and boundary survey that will extend approximately 30' from the Limit of Work and will show perimeter of adjacent structures and spot elevations of building entries at grade and at plaza level. We shall use an underground utility tocating to locate as many other sub -surface utilities as is possible. California Environmental Quality Act (CEQA) documentation for the project will be prepared, including a historical analysis of the site/building and provide a report stating the historical significance of the building. Along with this we will prepare a technical memorandum substantiating the Categorical Exemption (CE) class for the project. As part of the Technical Memorandum our team will perform short-term emissions modeling for the proposed project using Ca[EEMod which would assess potential air quality and greenhouse gas impacts from building demolition. The results of the modeling will be appended to the Technical Memorandum. An architectural historian, meeting the Secretary of the Interior's Professional Qualifications Standards for architectural history, will conduct an architectural history evaluation of the "State Building" at 28 Civic Center Drive Plaza in Santa Ana, California. This study will be conducted pursuant to compliance with CEQA and Section 106 of the National Historic Preservation Act (NHPA) and its implementing regulations in 36 CFR 800, for the evaluation of a historic -age building. The evaluation will also be prepared pursuant to the City of Santa Ana's requirements for historical resources under CEQA. RFQ NO.: 24-032 I State Building Demolition Project City Council 28 — 17 8/20/2024 ASCE 41 Structural Evaluation and Scoping Our team will provide an ASCE 41 Tier 1 and Tier 2 analysis for the determination of the ability for the intended plaza structure to be partially removed and to determine what potential strengthening would be required. We will analyze the hazardous material documentation Provided by the City to determine if any additional testing is required and will develop a mitigation plan for this material. Utilizing as -built plans provided by the City, project base drawings of the State Building to be demolished and the Plaza will be prepared. Base drawings will consist of floor plans, RCPs, and exterior elevations as well as the capping and rerouting of any building water, sewer, and irrigation lines. The demolition plan wit[ include the main switchgear as well. We shall prepare up to three alternate site Layouts for new interim parking, vehicular, pedestrian circulation, and landscape for review and selection of the preferred alternative by the Working Client Group. This new design will include outdoor rated switchgear and distribution system to power new outdoor Lighting as well as design for an outdoor rated UPS/invertor system for emergency lighting. Our team will meet with the Authorities Having Jurisdiction to scope out the permit procedures and submission requirements. Estimate With a full understanding of the current market, cost of materials, and capabilities of the local trade contracting community, our estimating team can provide the City of Santa Ana with estimates within 2% of the actual cost. Initial Budget/ Control Estimate Upon completion of the drawings, Bernards' in-house experts prepare an initial estimate, or control estimate, to develop a baseline budget. Progressive Estimate To prevent rising costs and scope creep while staying true the project's goals, Bernards can prepare progressive estimates based on the design's current state and compare it to the control estimate. Any deviations are discussed and resolved as a team. Value Engineering and Constructability Reviews From innovative material applications to strategic construction methods, we explore cost -saving alternatives while maintaining aesthetic intent and project objectives. Elevating Projects and Reducing Costs with the Value Engineering Process In partnership with the ownership, design teams, and trade partners, we evaluate the life cycle costs of building components, systems, and materials to provide design options that balance the budget. Improving Document Quality with Constructability Reviews No single factor influences the number and value of field changes more than the quality of the contract documents. Bernards collaborates with the design team to enhance the project drawings and minimize RFIs by eliminating errors, ambiguities, and items vulnerable to interpretation. Evaluations in the preconstruction phase result in controlled quality during construction and closeout for clear, consistent, and complete contract documents. Publicly Bidding Out Construction Trades by Division Bernards publicly bids out the project by developing a targeted list of the local area's most qualified contractors. We cult this list from our in-house data base of thousands of trade contractors that meet Bernards' standards of quality, safety, and financial stability. Pursuant to City of Santa Ana Charter Section 421 and Santa Ana Municipal Code Section 2-600 through 2-809, Bernards will be responsible for 1) developing the advertisement draft, featuring the project's description and pre -bid conference dates; and 2) assisting with the advertisement's placement in local trade and DBE industry publications. The project team assists our Estimating department with phone calls to obtain 3 to 5 competitive bids per trade, resulting in the highest quality performance for the best prices. RFQ NO.: 24-032 i State Building Demolition Project City Council 28 — 18 8/20/2024 Maintaining Schedule After meeting with the ownership and project stakeholders to confirm hard dates, Bernards develops a preliminary schedule that outlines the overall durations and sequence of work. As the design progresses, Bernards expands the schedule to a Master Critical Path Method (CPM) Baseline Schedule, fully responsive to operational constraints and staff activities. Our CPM schedules sequence activities in phases, enabling us to accomplish the scope of work within the required timeframe and budgetary constraints. During preconstruction and continuing into the demolition phase, Bernards monitors progress, assesses it against the baseline schedule, and inputs weekly progress updates. The updated schedule is then issued to the ownership team, design team, and trade contractors monthly. Job Site Safety Bernards installs a culture of safe practices in every building we build, every worker we employ, and every site we manage. We strive for a record of ZERO accidents by creating and maintaining a safe working environment. Bernards is committed to hiring trade partners who demonstrate past safety performance with an EMR less than 1.0, In partnership with our Estimating department, our Risk and Safety committee screen contractors by requiring the completion of a Safety Prequalification Form. Job Site Orientation When each trade partner mobilizes on site, Bernards conducts a safety orientation before commencing the work. Site -specific hazards, safe -haven evacuation Locations, and code of conduct is reviewed. If any safety violations or misconduct occurs, we are not hesitant to permanently remove individuals from the job site. We always strive to be good neighbors and strictly prohibit inappropriate conduct towards any member of client staff or their community members. At the conclusion of the presentation, all attendees sign the orientation form and receive a hard hat sticker as visible verification of their attendance and agreement to adhere to all safety practices. Regular Safety Meetings & Training Verifications Regular safety meetings promote increased awareness of hazards and vigilance for unsafe practices. ALL trade partners must hold regular safety meetings with their crews and provide specialized training required for their scope of work. Bernards requires that each trade partner provide proof of regular safety meetings and specific training attendance. Site Logistics Bernards relays our initial site logistics plan to the ownership team prior to its implementation for feedback regarding fencing, security, and access. This collaborative process refines the site's logistics for mutually beneficial pedestrian traffic. Jobsite cleanliness is an essential element of safety, and we require that all areas remain neat and clean at the end of each day. Trash receptacles are hauled off as soon as they are full to prevent accumulation, and we regularly patrol jobsite perimeters to assure a clean presentation. Our team will oversee the removal of the following items: a. Structure and Footings b. Pedestrian Bridge c. Portions of the Plaza Fountain Items that will be protected in place include: a. Access to City Hall loading dock. b. Access to Federal Building, 34 Civic Center Plaza, parking. c. Parking structure, east of the State building. d. Utility main lines serving other structures in the Civic Center Plaza. e. Covered parking and plaza structure outside of the City --owned parcel, With demolition complete and items protected in place, our team will repair all plaza areas affected by demolition followed by the grading and paving of the site to accommodate parking, along with minor Landscape and irrigation. RFQ NO.: 24-032 1 State Building Demolition Project City Council 28 — 19 8/20/2024 Project Approach Bernards believes in Thinking Beyond the Building in order to understand the priorities o the client. This begins early in the Preconstruction phase with a deliberate push to achieve alignment on the needs, requirements, and preferences of the program and is followed by a disciplined documentation of all project requirements and the achievement of each. We implement a systematic and organized approach to project management -This includes rigorous planning, meticulous documentation, and thorough risk assessment to anticipate and address potential challenges. We also emphasize transparency and accountability, providing regular progress updates and detailed reports. By adhering to our philosophy of responsiveness and efficiency, we nurture enduring partnerships with our clients, built on trust, mutual respect, and the shared commitment to delivering exceptional results. 6 RFQ No.: 24-032 i State Building Demolition Project City Council 28 — 20 8/20/2024 www.Bernards.com 0 0 Q U N ounce - 21 8/20/2024 7 L Cost Proposal ROLES FOR THE SERVICE PROVIDED: Construction Management, Cost Estimating, including Value Engineering, Life Cycle Cost, Coordination - Bernards Civil Engineering and Surveying - IMEG Structural Engineering - KPFF Landscape Architecture - Terrain Integration Electrical Engineering, - MEP Cal CEQA/Historical Assessment - ECORP Structured Cabling & Visual Surveillance Systems - SFMI Environmental Graphics -Group 4 Gootechnical Consulting Services- Ninyo & Moore Hazardous Material survey of the State Building and Plaza as well as abatement plans- Ninyo & Moore I. SERVICES PROVIDED: PHASE 1 --SURVEY, CEQA, HISTORICAL, ASCE 41 STRUCTURAL EVALUATION, SCOPING 1.1 Construction Management Services Construction manager will manage and supervise its Consultants including the processing of plans and specifications. Construction manager will advertise and administer the competitive bidding process including the development of the Guaranteed Maximum Price for the cost of the work. In addition, it will provide cost estimates to ensure the project and value engineering to ensure the project is within its budget. 1.2 Survey 1 1.1. Survey. Consultant shall prepare a topographic and boundary survey that will extend approximately 30' from the Limit of Work and will show perimeter of adjacent structures and spot elevations of building entries at grade and at plaza level. The Consultant shall use an underground utility locating to locate as many other sub -surface utilities as is passible within the limits of the technology. 1.3 CEQA Services The Consultant will prepare California Environmental Quatity Act (CEQA) documentation for the Project, including a historical analysis of the site/ building and provide a report stating the historical significance of the building. RFQ NO.: 24-032 1 State Building Demolition Project City Council 28 — 22 8/20/2024 The proposed project is likely exempt from CEQA under Class 32: in -Fill Development Projects (CEQA Guidelines Section 15332). The City of Santa Ana would serve as the CEQA Lead Agency. nical Memorandum in Su The Consultant will prepare a technical memorandum substantiating the Categorical Exemption (CE) class. It is anticipated that the proposed project is exempt from CEQA under Class 32 (In -Fill Development Projects). Class 32 consists of projects characterized as in -fill development meeting the conditions described below: (a) The project is consistent with the applicable general plan designation and all applicable general plan policies as welt as with applicable zoning designation and regulations. (b) The proposed development occurs within city Limits on a project site of no more than five acres (c) The project site has no value as habitat for endangered, rare or threatened species. (d) Approval of the project would not result in any significant effects relating to traffic, noise, air quality, or water quality. (e) The site can be adequately served by all required utilities and public services. The memorandum will include substantiating language describing how the proposed project meets conditions (a) through (e) above. In response to condition (c) publicly available information on biological resources at the site will be collected using public databases including California Department of Fish and Wildlife's (CDFW) California Natural Diversity Data Base (CNDDB), California Native Plant Society's Electronic Inventory, range maps for special -status species, the National Wetland Inventory, and other documentation pertinent to the region. The search will identify the approximate locations of known or expected sensitive biological resources and habitats located with respect to the project site. The memorandum will also address exceptions (a) through (f) of CEQA Guideline 15300.2. The exceptions include: (a) Location (b) Cumulative Impact (c) Significant Effect (d) Scenic Highways (e) Hazardous Waste Sites (f) Historical Resources In response to exception (f) a records search at the Eastern Information Center (EIC) located on the University of California, Riverside campus wit[ be performed. The records search will identify the locations and extent of previous surveys conducted within one mile of the project area and wit[ determine if there are any known cultural resources (i.e., prehistoric or historic archaeological sites or historic -period features) located within or near the project area. In addition, the records search wilt identify resources listed on or determined eligible for listing on the National Register of Historic Places (NRHP) and/or the California Register of Historical Resources (CRHR) located within or near the project area. A search of the Sacred Lands File will also be requested from the Native American Heritage Commission (NAHC) in Sacramento. The search will identify any known sensitive or sacred Native American resources located within or near the project area. A paleontological records search and literature review will be conducted with the Western Science Center (WSC). The records search will include a review of known fossil localities in the project vicinity and an assessment of the potential for the project area to contain buried paleontological resources based on geologic maps of the region. A summary letter report will be prepared to document the results of the records search. 1.3.2 Air Quality.Study As part of the Technical Memorandum the Consultant will perform short-term emissions modeling for the proposed project using CaIEEMod which would assess potential air quality and greenhouse gas impacts from building demolition. The results of the modeling will be appended to the Technical Memorandum. RFQ No.: 24-032 1 State Building Demolition Project City Council 28 — 23 8/20/2024 The proposed project is likely exempt from CEQA under Class 32: In -Fill Development Projects (CEQA Guidelines Section 15332). The City of Santa Ana would serve as the CEQA Lead Agency. The Consultant will prepare the Exemption Form from Appendix E of the CEQA Guidelines. This form will be filed at the Orange County Clerk's office and the State Clearinghouse. A receipt for the filing will be obtained from both of these entities. 1.4 HISTORICAL ANALYSIS An architectural historian, meeting the Secretary of the Interior's Professional Qualifications Standards for architectural history, will conduct an architectural history evaluation of the "State Building" at 28 Civic Center Drive Plaza in Santa Ana, California. This study will be conducted pursuant to compliance with CEQA and Section 106 of the National Historic Preservation Act (NHPA) and its implementing regulations in 36 CFR 800, for the evaluation of a historic -age building. The evaluation will also be prepared pursuant to the City of Santa Ana's requirements for historical resources under CEQA. The Consultant will complete a records search with the South Central Coastal Information Center (SCCIC) of the California Historical Resources Information System to determine if the building has been previously recorded or evaluated. If the building has been previously recorded and evaluated, the Consultant will prepare an update to the record and evaluation as appropriate to ensure the eligibility of the building is current and the building maintains integrity. The Consultant will next conduct a site visit to document the building on appropriate DPR 523 series forms pursuant to the Office of Historic Preservations guidelines for documenting historic properties. The Consultant will conduct archival research, using sources including county records, historical aerials, historical USGS topographic maps, and assessor property records in an attempt to gather historical property and building information relevant to the construction and use of the building. Archival research may also be conducted at local museums, archives, or historical societies identified during initial research which may contain significant relevant information pertaining to the building or its use through history. In addition, archival research may be conducted at the California State Archives, which maintains thousands of State government records, and may contain records for the State Building, The Consultant will utilize information gathered from the site visit and archival research to prepare a significance evaluation of the building. The evaluation technical report will contain appropriate historic and regulatory context, an outline of the methods for archival research and evaluation, a detailed description of the building, and a recommendation of eligibility of the building for the NRHP and CRHR, as well as consideration under Local eligibility criteria. The Consultant's Senior Architectural Historian will also participate in project meetings, offer historical resources support, and additional assistance as requested. 1.5 ELEVATED PLAZA STRUCTURAL ASCE 41 TIER 1 AND TIER 2 ANALYSIS: The Consultant wilt provide an ASCE 41 Tier 1 and Tier 2 analysis for the determination of the ability for the intended plaza structure to be partially removed and to determine what potential strengthening would be required. 1.6 SCOPING 1.6.1 Architectural Scone: Utilizing as -built plans provided by the City, the Consultant shall prepare project base drawings of the State Building to be demolished and the Plaza within the limit of work. Base drawings will consist of floor plans, RCPs, and exterior elevations. Consultant shall prepare a site demolition plan. Consultant shall prepare up to three alternate site layouts for now interim parking, vehicular, pedestrian circulation, and landscape for review and selection of the preferred alternative by the Working Client Group. Consultant shall meet with the AHJs. along with Bernards to scope out the permit procedures and submission requirements. 1.6.2 Civil Scope: Consultant shall prepare Site Utility Demolition Plan, Site Control Plan with parking lot striping, pavement details, and ADA designated parking stalls for preliminary parking Lot with approximated 24,000 sf. (183ft by 131 ft). RFO NO.: 24-032 i State Buitding Demotitlon Project City Council 28 — 24 8/20/2024 In addition, consultant shall prepare rough and precise grading, drainage plan with grading sections, Erosion Control Plan, WQMP and storm water system in compliance with NPQES, and Site Utility Plan. Consultant to coordinate parking lot reconstruction and site improvements for damaged area during demolition including landscape features with horizontal and vertical controls as necessary. .1 6.3 Landscape 5co Consultant shall prepare landscape planting and irrigation plans. Consultant shall review existing conditions related to the partial demolition of the plaza structure, bridge element and building demolition. Consultant shall provide and ASCE 41 Tier 1 and Tier 2 analysis for the determination of the ability for the intended plaza structure to be partially removed and to determine what potential strengthening would be required. Consultant shalt provide input criteria to the demolition subcontractor as to the structural integrity of the State Building. Consultant shall prepare the structural design of the new guard rail system and edge of slab treatment to for the demolished Plaza edge and edge of slab treatment to the building north of the plaza where the bridge is removed. Consultant shall provide structural design for landscape features (such as walls, seating, or other improvements 1.6.5 Electrical Scope: Consultant shall provide demolition plan including the main switchgear of the building. Consultant shall provide design for a new outdoor rated switchgear and distribution system to power new outdoor Lighting, outdoor equipment such as fountains, and new potential EV charging stations. Consultant shall coordinate with Electrical Utility on possible changes to the existing service, Consultant shall provide lighting design, lighting control, title 24 compliance forms, and emergency Lighting photometrics. Consultant shall provide design for an outdoor rated UPS/invertor system for emergency lighting. Consultant shall provide design for EVs if required. 16 6 Plumbing Scope Consultant shall show the capping and rerouting of any building water, sewer, irrigation lines, coordinating with Civil Engineering. 1.6.7 Low Voltage Design Consultant shall provide Communications Engineering for Structured Cabling and Public Wi-Fi Infrastructure. Consultant shall provide Electronic Security Systems for Visual Surveillance Systems with camera coverage of plaza and parking facilities connected to evidence gathering recording systems with provisions for Local and remote realtime monitoring. 1.6.8 Geotechnical Consulting Services Consultant will evaluate subsurface conditions following demolition in order to provide recommendations for remedial grading and backfilling of voids from demolition activities. This will include Laboratory testing of expected soil import to fill to ground level. Consultant will perform necessary subsurface exploratory drilling to determine infiltration rates for design of proposed stormwater infiltration system. Consultant will provide recommendations for structural pavement design for parking lot. RFru NO.: 24-032 i State Building Demolition Project City Council 28 — 25 8/20/2024 1.6.9 Hazardous Building Material Survey Consultant will prepare asbestos -containing material (ACM) survey in accordance with local South Coast Air quality management District Rule 1403 requirement and the United States Environmental Protection Agency (EPA) National Emission Standards for Hazardous Air Pollutants regulations for asbestos. In addition, consultant will prepare Lead -based paint (LBP) survey to evaluate the applicability of the lead in construction standard Title 8 California Code of Regulations section 15321 Survey reports will document the current conditions of samples ACMs, LBPs, and estimated quantities of hazardous building materials from the building in preparation for the planned demolition. Items to be surveyed and sampled to accessible and visible to the best of the consultants ability and does not include underground or encased materials. PHASES 2-4: DESIGN/ENGINEERING Phases: After Scoping of the Project in Phase 1 - the Project will proceed through the following phases. Drawings will be prepared for submission to the City for review, Comments will be responded to in the following phase: Phase 2 Design Development 60% Phase 3 Plan Check Submission 90% Phase 4 Permit Back Check Submission 100% The scope includes: Demotition: The Consultant shall prepare drawings identifying the extent of demolition of the State Building and portjons of the Plaza, The Consultant will provide limited structural inputs to be used by the Task 2 Demolition Subcontractor for their use in determining means and methods of demolition. Permits related to the means and methods of demolition will be obtained through deferred approvals by the to be selected demolition subcontractor. Procedures for safe conduct of the work in the work zone will also be part of the means and methods, which wilt be obtained through deferred approvals by the to be selected demolition subcontractor. PHASE 5: Bidding: The Consultant shalt support Bernards in bidding the project. Schedule The Consultants propose to complete these tasks within the 6 month period suggested in the RFQ. The cost for all the service provided listed above is $765,4B1 Please see attached fee schedule and hourly rate. RFO NO.: 24-032 1 State Building Demolition Project City Council 28 — 26 8/20/2024 EXI3IBIT B City Council 28 — 27 8/20/2024 m w W 0 V Qw a`� N 2�a N viwwNNc. q E � U LU v qy ci H N N •J N Q C (O °I L5 i4. W a b , H c M C ✓A� M d' N N �-.. yy V) LU W N W C N' N W N W d °g rii w c (g � f r. w V � o c� w s e�i E 7 Q w In O V U f0 -. N a IO a N a [0 a 19 a - City Council 28 — 28 8/20/2024 MW An; BE/RNARDS CLASSIFICATION RATES: CMARE Classification Titles Hourly Rate Accounting $85.00 Assistant Project Manager $107.00 Assistant Superintendent $107.00 BIM Services $161.00 Contract Administration $85.00 Estimator $102.00 Labor Compliance Manager $80.00 Lead Estimator $124.00 Operations Executive $218.00 Project Lngineer $77.00 Project Manager $130.00 Quality Control Manager $130.00 Safety Engineer $75.00 Scheduling Services $163.00 Senior Estimator $146.00 Senior Project Engineer $86.00 Senior Project Manager $164.00 Skilled Labor $109.00 Superintendent $130.00 RFO. NO.: 24-032 I State Building Demolition Project City Council 28 — 29 8/20/2024 A A r H IT ECTURIE P4ANfMINC, INC Classification Titles Hourly Rate Principal in Charge $270.00 Principal $260.00 Associate $240.00 Project Manager $205.00 Architect Ill $200.00 Architect Ill $190.00 Architect 1 $185.00 Architectural Staff III $175.00 Architectural Staff 11 $165.00 Architectural Staff 1 $155.00 Interior Designer II / Planner 11 $165.00 Interior Designer I / Planner 1 $155.00 Project Support $130.00 - $250.00 Consulting Principal $330.00 RFO NO.: 24-032 1! State Building Demolition Project City Council 28 — 30 8/20/2024 ECORP ConsuIt'ing, Inc. ENVIRONMENTAL (-0\St1J.TA%1'i Classification Titles Hourly Rate Principal V $400.00 Principal IV $335.00 Principal III $285.00 Principal II $245.00 Principal 1 $230.00 Professional XI $245.00 Professional X $225.00 Professional IX $205.00 Professional VIII $190.00 ProfessionalVll $175.00 Professional VI $165.00 Professional V $155.00 Professional IV $145.00 Professional III $135.00 Professional 11 $125.00 Professional 1 $115.00 Technician IV $110.00 Technician 111 $105.00 Technician lI $95.00 Technician 1 $85.00 Project Admin 111 $125.00 Project Admin 11 $105.00 Project Admin 1 $95.00 RFQ NO.: 24-032 I State Building Demolition Proiect City Council 28 — 31 8/20/2024 MEP CALIFORNIA ENGINEERING Classification Titles Hourly Rate Principal $260.00 Associate $235.00 Sr Project Manager $205.00 Project Manager $195.00 Principal Designer $185.00 Sr Engineer $185.00 Engineer II $160.00 Senior Design / BIM Lead $150.00 Engineer 1 $135.00 Designer II / BIM Associate $130.00 Designer 1 $115.00 Administration / Clerical $90.00 RFO. NO.: 24-032 1 State Building Demolition Project City Council 28 — 32 8/20/2024 ITff Classification Titles Hourly Rate Principal in Charge $290.00 Sr Project Manager $235.00 Project Manager $215.00 Project Engineer $180.00 Design Engineer $165.00 Lead Modeler $190.00 Modeler $165.00 Administrative Support $110.00 RF4 No.: 24-032 i State Building Demolition Project City Council 28 — 33 8/20/2024 Classification Titles Hourly Rate Principal Consultants / Engineers $210.00 Associates / Senior Engineers $185.00 Project Consultants / Engineers $170.00 Consultants / Engineers $150.00 Technicians / CAD / BIM $120.00 RFQ NO.: 24-G32 I State Building Demolition Project City Council 28 — 34 8/20/2024 jIV terrain N T E G It A 'r l 0 N LANDSCAPE ARCHiT£CTS iF; (EGRAIING WE np7S'C ENCE Or MGM -�L NNII,G, SWANADOW Classification Titles Hourly Rate Principal $180.00 Associate / Licensed Landscape Architect $150.00 Project Manager $135.00 Graphic Designer $120.00 AutoCAD / Draftsperson $96.00 Administration $75.00 RFQ NO.: 24-032 i State Building Demolition Project City Council 28 — 35 8/20/2024 Classification Titles Hourly Rate Senior Client Executive $300.00 Client Executive $255.00 Project Executive $240.00 Senior Project Manager 2 $230.00 Senior Project Manager 1 $210.00 Engineer / Landscape Archtiect of Distinction $230.00 Senior (Engineer/Landscape/Planner) 3 $220.00 Senior (Engineer/Landscape/Planner) 2 $205.00 Senior (Engineer/Landscape/Planner) 1 $185.00 Project (Engineer/Landscape/Planner) 2 $175.00 Project (Engineer/Landscape/Planner) 1 $165.00 Graduate (Designer / Surveyor) 2 $135.00 Graduate (Designer / Surveyor) 1 $115.00 Senior Land Surveyor 3 $180.00 Senior Land Surveyor 2 $170.00 Senior Land Surveyor 1 $160,00 Project Surveyor 2 $150.00 Project Surveyor 1 $145.00 Designer of Distinction $190,00 Senior (Designer / Crew Chief) 3 $180.00 Senior (Designer/ Crew Chief) 2 $170,00 Senior (Designer / Crew Chief) 1 $160.00 Project Designer / Coordinator / Sr Technician 2 $145.00 Project Designer I Coordinator I Sr Technician 1 $140.00 Designer 2 / Planner 2 / Technician 4 $130.00 Designer 1 / Planner 1 / Technician 3 $115.00 Design Technician 2/Technician 2 $110.00 Design Technician 1 /Technician 1 / intern $100.00 Senior Construction Administrator $165.00 Construction Administrator $145.00 GIS System Architect $130.00 GIS Analyst $120.00 Senior Virtual Design Coordinator $150.00 Virtual Design Coordinator $140.00 Senior Virtual Design Technician $130.00 Virtual Design Technician $105.00 Administrative Assistant $95.00 RFQ NO.- 24-032 I State Building Demolitlon Project City Council 28 - 36 8/20/2024 ffin "r 0 iirir'ta. h dcG A rr;� -.,nrr-r-!a. Sr;a :ns s.DnNIWi "!b. Classification Titles Hourly Rate Principal Engineer / Geologist / Certified Industrial Hygienist $210.00 Senior Engineer I Geologist / Environmental Scientist $200.00 Senior Project Engineer / Geologist / Environmental Scientist $195.00 Project Engineer / Geologist / Environmental Scientist $185.00 Senior Staff Engineer / Geologist / Environmental Scientist $170.00 Staff Engineer / Geologist / Environmental Scientist $155.00 GIS Analyst $130.00 Technical Illustrator / CAD Operator $110.00 Certified Asbestos / Lead Technician $195.00 Field Operations Manager $130.00 Nondestructive Examination Technician $125.00 Supervisory Technician $120.00 Special Inspector $115.00 Senior Technician $110.00 Technician $110.00 Information Specialist $90.00 Geotechnical/ Environmental/ Laborator Assistant $95.00 Data Processor $75.00 Concrete Coring Equipment (includes technician) $190.00 Anchor Load Test Equipment (includes technician) $190.00 GPR Equipment $180.00 Inclinometer $100.00 Hand Auger Equipment $80.00 Rebar Locator (Pachometer) $25.00 Vapor Emission Kit $65.00 Nuclear Density Gauge $12.00 X-Ray Fluorescence $70.00 PID/FiD $25.00 Air Sampling Pump $10.00 Field Vehicle $15.00 Expert Witness Testimony $450.00 RFa NO.: 24-032 I State Building Demolition Project City Council 28 - 37 8/20/2024 Bernard Bros Construction Services Agreement (CAO Final Audit Report Management 7.29.24) (002) 2024-07-31 Created: 2024-07-30 By: Emerson Frankston (EFrankston@santa-ana.org) Status: Signet! Transaction ID: CBJCHBCAABAAVH1QC2wjlahTjzCeehkgDIHYOzRVRFDg "Bernard Bros Construction Management Services Agreement CAO 7.29.24) (002)" History Document created by Emerson Frankston (EFrankston@santa-ana.org) 2024-07-30 - 5:15:10 PM GMT 17� Document emailed to slaham@bernards.corn for signature 2024-07-30 - 5:15:38 PM GMT Email Viewed by slaham@bernards.com 2024-07-30 - 5:17:02 PM GMT 6a Signer slaham@bernards.com entered name at signing as Sam Laham 2024-07-31 - 11:14:57 PM GMT &G Document e-signed by Sam Laham (slaham@bornards.com) Signature Date: 2024-07-31 - 1 1:14:59 PM GMT - Time Source: server 0 Agreement completed. 2024-07-31 - 11:14:59 PM GMT Q Adobe Acrobat Sign Public Works Agency www.santa-ana.org/public-works Item # 29 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report August 20, 2024 TOPIC: Landscape Maintenance Services for Water Facilities and Corporate Yard AGENDA TITLE Agreement with Mariposa Landscape Inc. for Landscape Maintenance Services at Water Production Facilities and the Corporate Yard (Specification No. 24-018) (Non - General Fund) RECOMMENDED ACTION Authorize the City Manager to execute an agreement with Mariposa Landscape Inc. for landscape maintenance services for a three-year term beginning August 20, 2024 and expiring August 19, 2027, with a provision for two, one-year renewal options, for an aggregate amount of $695,760, including a contingency of $160,560, for the term of the agreement, including renewal options exercisable by the City Manager (Agreement No. A-2024-XXX). GOVERNMENT CODE §84308 APPLIES: Yes DISCUSSION The Public Works Agency (PWA)'s Water Resources Division is responsible for landscape maintenance at 26 water enterprise facilities, such as well sites, pump stations, and the Corporate Yard. Landscape maintenance services include mowing, weed mitigation and removal, trash removal and disposal, and irrigation system maintenance. In addition to these routine maintenance services, the proposed agreement includes repairs and renovations/beautification on an as -needed basis at the sites outlined in the RFP as requested by staff. To allow for such repairs and renovations/beautification projects, the proposed agreement includes a contingency amount of $160,560, or approximately 23% of the base compensation amount of the agreement. On March 11, 2024, PWA issued Request for Proposals (RFP) No. 24-018 (Exhibit 1) for landscape maintenance services at 26 water facilities and the City's Corporate Yard. The RFP was advertised on the City's PlanetBids website. Fourteen bids were received and six were determined to be responsible and responsive to the specifications and mei the City's requirements. Six proposals were evaluated by a selection committee based on the criteria as outlined in the RFP. Below is a summary of the RFP results. City Council 29 — 1 8/20/2024 Landscape Maintenance Services for Water Facilities and Corporate Yard Aug 20, 2024 Page 2 248 Vendors Notified 1 Santa Ana Vendor Notified 42 Vendors Downloaded the Bid Packet 14 Bids Received 1 Bid Received from a Santa Ana Vendor The list of the firms and each respective ranking is as follows: Firm City Rank Mariposa Landscapes, Inc. Irwindale, CA 1 Southern California Tree and Landscape Management, Inc. Torrance, CA 2 New Generation Landscape Management, Inc. San Bernardino, CA 3 Master Landscape & Maintenance, Inc. Westminster, CA 4 Greentech Landscape Inc. Whittier, CA 5 Greenfield Landscaping & Maintenance, Inc. Hacienda Heights, CA 6 Staff recommends awarding an agreement to Mariposa Landscape, Inc. for Landscape Maintenance services (Exhibit 2). The firm's rates are reasonable and within industry standard and the proposal was determined to provide the best value for the City. ENVIRONMENTAL IMPACT There is no environmental impact associated with the action. FISCAL IMPACT The current fiscal year funding is available in the FY 2024-25 budget and future fiscal year funding will be included in the proposed budgets for City Council consideration. Fiscal Accounting Fund Accounting Unit, Account Amount Year Unit — Description Description Account # 06017640- Water Water Utility Water $99,036 62300 Production & Supply Contract Services - 2024-25 Professional 08517138- City Yard City Yard Operations $40,116 62300 Operation Contract Services - Professional 06017640- Water Water Utility Water $99,036 2025-26 62300 Production & Supply Contract Services - Professional City Council 29 — 2 8/20/2024 Landscape Maintenance Services for Water Facilities and Corporate Yard Aug 20, 2024 Page 3 Fiscal Accounting Fund Accounting Unit, Account Amount Year Unit — Description Description Account # 08517138- City Yard City Yard Operations $40,116 62300 Operation Contract Services - Professional 06017640- Water Water Utility Water $99,036 62300 Production & Supply Contract Services - 2026-27 Professional 08517138- City Yard City Yard Operations $40,116 62300 Operation Contract Services - Professional Renewal Option 06017640- Water Water Utility Water $99,036 62300 Production & Supply Contract Services - 2027-28 Professional 08517138- City Yard City Yard Operations $40,116 62300 Operation Contract Services - Professional 06017640- Water Water Utility Water $99,036 62300 Production & Supply Contract Services - 2028-29 Professional 08517138- City Yard City Yard Operations $40,116 62300 Operation Contract Services - Professional TOTAL $695,760 EXHIBIT(S) 1. RFP 24-018 Landscape Services for Water Facilities and Corporate Yard 2. Mariposa Landscape Inc. Agreement Submitted By: Nabil Saba, P.E., Executive Director — Public Works Agency Approved By: Alvaro Nunez, City Manager City Council 29 — 3 8/20/2024 EXHIBIT 1 REQUEST FOR PROPOSAL NO.: 24-018 FOR LANDSCAPE MAINTENANCE SERVICES FOR WATER FACILITIES AND CITY CORPORATE YARD CITY OF SANTA ANA PUBLIC WORKS AGENCY 220 S Daisy Avenue, Building A Santa Ana, CA 92703 Kathia Reyes Project Manager (714) 647- 3319 Office KReyes2@santa-ana.org Issue Date: Deadline for Requests for Information Proposal Due Date: Projected Award Date: dr- Nabil Saba, PE Executive Director Public Works Agency Monday, March 11, 2024 Friday, March 22, 2024 Friday, April 5, 2024, 12:00 P.M. Tuesday, May 21, 2024 City Council 29 — 4 8/20/2024 (9) CITY OF SANTA ANA BACKGROUND..............................................................................................................................3 II. OVERVIEW OF PROJECT............................................................................................................3 III. SCOPE OF SERVICES..................................................................................................................3 IV. TERM OF AGREEMENT................................................................................................................3 V. MINIMUM QUALIFICATIONS........................................................................................................3 VI. RESPONSE TO RFP.....................................................................................................................4 VII. CERTIFICATIONS (ATTACHMENTS)...........................................................................................7 VIII. REFERENCES...............................................................................................................................7 IX. MINIMUM SCOPE AND LIMIT OF INSURANCE...........................................................................8 X. SELECTION PROCEDURES & CRITERIA....................................................................................9 XI. WITHDRAWALS...........................................................................................................................11 XII. GENERAL TERMS AND CONDITIONS.......................................................................................11 XIII. AWARD OF AGREEMENT..........................................................................................................16 XIV. IMPLEMENTATION ......................................................................................................................16 EXHIBITS Exhibits provided herein for Proposers' reference only. EXHIBIT I — SCOPE OF SERVICES EXHIBIT 11 — SITE LOCATIONS EXHIBIT III — SAMPLE AGREEMENT ATTACHMENTS A PROPOSER'S CERTIFICATION, PROPOSAL ITEM PRICING B REFERENCES C PROPOSER'S STATEMENT D NON -COLLUSION AFFIDAVIT E NON -LOBBYING CERTIFICATION F NON-DISCRIMINATION CERTIFICATION City Council 29 — 5 8/20/2024 CITY OF SANTA ANA I. BACKGROUND Incorporated in 1886, Santa Ana, a Charter City, established a Council -Manager form of government in 1952. The City Council is composed of seven members; the Mayor elected at large and six Council members elected by ward, who appoint the City Manager, City Attorney and Clerk of the Council. The City of Santa Ana (City) is a full -service City with a diverse population of approximately 335,000. The City's eleven agencies provide all the traditional municipal services, as well as water utility, library system, 20-acre zoo, City Jail, Police Department, and contracts with the Orange County Fire Authority for provision of fire services. The City employs 1,178 authorized full-time positions and has an annual citywide budget is $646 million, including the General Fund budget of $316 million. The City of Santa Ana is located 10 miles inland from the Pacific Ocean, 33 miles southeast of Los Angeles and 90 miles north of San Diego. The City, which is the county seat of Orange County, encompasses an area of approximately 27 square miles and is the 11th largest by population in California. The City of Santa Ana (City) is seeking Request for Proposals (RFP) for landscape maintenance services for Water Facilities, City Yard, and the Santa Ana Regional Transportation Center (SARTC). A detailed scope of work is included in EXHIBIT 1: SCOPE OF SERVICES of this RFP. SEE EXHIBIT I — SCOPE OF SERVICES Usage is not guaranteed. Execution of an agreement between the City and successful firm(s) and/or individual(s) does not guarantee work throughout the duration of the contract period. Numerous factors will be evaluated by the City in its delivery of project and assignments, including technical expertise required. The anticipated term of the agreement is for an initial period of three (3) years. The City may, at its discretion, extend the agreement with the same or more limited scope of required services for two (2) additional one (1) year periods, upon mutual agreement contingent upon City Council approval, or City Manager or City Attorney authorization, as appropriate. The total term of the awarded agreement shall not exceed five (5) years. V. MINIMUM QUALIFICATIONS Bidder must have a minimum five years' experience providing the same or similar services to public agencies. City Council 29 — 6 8/20/2024 (a CITY OF SANTA ANA A. SUBMITTAL INSTRUCTIONS It is the responsibility of the Proposer to ensure that any proposals submitted have been uploaded to PlanetBids prior to the RFP due date and time. Proposals, including all required sections and forms, shall be submitted electronically via the City's Bid Management System, PlanetBids. No other form of submittal will be accepted. PlanetBids will not accept late proposals and no exceptions shall be made. Proposers will receive an e-bid confirmation number with a time stamp from PlanetBids indicating that their proposal was submitted successfully. The City will only receive and consider those proposals that were transmitted successfully. Submit proposal online at: http://www.planetbods.com/ op rtal/portal.cfm?Com aannVID=20137. Proposer shall be solely responsible for informing itself with respect to the proper utilization of the bid management system, for ensuring the capability of their computer system to upload the required documents, and for the stability of their internet service. Failure of the Proposer to successfully submit an electronic proposal shall be at the Proposer's sole risk and no relief will be given for late and/or improperly submitted proposals. Proposers experiencing any technical difficulties with the bid submission process may contact PlanetBids at (818) 992- 1771. Questions of an operational nature may be directed to the City's assigned Buyer. Neither the City, nor PlanetBids, makes any guarantee as to the timely availability of assistance, or assurance that any given problem will be resolved by the bid submission deadline. Proposals shall NOT be sent via telegraphic, electronic, or facsimile means. All notifications, updates and addenda will be posted online on PlanetBids at https://www.planetbids.com/portal/portal.cfm?CompanylD=20137. Proposers shall be responsible for monitoring the site to obtain information regarding this solicitation. Failure to respond to required updates may result in a determination of a nonresponsive proposal. B. COMMUNICATION / CONTACT WITH CITY STAFF Unless otherwise authorized herein, Proposers who are considering submitting a proposal in response to this RFP, or who submit a proposal in response to this RFP, are only to communicate with the assigned Project Coordinator(s), and no other City staff about this RFP from the date this RFP is issued until a contract is awarded. The City will provide all official communication concerning this RFP in writing via the City's Bid Management System, PlanetBids. The City will not be responsible for or bound by any oral communication or any other information or contact that occurs outside the official communication process specified herein, unless confirmed in writing by the designated Project Manager(s). C. REQUEST FOR INFORMATION OR CLARIFICATION / QUESTIONS Questions regarding this RFP shall be submitted via PlanetBids. Responses to all questions will be posted on PlanetBids no later than the date and time shown at the schedule of key RFP dates on the cover page of this RFP. All prospective Proposers are advised to visit PlanetBids on a regular basis as responses may be posted earlier than the date above (if applicable). No verbal requests or responses will be accepted. Significant interpretations or clarifications will be addressed via addenda to this RFP. City Council 29 — 7 8/20/2024 aCITY OF SANTA ANA Significant interpretations or clarifications and responses to questions received by the deadline will be addressed via addenda to this RFP, which will be released and posted on PlanetBids under the "Addenda/Emails" tab. General process questions may be directed to the following: Kathia Reyes Project Manager KReyes2@santa-ana.org D. EXCEPTIONS Requests submitted for City's consideration of proposed terms and conditions, including modifications to the City's RFP and/or Contract terms and conditions must be submitted by the deadline for questions. Such requests should include an attachment in Word or PDF format on formal company letterhead that shows the requested modifications. Should the Proposer be considered for award recommendation and progress into the negotiations phase, the requests for exceptions or modifications to the City's terms and conditions will be discussed at that time. The City will not accept any requests after the deadline for questions and reserves the right to reject or strike any requests for exceptions or additional terms and conditions related to Agreement, RFP, and insurance and indemnification terms and conditions. E. ADDENDA Any changes in RFP from the date of release to date of submittal will result in an addendum or amendment. Notification of such addendum or amendment shall be posted on City's PlanetBids system, https://www.planetbids.com/ op rtal/portal.cfm?Com aannylD=20137. Proposers shall be responsible for monitoring the site to obtain information regarding this solicitation. F. UNDERSTANDING PROPOSAL It is the responsibility of each Proposer to inquire about any criteria, condition, term, provision, or requirement of the RFP that the Proposer does not understand. Responses to inquiries, if they significantly change or clarify the RFP requirements or any aspect of the procurement process, will be forwarded by addenda to all Proposers. The City will not be bound by any oral responses to inquiries. By submitting proposals, Proposers assert that they have fully read the RFP and any addenda issued by the City, the proposed Contract and any other Contract Documents, and affirm that the terms and conditions stated therein are fully understood and are acceptable to the Proposer. Each Proposer accepts the terms and conditions of the Contract Documents and indicates their ability and willingness to perform the requested services under such terms and conditions. Any exceptions to the terms and conditions set forth in the Contract Document shall be submitted to the City by the deadline to submit requests for information or clarification/questions set forth herein. G. PROPOSAL CONTENTS Proposals are to be prepared in such a way as to provide a straightforward, concise delineation of capabilities to satisfy the requirements of this RFP. Colored displays, promotional materials, photographs etc., are not necessary or desired. Emphasis should be concentrated on conformance to RFP instructions, responsiveness to the RFP requirements, and on completeness and clarity of content. Digital dividers and clear organization of content and material are encouraged. City Council 29 — 8 8/20/2024 (a CITY OF SANTA ANA Statement of Qualifications (SOQ) SOQ must include a Table of Contents and be limited to a MAXIMUM of 10 DOUBLE SIDED PAGES (excluding City's required Certifications listed in Section VIII below; Proposal Cover Letter, section dividers, table of contents, front/back cover pages). The page limitation includes all appendices, attachments, and supplemental information. Font size shall be minimum 11-point Arial. Proposal exhibits shall be maximum 11" x 17". Additionally, SOQ must include the following: a. Cover Letter Proposals shall include a letter signed by a principal or authorized representative who can make legally binding commitments for the entity. Include type of business entity. Cover Letter shall not exceed one page. Cover letter must be addressed to the following City Project Manager: Kathia Reyes, Project Manager City of Santa Ana — Public Works Agency 220 Daisy Avenue, Bldg A Santa Ana, CA 92702 b. Services Provided A description of proposed services to be provided and how they meet the needs of the City as described in Section III — Scope of Services (Above). c. Agreement Statement Proposal shall include a statement outlining your concurrence or concerns with any and all provisions as contained in EXHIBIT III — Sample Agreement of this RFP (if any). d. Firm and Team Experience Proposal shall include a profile of the firm's experience. Include resumes of project team/sub-contractors that outline their technical and design experience. At a minimum, this should include the project manager/principal agent, associates in charge when project manager/principal agent is unavailable, key personnel, firm size, and an organizational chart identifying only those who will perform work for the proposed project and the percentage of each individual's time devoted to this project. The project manager/principal agent shall be the primary contact person to represent your firm. e. Understaning Scope of Services Proposal shall include an outline which demonstrates the firm's understanding of the scope of work. This outline should include anticipated approach, tasks necessary for successful completion, and suggestions or special concerns that the City should be made aware of. f. References Attachment B — References shall be submitted for similar projects performed for state and/or similar government clients within the last five (5) years. 2. -Gost Proposal All Proposers are required to submit a fixed rate fee with their Cost Proposal. Pricing instructions should be clearly defined to ensure fees proposed can be compared and evaluated. Cost Proposal must include a payment schedule if applicable. City reserves City Council 29 — 9 8/20/2024 aCITY OF SANTA ANA the right to negotiate compensation and/or payment schedule prior to award of any resulting agreement. The City shall not provide reimbursement for travel -related expenses, mileage, parking, lodging, meals, incidental fees, insurance, freight/shipping and handling/delivery, and any other business expenses, supplies and materials related to providing services as specified herein. Additional costs will not be considered and will not be reimbursed by the City, therefore, such costs must be absorbed in Proposer's cost proposal fee structure. Any language related to travel reimbursement shall be stricken from the document by the City and if not stricken, shall be deemed invalid. If providing hourly rate sheets, Proposer shall not include rate ranges or averages. Proposals shall be valid for a minimum of one hundred eighty (180) days following Proposal deadline. The cost for developing the Proposal is the sole responsibility of the Proposer. All Proposals submitted become property of the City. H. PROTEST Proposers with concerns or rebuttal of any staff determination of non -responsiveness or non - responsibility may submit, in writing within five (5) business days, to the Project Manager, any concerns regarding the RFP process or staff determination. Such writing shall be considered by the City Manager or his designated representative, and may be acted upon within five (5) business days. If no action is taken within such time, there shall be no change to the staff determination. The exercise by Proposer of its right to submit written concerns shall be a condition precedent to seeking judicial review of any award of a contract hereunder. In addition to the SOQ, Narrative/Technical Proposal, and Cost Proposal, the following forms, included in this RFP, shall be signed and included as part of the proposal submittal package: Attachment A: Proposer's Certification and Proposal Item Pricing Attachment B: References Attachment C: Proposer's Statement • Attachment D: Non -Collusion Affidavit • Attachment E: Non -Lobbying Certification • Attachment F: Non -Discrimination Certification The proposal must be completely responsive to the RFP. Incomplete proposals will be deemed as nonresponsive and will be rejected. The City reserves the right to reject any or all proposals submitted and no representation is made hereby that any commitment will be awarded pursuant to this RFP or otherwise. PLEASE NOTE: City will not waive notarization requirement when applicable on any of the required attachments. VIII. REFERENCE Contractor shall provide three (3) references from other similar public agencies for which services similar to those specified in this RFP have been performed, including contact names and City Council 29 — 10 8/20/2024 aCITY OF SANTA ANA telephone numbers. Use ATTACHMENT B — References. The respondent grants permission for the City to contact any individuals listed as references. City may disqualify a Proposer if. - References fail to substantiate Proposer's description of services and deliverables provided; or • References fail to support that Proposer has a continuing pattern of providing capable, productive, and skilled personnel, or • City is unable to reach the point of contact with reasonable effort. It is the Proposer's responsibility to inform the point of contact(s) of normal City working hours. The selected Proposer shall provide the required evidence of insurance coverage as set forth in the standard agreement within ten (10) business days after receipt of Notice of Intent to Award. Contractor must maintain, for the duration of its contract, insurance coverages as required by the City. Additionally, Contractor shall provide the following insurance coverage: Coverage 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 & advertising injury with limits no less than $1,000,000 per occurrence and $2,000,000 aggregate. Required policy limits can be met with primary and umbrella/excess insurance policies. 2. Automobile Liability: Insurance Services Office Form CA 00 01 covering Code 1 (any auto), with limits no less than $1,000,000 combined single limits. 3. Workers' Compensation: 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, policy or employee, for bodily injury or disease. If Vendor maintains broader coverage and/or higher limits than the minimum requirements for each line of coverage shown above, City requires and shall be entitled to the broader coverage and/or the higher limits maintained by Vendor. Any available insurance proceeds in excess of the specified minimum limits of insurance and coverage shall be available to City. Other Insurance Provisions The above required insurance policies are to contain or be endorsed to contain the following provisions: 1. City, its City Council, its officers, officials, employees, agents, and volunteers are to be covered as additional insureds, under Vendor's CGL, Professional Liability, and Automobile Liability policies, with respect to any liability arising out of work or operations performed by or on behalf of the Instructor including materials, parts, equipment, and personnel furnished in connection with such work or operations. City Council 29 —11 8/20/2024 (a CITY OF SANTA ANA 2. Vendor's Insurance company(ies) agrees to waive all rights of subrogation against City, its City Council, its officers, officials, employees, agents, and volunteers for losses paid under the terms of any policy which arise from work performed by Vendor under this Agreement. 3. For any claims related to this contract, Vendor'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. 4. A severability of interest provision must apply for all the additional insureds, ensuring that Vendor'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. 5. Insurance policies 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 of premium. 6. Certificate Holder on each Evidence of Insurance certificate shall be: City of Santa Ana, 20 Civic Center Plaza, Santa Ana, CA 92701. The name and location of project must 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. The City may require the Vendor 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 Vendor 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 before work begins. However, failure to obtain the required documents prior to the work beginning shall not waive Vendor'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. 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. A. The City will establish a proposal review committee. The review committee will evaluate proposals based on the response to the RFP, which includes adherence to outlined directions and format, and the City evaluation criteria set forth below. City Council 29 — 12 8/20/2024 (a CITY OF SANTA ANA B. Proposers will be ranked by the review committee based on the following criteria: CATEGORY POINTS Responsiveness to RFP • Proposal's compliance with the requirements of this RFP. 30 • Scope of Services offered including ability to provide optional services. Experience of Firm and Personnel • The experience, resources, and qualifications of the firm and individuals assigned to this account, including manager, supervisor and assigned 15 staff. Relevant Project Experience 15 Cost of Proposal • Fees 30 • Hourly Rates for as -needed requests References • References that are similar in size and project scope to the City. 10 TOTAL POSSIBLE SCORE 100 C. A final score will be calculated for each submitted proposal and used to rank Proposers. Based upon the foregoing criteria, all proposals shall be ranked by score. Only those proposals receiving a score above 70 will be considered for award. The City reserves the right to award the contract to any proposer(s) with a score above 70. The review committee will evaluate proposers based on their response to the RFP and the City evaluation criteria set forth above. D. The City is under no obligation to accept any proposal and reserves the right to negotiate with respondents as to fees and terms. The City may reject proposals at its sole discretion. If proposal fails to satisfy any requirements outlined in this RFP, it may be considered non- responsive and may be rejected. The City shall not be obligated to accept the lowest priced proposals, but will make awards in the best interests of the City after all factors have been evaluated. The review committee will recommend the qualified Proposers to the City Council or City Manager for award of contract, as appropriate. E. The review committee may invite the proposers to interview. The City reserves the right to seek additional information from any or all Proposers invited to present proposals. A final score will be calculated for each submitted proposal and used to rank Proposers. City reserves the right to begin negotiations and enter into a contract without holding interviews, or further discussions. City Council 29 — 13 8/20/2024 (9) CITY OF SANTA ANA Proposers are responsible for verifying all prices and information before submitting a proposal. Prior to the proposal due date, the Proposer or Proposer's representative may withdraw the proposal by providing written notice of the proposal withdrawal to the City Contact/Project Manager. Verbal or telephonic withdrawals are not permissible. A. AMERICANS WITH DISABILITIES ACT The awarded Contractor hereby certifies that it will comply, as applicable, with the Americans with Disabilities Act of 1990 ("ADA"), 42 USC §§ 12101 et seq., and its implementing regulations, including Subtitle A, Title II of the ADA. Contractor will not discriminate against persons with disabilities nor against persons due to their relationship to or association with a person with a disability. Any contract entered into by the awarded Contractor (or any subcontract thereof), relating to this RFP, shall be subject to the provisions of this paragraph. B. CITY BUSINESS LICENSE The selected proposer must obtain a City of Santa Ana Business License prior to the execution of a contract and must provide a copy to the Buyer assigned to this RFP. The awarded party shall maintain a current business license throughout the term of the resulting contract. Procedure to obtain a City of Santa Ana Business License is available by contacting the Finance and Management Services, Business Tax Office at (714) 647-5447 or on the City's website: www.santa-ana.ora C. CITY RIGHT TO REJECT The City reserves the right to reject any or all proposals submitted and no representation is made hereby that any agreement will be awarded pursuant to this RFP or otherwise. The City reserves the right to accept or reject the combined or separate components of this proposal in part or in its entirety or to waive any minor inconsistency, informality or technical defect in the proposal. D. CONFLICT OF INTEREST Contractor shall exercise reasonable care and diligence to prevent any actions or conditions that could result in a conflict with the best interests of the City. This obligation shall apply to the Contractor; the Contractor's employees, agents, and Subcontractors associated with accomplishing work and services hereunder. The Contractor's efforts shall include, but not be limited to, establishing precautions to prevent its employees, agents, and Subcontractors from providing or offering gifts, entertainment, payments, loans or other considerations which could be deemed to influence or appear to influence City staff or elected officers from acting in the best interests of the City. Each Proposer must disclose any existing or potential conflict of interest relative to the performance of the contractual services resulting from this RFP. Any such relationship that might be perceived or represented as a conflict should be disclosed. The City reserves the right to disqualify any Proposer on the grounds of actual or apparent conflict of interest. No person, firm, or subsidiary thereof who has been awarded this Contract may be awarded a Contract for the provision of services, the delivery of supplies, or the provision of any other related action which is required, suggested, or otherwise deemed appropriate as an end City Council 29 — 14 8/20/2024 (9) CITY OF SANTA ANA product of this Contract. Therefore, Contractor is precluded from contracting for any work recommended as a result of this Contract. E. CONTRACTOR'S EXPENSE Pre -Contractual Ex ep nses: The City is not liable for any costs incurred by Proposers prior to entering into a formal contract. Costs of developing a response to this RFP, are entirely the responsibility of the Proposer, and shall not be reimbursed in any manner by the City. Pre - contractual expenses are not to be included in the cost proposal. Pre -contractual expenses include, but are not limited to, preparation of the proposal, submission of the proposal and additional information, attendance at pre -proposal conference, negotiating any matter related to this RFP with City, and/or any other expenses incurred by the Proposer prior to the date of award and execution, if any, of the contract. Other Ex ep nses: The Contractor will be responsible for all costs related to photo copying, telephone communications, fax communications, and parking while on City sites during the performance of work and services under this Contract. F. CONTRACTOR'S PROJECT MANAGER/KEY PERSONNEL Except as formally approved by the City, the key personnel identified in Contractor's proposal shall be the individuals who will actually complete the work. Changes in staffing must be reported in writing and approved by the City. The City shall have the right to require the removal and replacement of the Contractor's Project Manager and key personnel under the awarded contract. The City shall notify the Contractor in writing of such action. The City is not required to provide any reason, rationale, or additional factual information if it elects to request any specific key personnel be removed from performing services under the awarded contract. The City shall review and approve the appointment of the replacement for the Contractor's personnel. Said approval shall not be unreasonably withheld. Standards of Conduct: Contractor's personnel shall be courteous and maintain good working relationships with all stakeholders, state or outside agencies, other team members and staff within the City. G. COST PROPOSAL The awarded Contractor agrees to provide the purchased services at the costs, rates, and fees as set forth in their Fee Schedule in response to this RFP. No other costs, rates or fees shall be payable to the awarded Subcontractor for implementation of their proposal. H. DATA RETENTION Contractor shall be responsible for retaining data, records, and documentation for the preparation of required items. These materials shall be made available to and as requested by City. All materials, documents, data or information obtained from the City Data files or any City medium furnished to Contractor in the performance of an awarded contract will at all times remain the property of the City. Such data or information may not be used or copied for direct or indirect use by Contractor after completion or termination of this Contract without the express written consent of the City. All materials, documents, data or information, including copies, must be returned to the City at the end of the contract. All data, documents and other products used, developed, or produced during response preparation of the RFP will become property of the City. All responses to the RFP shall City Council 29 — 15 8/20/2024 (9) CITY OF SANTA ANA become property of the City. Proposer information identified as proprietary shall be maintained confidential, to the extent allowed under the California Public Records Act. I. DRUG -FREE WORKPLACE The awarded Contractor certifies compliance with Government Code Section 8355 in matters relating to providing a drug -free workplace. Failure to comply with these requirements may result in suspension of payments under the Contract or termination of the contract or both, and the Contractor may be ineligible for award of any future City contracts. J. EXAMINATION Proposer represents that it has thoroughly examined and become familiar with the services and responsibilities required this RFP and that it is capable of effectively and efficiently performing quality work to achieve the City's objectives. Any attachments referenced herein or any interpretations, clarifications or amendments subsequently posted in relation to this RFP are fully incorporated. Any irregularities or lack of clarity in the RFP should be brought to the designated City Contact/Project Manager's attention as soon as possible so that corrective addenda may be furnished to prospective Proposers. Proposals which appear unrealistic in the terms of technical commitments, lack of technical competence, or are indicative of failure to comprehend the complexity and risk of this contract, may be rejected. K. EXECUTION OF AGREEMENT Upon successful negotiations, the City and the selected Proposer will enter into an Agreement similar to that as shown in EXHIBIT III — Sample Agreement of this RFP. If a Proposer is unwilling or unable to execute an Agreement within thirty (30) days after being notified of selection under this RFP, the City reserves the right to disqualify them without any further obligation L. FISCAL NONFUNDING CLAUSE In the event sufficient budgeted funds are not available for a new fiscal period, the City shall retain the right to notify the provider of such occurrence in writing at least thirty (30) days before the end of the current fiscal period and terminate the contract on the last day of the current fiscal period without penalty or expense to the City. M. JOINT OFFERS/SUBCONSULTANTS Where two or more Proposers desire to submit a single proposal in response to this RFP, they should do so on a prime sub -consultant basis. The City intends to contract with a single firm, also known as the prime, and not with multiple firms doing business as a joint venture. Should the use of sub -consultants be offered, the Proposer shall provide the same assurances of competence for the sub -consultant plus the demonstrated ability to manage and supervise the subcontracted work. Sub -consultants shall not be allowed to further subcontract with others for work under the Agreement. The provisions of the Agreement shall apply to all sub -consultants in the same manner as the Proposer. The proposer is responsible for all the actions taken by their sub -contractor. The City reserves the right to reject, replace and approve any and all Subcontractors. All Subcontractor(s) shall be identified in the response to the RFP and the City reserves the right to reject any proposed Subcontractor(s). Subcontractors shall be the responsibility of the prime Contractor and the City shall assume no liability of such Subcontractors. City Council 29 — 16 8/20/2024 (9) CITY OF SANTA ANA N. INDEPENDENT CONTRACTOR Contractor is considered an independent Contractor and neither Contractor, its employees, nor anyone working under Contractor will be considered an agent or an employee of City. Neither Contractor, its employees, nor anyone working under Contractor, will qualify for workers' compensation or other fringe benefits of any kind through City. O. LITIGATION STATUS Each Proposer must include in its proposal a complete disclosure of any alleged significant prior or ongoing contract failures, any civil or criminal litigation or investigation pending which involves the Proposer or in which the Proposer has been judged guilty or liable. Failure to comply with the terms of this provision will disqualify any proposal. The City reserves the right to reject any proposal based upon the Proposer's prior history with the City or with any other party, which documents, without limitation, unsatisfactory performance, adversarial or contentious demeanor, significant failure(s) to meet contract milestones or other contractual failures. P. NEGOTIATIONS The City reserves the right to negotiate final contract terms with any Proposer selected. The contract between the parties will consist of the RFP together with any modifications thereto, and the awarded Contractor's proposal, together with any modifications and clarifications thereto that are submitted at the request of the City during the evaluation and negotiation process. In the event of any conflict or contradiction between or among these documents, the documents shall control in the following order of precedence: the final executed contract, the RFP, any modifications and clarifications to the awarded Contractor's proposal, and the awarded Contractor's proposal. Specific exceptions to this general rule may be noted in the final executed contract. Negotiations shall be confidential and not subject to disclosure to competing Contractors unless and until an agreement is reached. If contract negotiations cannot be concluded successfully, the City reserves the right to negotiate a contract with another Contractor or withdraw the RFP. Q. NON -PAYMENTS Note that payments will NOT be made for any unsatisfactory work until corrected. In the event of nonpayment of undisputed sums by the City, Contractor shall give the City thirty (30) working days to cure the alleged breach. R. OWNERSHIP OF DOCUMENTS The City has permanent ownership of all directly connected and derivative materials produced under this contract by the Contractor. All documents, reports and other incidental or derivative work or materials furnished hereunder shall become and remains the sole property of the City and may be used by the City as it may require without additional cost to the City. Contractor shall provide the City copies of documents upon its request at any time. None of the documents, reports and other incidental or derivative work or furnished materials shall be used by the Contractor without the express written consent of the City. S. PARKING The City will not provide free parking and/or reimbursement for the cost of parking while providing services and conducting business with the City. City Council 29 — 17 8/20/2024 (9) CITY OF SANTA ANA T. PROFESSIONAL STANDARDS Contractor staff shall be courteous to the public and City staff utilizing facilities where Contractor is performing work, but shall be responsive only to the requests of the City's Project Manager or designee. Contractor staff shall direct all inquiries to Project Manager or designee. Contractor acknowledges that City locations consist of public -use facilities and recognizes the obligation to ensure Contractor personnel and agents maintain the highest level of professional standards in attire, decorum, and interaction with the public and City personnel. U. PROJECT MANAGER The selected Proposer will assume responsibility for all services in its proposal. The selected Proposer shall identify a sole point of contact, Project Manager, with the greatest knowledge in regard to the required service operations and contractual matters, including payment of any and all charges resulting from the Agreement. V. PROPOSAL VALIDITY Services, pricing, and warranties indicated in a Proposer's Proposal must be valid for a period of 180 days at minimum after the submission of the Proposal. W. PUBLIC AGENCIES Other public agencies, as defined by California Government Code Section 6500, may choose to use the terms of this Contract, subject to Contractor's acceptance. The City is not liable or responsible for any obligations related to a subsequent contract between Contractor and another public agency. X. PUBLIC RECORDS Proposals will become public record after the award of a contract unless the proposal or specific parts of the proposal can be shown to be exempt by law. Each Proposer may clearly label all or part of a proposal as "CONFIDENTIAL" provided that the Proposer thereby agrees to indemnify and defend the City for honoring such a designation. The failure to so label any information that is released by the City shall constitute a complete waiver of any and all claims for damages caused by any release of the information. Proposer information identified as proprietary shall be maintained confidential, to the extent allowed under the California Public Records Act. Y. SUBCONTRACTORS Proposals in response to this RFP must identify any Subcontractors, and outline the contractual relationship between the Awarded Subcontractor and each Subcontractor. An official of each proposed Subcontractor must sign, and include as part of the proposal submitted by the Prime Contractor, a statement to the effect that the Subcontractor has read and will agree to abide by the awarded Contractor's obligations. Any Subcontractor proposed after award of contract must be approved by the City before commencement of work. The City will look solely to the awarded Contractor for the performance of all contractual obligations which may result from an award based on this RFP, and the awarded Contractor shall not be relieved for the non-performance of any or all Subcontractors. Z. PREVAILING WAGE The Director of the Department of Industrial Relations of the State of California has ascertained the prevailing rate of per diem wages in dollars, based on a working day of eight hours, for each craft or type of worker or mechanic needed to execute any construction or City Council 29 — 18 8/20/2024 (9) CITY OF SANTA ANA maintenance contract, which may be awarded by Public Works. The current prevailing wage rates as adopted by the Director of the Department of Industrial Relations are incorporated herein by reference and may be accessed at http://www.dir.ca.gov/ (General Prevailing Wage determination made by the Director of Industrial Relations / Pursuant to California Labor Code Part 7, Chapter 1, Article 2, Section 1770, 1773 and 1773.1). Contractor is required to pay the prevailing wage rate referred to above and is responsible for selecting the craft/classification of workers which will be required to perform this service in accordance with the Contractor's method of performing the work. Pursuant to Section 1775 of the Labor Code (State of California) Contractor shall forfeit $50 for each calendar day, or portion thereof, for each worker paid less than the stipulated prevailing wage rates for any public work done under this Contract or by any subcontractor. Contractor is aware of the requirements of the 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 requirement on "public works" and "maintenance" projects. Since the services are being performed as part of an applicable "public works" or "maintenance" project, as defined by Prevailing Wage Laws and since the total compensations is $1,000 or more, Contractor agrees to fully comply with such Prevailing Wage Laws. City shall provide Contractor with a copy of the prevailing rates of per diem wages in effect at the commencement of this Agreement/Contact. Contact shall make copies of the prevailing rates of per diem wages for each craft, classification or type of worker needed to execute the Services available to interested parties upon request, and shall post copies at the Contractor's principal place of business and at the job site. 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. Selected Contractor(s) will be notified in writing. Any award is contingent upon the successful negotiation of final contract terms. A. EXECUTION OF AGREEMENT A standard agreement is included as EXHIBIT III Sample Agreement of this RFP. "Proposer" will hereinafter be referred to as "Consultant" or "Contractor" in standard agreement. The term of the agreement will begin after the agreement is fully executed, and all required bonds, insurance documents and contents of the payment information packet have been received and approved. A. KICK-OFF MEETINGS The successful proposer will be required to meet with City staff prior to commencement of services or at any time as required by the City, to discuss and agree on operational issues including transition of services and scheduling. City Council 29 — 19 8/20/2024 (9) CITY OF SANTA ANA EXHIBIT I SCOPE OF SERVICES INTRODUCTION AND BACKGROUND The City of Santa Ana, Water Resources Division issues this bid document to procure full and complete contract landscape maintenance at designated sites, herein described, and that such sites be kept in a healthy, weed -free, vigorous, and well -kept state at all times. The Contractor shall provide at his own risk and cost all labor, materials, tools, equipment, traffic control and miscellaneous devices, transportation, hauling, dumping, fertilizers, insecticides, rodenticides, chemicals and other items needed to perform landscape maintenance work as directed herein. The Contractor shall provide complete landscape maintenance at all work sites, including, but not limited to pruning, structural shaping of young trees, shrubs, and ground cover plants; trimming overgrowth of all foliage and preventing growth on top of city equipment; removing and controlling weeds; controlling plant diseases and pests; mowing turf; edging turf and ground cover; irrigating plant material; maintaining and repairing irrigation systems; removing trash and debris; and other maintenance required to maintain the work sites in a safe, attractive and useable condition. The Contractor shall maintain all plant material in good condition with accepted standards for growth, color, and appearance. Furnish all labor, equipment, materials, and supervision to perform landscape maintenance as described herein including, but no limited to, the following: • Hnrdscape cleaning • Weeding, cultivating and brush control both mechanically and with chemicals • Fertilizing • Shrub and groundcover trimming, pruning, training • Mowing and verticutting • General rodent, pest and disease control on landscape planting and turf • General drainage structure and system maintenance • Reporting for vandalism, graffiti, or any safety concerns • General litter control, refuse removal, and grounds policing • Plant replacement • Access roadway clearance and visibility maintenance • Minor tree pruning and staking of trees under 12 feet in height • Irrigation programming, monitoring, maintenance, and repair • Emergency maintenance/service City Council 29 — 20 8/20/2024 (9) 1. ROUTINE MAINTENANCE CITY OF SANTA ANA Routine maintenance shall include but not be limited to the following services performed on all work sites listed in Exhibit II. 1.1. TURF CARE All turf shall be mowed weekly with mulching mowers. Subject to the approval of the City of Santa Ana, the contractor may reduce the mowing frequency to biweekly during periods of rain or prolonged cold. All grass clippings shall be left in place with the exception of large accumulations, which shall be collected and removed after each mowing. All roadways adjacent to work areas shall be kept clean at all times. All turf shall be cut to a height appropriate for the type of grass being mowed. Mowers shall be maintained in optimum condition with sharp blades to provide a smooth, even cut without tearing of the leaf blades. Turf shall only be mowed after two (2) consecutive non -watering days and/or as directed by the City of Santa Ana. Any and all signs found onsite or on trees shall be removed, including but not limited to political, garage sale, lost and found, etc. All litter/debris shall be picked up prior to mowing. All turf and hardscape areas including but not limited to the outside and inside perimeter of the City property including sidewalks and streets shall be free of turf clippings, plant debris and trash at the end of the scheduled mow day. All turf shall be edged with blade trimmer adjacent to all improved surfaces and, where no improved surface exists, turf edges shall be maintained as if the turf area abuts a shrub bed or property line. Edging and detailing shall be performed weekly. Following each edging, all edging debris shall be removed. Turf shall be mechanically edged during the mowing of each week. The edging along sidewalks, curbing and other concrete shall be performed with a blade type edger. Sidewalks and other hard surfaces shall be properly cleaned after each edging including grass stains or marks made as a result of the mowing process. Contractor shall flag all irrigation sprinklers prior to commencement of work. All turf growing adjacent to irrigation hardware, tree trunks, or any other landscape amenity shall be neatly detailed by string trimmer and/or chemicals to twelve (12) inches in all directions of said objects. Blade trimmers are prohibited from usage twelve (12) inches around any tree, shrub, or establish plant base. If chemical detailing is performed, the Contractor shall use the string trimmer to remove the treated turf within one (1) week after symptoms of phototoxicity become recognizable. City Council 29 — 21 8/20/2024 (9) CITY OF SANTA ANA Any damage, as determined by the City of Santa Ana, caused to irrigation components, sprinklers, valves, etc., or plant material by edging equipment and/or mowers shall be replaced by the Contractor at Contractor's expense. •\ Lawns shall be fertilized four (4) times annually with a "complete fertilizer". Fertilize two (2) times per year during the months of December and February using 22-3-9 at the rate of five pounds (5 lbs.) per 1000 square feet or approved equivalent program. During the months of June and October fertilize with 16-6-8 at the rate of six pounds (6 lbs.) per 1000 square feet two (2) times per year, or approved equivalent program. Due to the broad geographical area of the contract, the City may from time to time adjust or change the fertilization specifications contained herein as a result of consultation with Contractor. All fertilization shall be included with the landscape maintenance of each contract area. Contractor shall supply and transport all required fertilizers and include costs in the bid to the City. Turf areas shall be deeply watered as required by weather conditions to provide adequate moisture for optimum growth. At no time shall turf areas be allowed to show a lack of fresh green color or a loss of resilience due to lack of water. Wherever or at any time that an irrigation system is damaged, fails or does not adequately cover the turf area in which it is installed, the Contractor shall furnish and set out hoses and sprinklers, or other portable means, as required to uniformly water the turf area. Automatic irrigation shall be conducted between the hours of 10:00 p.m. and 4:00 a.m. and shall be programmed to prevent excessive runoff, ponding or over watering. Turf areas shall not be maintained in an over watered and/or saturated condition. Contractor shall respond immediately to signs of turf stress. Turf lost due to stress shall be deemed contractor negligence, as determined by the City of Santa Ana, and replaced at Contractor's expense. Trimming of grass around the trees in the turf area shall be performed during the mowing of each week in such a manner as to avoid damage to the tree trunk. Contractor shall develop and maintain a program to ensure that all turf is maintained free of fungus, insect infestations and/or turf diseases at all times. Damaged and/or bare spots in turf shall be immediately repaired at the time of detection. The tree guards shall be maintained in place around the trunk of each canopy tree at all times to eliminate tree damage by string trimmers, mowers, etc. Trees damaged by Contractor shall be immediately replaced at Contractor's expense. City Council 29 — 22 8/20/2024 (9) CITY OF SANTA ANA Turf areas shall be dethatched once per year between September and October or as directed by the City of Santa Ana. Dethatching shall be accomplished by use of a "vertical type" dethatch machine. Contractor shall flag all irrigation sprinklers prior to commencement of work. All thatch and debris shall be immediately removed upon completion at Contractor's expense. IMMOKSITA 004:11 Mello e1 Each year, all turf areas shall be overseeded with Eagle Blend or equivalent perennial rye grass at the minimum rate of seven (7) pounds per 1,000 square feet. Seed shall be uniformly broadcast, with care taken to not broadcast in non -turf area. Dethatching and/or deep scalping of the turf may be required as directed by the City of Santa Ana. Seeds shall be guaranteed free of disease, pests, or other foreign grasses or weeds. The Contractor shall apply an approved pre -emergent herbicide to all turf areas on an as needed basis for control of all types of weeds. At no time shall weeds be allowed to remain in turf areas. Contractor shall control all weeds growing in cracks, expansion joints and other hard surfaces adjacent to the landscape area by the use of chemical weed control to include long narrow median noses, cracks in sidewalks/curbs/gutters, etc. Contractor shall develop and maintain a broadleaf weed control program that will ensure that all turf is maintained in a weed -free condition at all times. Contractor shall provide litter pickup to all landscaped areas weekly. The hardscape areas adjacent to the landscape, i.e. sidewalks and concrete in the medians, shall be cleaned of leaves, paper, dirt, feces, miscellaneous abandoned items, and other debris in conjunction with litter pickup. At no time will this debris be blown into the street, storm drains, and/or onto private property. All litter shall be removed from the turf prior to each mowing. City Council 29 — 23 8/20/2024 (9) CITY OF SANTA ANA The Contractor shall re -sod all turf lost due to normal attrition or due to Contractor's faulty maintenance or negligence, as determined by the City of Santa Ana, at no additional cost to the City. At no time shall ridges or depressions caused from contractor equipment on over watered and/or saturated ground, as determined by the City of Santa Ana, be permitted in the turf areas. This shall be deemed Contractor negligence. Contractor shall remove and replace with new turf at no additional cost to the City. 1.2. GROUND COVER CARE Ground cover beds shall be maintained within their intended bounds, edged and/or detailed every week. Maintain a 12" clearance between different plant material. Ground covers shall not be permitted to encroach into lawns, shrubs, adjacent desirable bare areas, wall fixtures, furniture, other ground cover areas, etc. All sites shall be cleaned following each edging/detailing, including streets and sidewalks (when applicable). All ground cover beds shall be fertilized using a complete or approved fertilizer (such as 16-6-8 Turf Supreme) four (4) times per year. The rate of application shall be two (2) pounds of actual nitrogen per 1,000 square feet. Proof of application in the form of empty fertilizer bags may be requested at any time by the City of Santa Ana. Advanced notice shall be given to the City of Santa Ana prior to performing this task. Ground cover beds shall be thinned and pruned, separated and/or relocated for the health of the planting and the appearance of the site, and at such other times when directed by the City of Santa Ana. Infill planting of bare groundcover areas shall be replanted when necessary or upon request with flats of the same species one time per year as part of routine maintenance at no additional cost to the City. All bare soil or open areas shall be either cultivated weekly or covered by a minimum of two (2) inches of mulch. All mulch material shall be of a recycled product free from foreign grasses and weeds and shall be approved by the City. At no time shall weeds be allowed to remain in bare or planted areas. City Council 29 — 24 8/20/2024 (a CITY OF SANTA ANA The Contractor shall be responsible for the complete removal and replacement of ground cover lost due to normal attrition or to Contractor's faulty maintenance or negligence, as determined by the City of Santa Ana, at no additional cost to the City. Contractor shall control weeds by keeping all planters, shrubs and ground cover areas free of visible weeds at all times. Where ground cover grows under pine trees, the Contractor shall use a combination of techniques (raking and blowing) to prevent the build-up of needles from forming on the ground cover. Ground cover plants shall be added, as needed, to ensure a solid mass planting in conformance with the original intent at no cost to the City. 1.3. TREE CARE The Contractor shall bring to the attention of the City of Santa Ana within twenty-four (24) hours any tree -displaying root heaving or girdling (either by roots or a foreign material, leaning, broken or hanging limbs, or any other reason posing a potential safety hazard.) Any safety hazard present now shall be reported immediately. Note: All trees up to 9 inch DBH (Diameter at Breast Height) are included in routine maintenance. An annual report shall be provided by an ISA Certified Arborist, by January 30th of each year, on the overall condition and health of all trees under the scope of this contract. Specific trees in need of additional care or removal shall be identified by species and/or address. The Contractor shall provide an annual report identifying the location, address and species of tree vacancies. All trees within the scope of work shall be maintained to keep the natural integrity and shape of the trees. This work shall be accomplished in a manner, which will ensure that each individual tree is pruned per American National Standards Institute (ANSI) standards, per ANSI A300 Part 1, 2008 pruning standard and the ASNI Z133.1 as outlined in the City of Santa Ana Tree Pruning and Stump Removal Specifications are to be followed. All work shall be of the highest quality as outlined under the City of Santa Ana Tree Pruning and Stump Removal Specifications. In addition, the Contractor shall remove or prevent encroachment where it blocks vision or is City Council 29 — 25 8/20/2024 (9) CITY OF SANTA ANA considered undesirable by the City of Santa Ana. Low branches overhanging sidewalks shall be removed to a height of seven (7) feet above grade. Young trees needing pruning, training, and shaping to develop and maintain a dominant leader from which smaller primary branches arise that are radially and vertically spaced along the trunk. From time to time, the contractor may be asked to raise the canopy of the trees for security reasons and this shall be considered routine maintenance. All trees under 4" DBH requiring staking shall be securely staked at all times with approved stakes and rubber VIT ties. Rubber hoses and wire will not be permitted. All stakes shall be set perpendicular to prevailing winds unless designated otherwise by the City of Santa Ana. Tree stakes shall also be set a consistent distance away from the trunk of the tree (minimum six (6) inches) to reduce abrasion and cell elongation. The tops of all tree stakes shall be removed approximately three (3) inches above the highest tie to reduce abrasion of main or lateral branches of the tree. All trees shall be fertilized using a complete or approved fertilizer a minimum of one (1) time per year. All trees shall be properly irrigated to maintain a healthy condition. Trees shall not be maintained in an over watered and/or saturated condition. The Contractor shall be responsible for the complete removal and replacement of any and all trees lost due to the Contractor's faulty maintenance or negligence, including but not limited to girdling trees with string trimmers or tree ties, improper planting of new trees, improper pruning techniques which disfigure or destroy the trees natural integrity and shape, or failure to detect and prevent treatable diseases and insect infestations as determined by the City of Santa Ana. Replacement shall be made by the Contractor in the kind and size of trees determined by the City of Santa Ana. Where there is a difference in value between the trees lost and the replacement of trees, this difference will be deducted from the contract payment. In all cases, the value of the trees lost will be determined by the City of Santa Ana using the latest American Shade Tree Conference guidelines for value determination. City Council 29 — 26 8/20/2024 (9) `PC �1:I MI XGY_1:14 CITY OF SANTA ANA Contractor shall remove dead shrubs and backfill to existing grade with imported soil as necessary to maintain a consistent finished grade. Sinkholes will not be acceptable as it represents a liability to the City. Replacements of shrubs will be approved by City of Santa Ana. Wall vines adjacent to and coming from City landscapes are a part of the maintenance of this contract. Wall vines shall be kept trimmed approximately four (4) inches from the wall and eight (8) inches below the top of the wall. Where wall vines have been allowed to grow over the top of the wall, the Contractor shall keep wall vines trimmed down to the top of the wall. Wall vines may require trimming two or more times per month during the growing season. All shrubs growing in the work areas shall be pruned as required, to maintain plants in a healthy growing condition and to maintain plant growth within reasonable bounds to prevent encroachment of passage ways, walks, streets, view of signs or in any manner deemed objectionable by the City of Santa Ana. Dead or damaged limbs or branches shall be cleaned out and removed with sharp pruning tools with no projections or stubs remaining. Pruning shall be done in a manner to permit plants to grow naturally in accordance with their normal growth characteristics except box hedging may be required on some shrubs, as designated by the City of Santa Ana. Shear hedging or severe pruning of plants, unless authorized by the City of Santa Ana, shall not be permitted. Should the Contractor shear hedges or severely prune plants and disfigure or damage the plants, the contractor shall be responsible for replacing those plants with like kind and size as determined by the City of Santa Ana. The Contractor may be requested from time to time to raise the bottom or lower the tops of the shrubs for security reasons. This shall be considered routine maintenance and performed at no extra cost to the City. All shrubs shall be fertilized using a complete fertilizer (such as 16-6-8) four (4) times per year. The rate of application shall be two (2) pounds of actual nitrogen per 1,000 square feet. Proof of application in the form of empty fertilizer bags may be requested at any time by the City of Santa Ana. Advanced notice shall be given the City of Santa Ana prior to performing this task. Shrubs shall be thinned and pruned, separated and/or relocated for the health of the planting and the appearance of the site, and at such other times when directed by the City. Infill planting of bare shrub areas shall be replanted when necessary or upon request with plant material of the same species one time per year as part of routine maintenance at no additional cost to the City. City Council 29 — 27 8/20/2024 (9) CITY OF SANTA ANA All shrubs shall be properly irrigated to maintain a healthy condition. Shrub areas shall be deeply watered as required by weather conditions to provide adequate moisture for optimum growth. At no time shrub areas shall be allowed to show a lack of fresh green color or a loss of resilience due to lack of water. Wherever or at any time that an irrigation system is damaged, fails or does not adequately cover the shrub area in which it is installed, the Contractor shall furnish and set out hoses and sprinklers, or other portable means, as required to uniformly water the shrub. Automatic irrigation shall be conducted between the hours of 10:00 p.m. and 4:00 a.m. and shall be programmed to prevent excessive runoff, ponding or over watering. Shrub areas shall not be maintained in an over watered and/or saturated condition. Contractor shall respond immediately to signs of plant stress. Plant material lost due to stress shall be deemed Contractor negligence, as determined by the City of Santa Ana, and replaced at Contractor's expense. The Contractor shall be responsible for the complete removal and replacement of shrubs lost due to normal attrition or due to Contractor's faulty maintenance or negligence, as determined by the City of Santa Ana, at no additional cost to the City. All bare soil or open areas shall be either cultivated weekly or covered by a minimum of two (2) inches of mulch. All mulch material shall be of a recycled product free from foreign grasses and weeds and shall be approved by the City. At no time shall weeds be allowed to remain in bare or planted areas. Shrubs shall be pruned as required to ensure clear vehicular and pedestrian visibility and clearance. Remove broken or diseased branches and provide general containment and good appearance. Plant material encroaching onto or from City property shall be trimmed back to property line at City's discretion depending on circumstance, i.e. plants growing over fences and sidewalks from private property adjacent to contracted areas shall be trimmed back to the property line. Prune shrubs to retain as much of the natural informal appearance as possible, consistent with intended use, i.e. vines not growing into other plants, etc. Coordinate with City of Santa Ana. Continuously remove any spent blossoms or dead flower stocks, as required, to present a neat, clean appearance. City Council 29 — 28 8/20/2024 (9) CITY OF SANTA ANA Plants growing over curbing and/or sidewalks shall be maintained even with the edge of the sidewalk or curb and be trimmed on a natural taper rather than vertical, so as not to appear to be hedged. Schedule the application of a complete fertilizer with an analysis of 15-15-15 at the rate of six (6) pounds per 1000 square feet as often as required, but no less than three times per year, to promote optimum growth and healthy appearance to all shrubs. Ailing or stunted shrubs shall be removed at time of discovery and replaced in kind within five (5) working days. Shrubs requiring additional nutrients to correct deficiencies shall receive such nutrients within three (3) working days of discovery. Contractor shall replace shrub failure that is determined to be due to Contractor's neglect or improper treatment at his expense. 1.5. WEEDS, DISEASE, AND PEST CONTROL All landscape and hardscape areas within the specified scope of work (including, but not limited to, turf, shrub and ground cover, planters, tree wells, ornamental bark or rock areas, sidewalk, asphalt or concrete areas) shall be kept free of weeds and foreign grasses at all times. The complete removal of all weed growth shall be accomplished on a continuing basis. Weeds shall be controlled by hand and approved mechanical or chemical methods. The transferring of weeds or disease from one infected turf, plant or tree to another turf, plant or tree through improper or faulty maintenance shall be considered Contractor negligence, as determined by the City of Santa Ana. Such negligence includes but is not limited to, non -cleaning or non -disinfecting of tools or equipment and for not isolating the infected area. All affected turf, plant, or tree shall be replaced by Contractor at no cost to the City. Contractor shall continuously control weeds at all sites with both pre and post -emergent chemical control through mechanical methods and/or by hand. It is intended that all sites will be practically weed -free through this process. Weeds determined by the City of Santa Ana to be objectionable shall result in a penalty assessed against Contractor for each affected site. Contractor shall provide the same weed control in cracks, expansion joints and other small openings in the sidewalk/curb area. The Contractor shall regularly inspect all landscaped areas for presence of disease, insect or rodent infestation. The Contractor shall advise the City of Santa Ana within forty eight (48) hours of when disease, insect, or rodent infestation is found, and the action to be taken. Upon approval City Council 29 — 29 8/20/2024 (9) CITY OF SANTA ANA of the City of Santa Ana, the Contractor shall implement approved control measures, following all Federal, State, County, and municipal laws, regulations and ordinances required for the approved work. Approved control measures shall be continued until the disease, insect or rodent is controlled to the satisfaction of the City of Santa Ana. The Contractor shall utilize all safeguards necessary during disease, insect or rodent control operations to ensure safety of the public and the employees of the Contractor. All pesticide operations, where required, shall be performed by a Qualified Applicator as certified by the State of California Department of Pesticide Regulation. The Contractor shall be responsible for compliance with all local, state, and federal laws and regulations regarding pesticide usage. Contractor shall provide complete and continuous pest control and/or eradication of all pests or diseases in accordance with the specifications contained herein. 1.6. IRRIGATION SYSTEM MAINTENANCE Irrigation shall be done by the use of automatic or mechanical sprinkler systems, where available and operable, or manually; however, failure and/or damage of the existing irrigation system to provide full and proper coverage shall not relieve the Contractor of the responsibility to provide adequate irrigation with full and proper coverage to all areas in the contract work site. Newly planted trees, shrubs, ground cover, and turf shall receive special attention until these plants are established. Adequate water shall be applied to promote normal healthy growth. Proper berms or basins shall be maintained during the establishment period. Any damages to public or private property resulting from excessive irrigation water or irrigation water runoff shall be charged against the contract payment unless immediate repairs are made by the Contractor to the satisfaction of the City of Santa Ana. Contractor shall vacuum all irrigation cabinets and controllers, both inside and outside, and maintain in a thoroughly clean condition at all times. Where the operation of automatic irrigation controllers is required as part of this contract, the Contractor shall: Do not duplicate any coded City key furnished by the Public Works Agency for access and operation of the controller. • Surrender all keys furnished by the Public Works Agency at the end of the contract City Council 29 — 30 8/20/2024 aCITY OF SANTA ANA period, or at any time deemed necessary by the City of Santa Ana. Protect the security of City property by keeping controller cabinets and building doors locked at all times • Refrain from using premises behind locked doors for storage of materials, supplies or tools, except as approved by the City of Santa Ana. • Program normal irrigation between the hours of 10:00 p.m. and 4:00 a.m. or as required. The Contractor shall turn off irrigation system during periods of rainfall and times when suspension of irrigation is desirable to conserve water while remaining within the guidelines of horticulturally acceptable maintenance practices as determined by the City of Santa Ana. When the City of Santa Ana acknowledges the necessity to turn on the water once again, all controllers shall be activated within twenty-four (24) hours. After 24 hours, the City of Santa Ana at his discretion may elect to activate the controllers with City forces. All irrigation systems shall be inspected and adjusted on a weekly basis or more frequently as required, considering the water requirements of each remote control valve. The Contractor shall physically inspect (by manual or semi -automatically running the Controller) the operation of all systems weekly. The Contractor shall maintain all sprinkler systems in such a way as to guarantee proper coverage and full working capability, and make whatever adjustments are necessary, including but not limited to, adjustment of heads or inserts, or replacing of inserts, etc., to prevent excessive over spray/runoff into street right-of-ways or other areas not intended to receive irrigation over spray/runoff. Controllers shall be programmed to water during nighttime hours between approximately 10:00 p.m. and 4:00 a.m. or upon request/when required. Contractor shall observe and note deficiencies occurring from the original design of facilities and review these findings with the City of Santa Ana so necessary improvements can be considered. Authorization must be obtained from the City before proceeding with work not covered under normal maintenance work and the malfunctioning sprinkler system area shall be irrigated by a portable irrigation method until all authorized repairs have been completed to the City's satisfaction. All areas receiving marginal coverage shall be irrigated by a portable irrigation method. The Contractor shall furnish all hoses, nozzles, sprinklers, etc., necessary to accomplish this supplementary irrigation. Care shall be exercised to prevent waste of water, erosion, and/or detrimental seepage into existing underground improvements or structures. City Council 29 — 31 8/20/2024 (9) CITY OF SANTA ANA Contractor shall submit a quarterly (or upon request) irrigation report to the City of Santa Ana. The report shall be of the format required by the City of Santa Ana and shall include, but not be limited to, controller location, address, type of controller, number of stations, and schedule for each station, turf, ground cover or shrub irrigation, condition of site, and repairs made for each station. Contractor shall provide irrigation personnel fully trained in all phases of landscape irrigation systems operation, maintenance, adjustment, and repair. This is to include diagnosis and repair of controllers, valve wires, control valves, lateral lines, gate valves, main lines, strainers, pressure regulators, backflow devices, moisture sensors, master valves, and electric pedestals. Contractor shall maintain an adequate stock of medium and high usage items for repair of all irrigation systems. Automatic controllers and/or enclosures shall be locked while unattended. Contractor shall maintain a log at each controller location. Contractor shall provide efficient use of water at all times. The controllers shall be programmed and monitored to maintain adequate moisture, optimal for growth and appearance, while eliminating excessive runoff. Adequate soil moisture shall be determined by visual observation, plant resiliency, and turgidity, examining cores removed by soil probe, moisture sensing devices, and programming irrigation controllers accordingly. Considerations must be given to soil texture, structure, porosity, water holding capacity, drainage, compaction, precipitation rate, runoff, infiltration rate, percolation rate, evapotranspiration, seasonal temperatures, prevailing wind condition, time of day or night, type of plant and root structure. Compensation for irrigation system monitoring and inspection shall be considered included in other items of work and no additional compensation will be allowed. Once a year during the month of March, Contractor shall wipe down the equipment in the irrigation controller cabinet to remove all dust and dirt, clean all electrical connections, install bait traps for control of ants, replace batteries as required, clean and remove intruding soil in valve boxes and replace gravel, as originally specified. All hinges and locks shall be regularly oiled to ensure trouble free operation. All controller enclosures must be painted in approved colors, as needed, to prevent rusting and maintain good appearance. Sprinkler heads shall be kept clear of overgrowth that may obstruct maximum operation. Repairs made to the irrigation system must be made in accordance with the system's original design with products equal to or higher quality than currently provided. Workmanship shall be performed in accordance with industry standards. City Council 29 — 32 8/20/2024 (9) CITY OF SANTA ANA All leaking or defective piping, valves, or other system components shall be repaired within twenty-four (24) hours of detection. Particular attention shall be paid to all slope areas, which will, by physical nature, provide for greatest potential runoff, which can contribute to erosion. Contractor shall turn off controllers when adequate rainfall is anticipated. In the event of irrigation system failure, manual watering required to keep the plant material in a vigorous, healthy condition is to be provided by Contractor and the irrigation system shall be repaired immediately at no additional cost to the City. At no time shall Contractor utilize a fire hydrant for irrigation purposes. Contractor will keep system in operation by valve or head adjustment to keep all systems operating at manufacturer's recommended operating pressure. This shall be accomplished by valve throttling pressure gaging. The valves should be throttled to prevent sprinkler heads from fogging, allowing droplets for effective watering. The City of Santa Ana may request a coverage test to evaluate proper settings, timing, usage, or maintenance of system. All valve boxes, controllers, and backflow devices shall be kept clear of plant growth. Contractor shall be responsible for periodic inspection of surface drains located within the landscaped areas. These drains shall be checked to assure proper functioning. Remove any debris or vegetation that might accumulate at the inlet and prevent proper flow of water. Any erosion damage because of Contractor's failure to keep the surface drains clear shall be repaired at Contractor's expense. Irrigation and drainage system repairs shall be compensated on a time and materials basis as agreed to by the Contractor and the City. 1.7. GENERAL MAINTENANCE AND CLEAN-UP The Contractor shall collect all clippings, trimmings, cuttings, rubbish and debris, and posted signs at all work sites and dispose of same in a lawful manner per contract requirements at the Contractor's expense. All trash and debris shall be removed from all worksites a minimum of one (1) time per week. The Contractor shall rake, hand remove, or vacuum leaves that are not absorbed by planting. This shall be done as often as required to maintain a neat appearance, or prevent plants from being smothered by seasonal leaf drop at least weekly or as directed by City of Santa Ana. City Council 29 — 33 8/20/2024 (9) CITY OF SANTA ANA After heavy windstorms, the entire contract area shall be cleaned of litter, fallen branches, etc. Contractor shall respond to calls from City of Santa Ana immediately. Contractor shall patrol all areas for trees down, fallen branches, hanging branches, debris, and other potential hazards. The Contractor shall keep sidewalks and all paved areas in the medians and under overpasses swept and cleaned of any debris, weeds, dirt, or soil. Tree wells shall be maintained weed free. 1.8. OTHER REQUIREMENTS Where new construction or redevelopment may involve a significant part of a work site, the City of Santa Ana may delete a portion of or the entire work site from contractual maintenance during the construction and plant establishment period. The deletion of this portion of work will be reflected as a reduction in the monthly payment to the contractor. The amount of reduction will be based on the percentage of area involved and agreed upon by the City and the Contractor. The City of Santa Ana shall weekly and/or as needed/upon request inspect the work area to ensure adequacy of maintenance and that methods of performing the work are in compliance with the contract. However, this shall not be construed to relieve the Contractor's supervisor of the duty to provide continuous inspection of the work area. Contractor shall provide a dedicated supervisor to Santa Ana for this contract. Discrepancies and deficiencies in the work shall be corrected by the Contractor immediately. The City expects a high level of service and maintenance. Additional routine maintenance may be added to this contract. Payment for add -on maintenance shall be computed based on specified rates provided by the contractor. All damage incurred by the Contractor's operations shall be repaired or replaced in kind and size at the Contractor's expense. Irrigation repairs shall be completed within twenty-four (24) hours using approved materials. City Council 29 — 34 8/20/2024 (9) CITY OF SANTA ANA Non -irrigation repairs shall be completed within seven (7) working days and shall be repaired using only pre -approved materials. Contractor shall be responsible for repair -related maintenance such as, but not limited to, watering and fertilizing of replaced plant materials until accepted by the City of Santa Ana. Contractor shall immediately report damaged landscaping caused by vandalism or vehicle accidents to the City of Santa Ana. Areas designated for annuals planting shall be rotated on a triannual (three times a year) basis. Appearance of designated areas shall be kept fresh and vigorous at all times. PART II: SCHEDULING OF WORK The Contractor shall accomplish all routine landscape maintenance required under this contract between the hours of 7:00 a.m. and 6:00 p.m., Monday through Friday. The City of Santa Ana may grant, on an individual basis, permission to perform maintenance at other hours. No maintenance functions that generate excess noise, which would cause annoyance to residents of any area, shall be commenced before 7:00 a.m. No Saturday or Sunday work is to be scheduled without permission from the City of Santa Ana, unless it is an emergency situation. The Contractor shall establish a schedule of routine work to be followed in the performance of this contract. A copy of this schedule shall be provided to the City of Santa Ana prior to the performance of any work required by these specifications, and any changes in scheduling shall be reported in writing to the City of Santa Ana immediately. Routine maintenance Locations shall not be interrupted/not completed as schedule without prior approval of the City of Santa Ana. The Contractor shall conduct the work at all times in a manner which will not interfere with pedestrian traffic on adjacent sidewalks or vehicular traffic on adjacent streets. All work performed under this contract shall be performed in such a manner as to provide maximum safety to the public, to the Contractor, and where applicable, comply with all safety standards required by CAL -OSHA. In addition, a special notification listing exact starting date for renovation, pruning and other infrequent operations, shall be furnished to the City of Santa Ana at least five (5) working days in advance of performing these operations. 1. LEVEL OF MAINTENANCE All work shall be performed in accordance with the HIGHEST INDUSTRY STANDARDS, as stated in the enclosed maintenance specification description. Standards and City Council 29 — 35 8/20/2024 (9) CITY OF SANTA ANA frequencies may be modified from time to time as deemed necessary by the City for the proper maintenance of the sites. If, in the judgment of the City, the level of maintenance is less than that specified herein, the City shall, at its option, in addition to or in lieu of other remedies provided herein, withhold appropriate payment from the Contractor until services are rendered in accordance with specifications set forth within this document and providing no other arrangements have been made between the contractor and the City. Failure to notify of a change and/or failure to perform an item of work on a scheduled day may result in deduction of payment for that date, week or month. Payment will be retained for work not performed until such time as the work is performed to City standards. The Contractor is required to correct deficiencies within the time specified by the City. If noted deficient work has not been completed, payment for subject deficiency shall be withheld for current billing period and shall continue to be withheld until deficiency is corrected, without right to retroactive payments. 2. QUALITY OF WORK AND MATERIAL All material and equipment furnished by the Contractor shall be new, high grade, and free from defects and imperfections, unless otherwise hereinafter specified. Workmanship shall be in accordance with the best standard practices. Both materials and workmanship shall be subject to the approval of the City of Santa Ana. All materials used shall be approved in advance by the City of Santa Ana. The City reserves the right to purchase materials directly and make them available to the Contractor. In the event the City exercises the option to purchase the materials, the following conditions will apply: • Contractor shall conform to all City practices and procedures. • Contractor shall comply to all safety regulations by City and CAL OSHA. • All City purchases will be for the sole expressed use of and for the City. • The Contractor shall secure, store, inventory, distribute and control all materials entrusted to the Contractor's representatives. All materials and inventories shall be made available to the City upon request. 3. SUPERVISION OF CONTRACT All work shall meet with the approval of the City of Santa Ana. Any specific problem area which does not meet the conditions of the specifications set forth herein shall be called to the attention of the Contractor and if not corrected, payment to the Contractor will not be made until the condition is corrected in a satisfactory manner as set forth in the specifications. City Council 29 — 36 8/20/2024 (9) CITY OF SANTA ANA 4. WORKMANSHIP AND SUPERVISION Work shall be performed by competent and experienced workers. The work force shall include a thoroughly skilled, experienced, and competent supervisor who shall be responsible for adherence to the specifications. All personnel shall be neat in appearance and in uniforms. All personnel shall wear identification badges or patches. Those employees working in or adjacent to traffic lanes shall wear safety vests and follow all necessary safety procedures at the facilities. Persons employed by the Contractor who are found not to be satisfactory by the City shall be discharged or reassigned by the Contractor on fifteen (15) days' notice from the City. 5. SAFETY REQUIREMENT The contractor shall provide a safety data sheet (SDS) for all chemicals including but not limited to pesticides, herbicides, etc. to the City of Santa Ana prior to utilization. All work performed under this contract shall be performed in such a manner as to provide maximum safety to the public and where applicable, comply with all safety standards required by CAL -OSHA. The City of Santa Ana reserves the right to issue restraint or cease and desist orders to the Contractor when unsafe or harmful acts are observed or reported relative to the performance of the work under this contract. All contractor vehicles shall have a "W.A.T.C.H." work area traffic control manual at all times. The Contractor shall maintain all work sites free of hazards to persons and/or property resulting from his/her operations. Any hazardous condition noted by the Contractor, which is not a result of his/her operations, shall be immediately reported to the City of Santa Ana. The City can cancel or stop work at any time when the safety of the Contractor, the public, etc. is compromised. The contractor shall assure that each employee or subcontractor under the contractor's supervision is trained in the work practices necessary to safely perform his or her job. The contractor will assure that each employee or subcontractor under the contractor's supervision is instructed in the known potential hazards related to his or her job. The contractor shall assure that each employee or subcontractor under the contractor's supervision follows safety rules and safe work practices. 6. SCHEDULES • The annual schedule shall be submitted for City approval within fifteen (15) calendar days after effective date of the contract. • The Contractor shall submit revised schedules when actual performance differs substantially from planned performance. City Council 29 — 37 8/20/2024 (a CITY OF SANTA ANA ■ Changes to the schedule shall be received by the City of Santa Ana at least twenty- four (24) hours prior to the scheduled time for the work. ■ Failure to notify of a change and/or failure to perform an item of work on a scheduled day may result in deduction of payment for that date, week, or month. The Contractor shall adjust his/her schedule to compensate for all holidays and rainy days. Maintenance and litter removal shall be scheduled for all holidays and rainy days, unless otherwise indicated by the City. 6.3. DAILY SCHFDL I F o Changes to daily schedule can be made verbally or by email to the City of Santa Ana. 7. PERFORMANCE DURING INCLEMENT WEATHER During periods of storms, Contractor will provide supervisory inspection of the project during regular hours to prevent or minimize possible damage from inclement weather. Contractor shall submit a report identifying any storm damage to the City of Santa Ana attached to a site map identifying location of damage and cost estimate to repair/replace. If remedial work is required beyond the scope of this contract, it shall be considered as extraordinary work. During periods of inclement weather, i.e. rain/wind; Contractor's workforce shall accomplish work not affected by such weather, i.e. litter pick up/spent blossom removal, preventative maintenance, etc. Contractor shall stake and re -tie trees as required. Drains shall be checked and cleaned as necessary. Contractor shall remove all branches and debris resulting from inclement weather. Contractor may be required to perform additional clean-up tasks due to inclement weather. 8. MATERIAL The Contractor shall submit a list to the City of Santa Ana of all materials that the Contractor proposes to use in the execution of this work. The list shall include the chemical analysis, recommended usage and any other pertinent data by the manufacturer of material. Said list shall be submitted before use of any product, pursuant to the provisions of this agreement. All materials used or submitted shall be in full compliance with all Federal, State, County, and local agency laws, guidelines and requirements. City Council 29 — 38 8/20/2024 (9) CITY OF SANTA ANA The following shall apply to the material indicated: • Fertilizers shall be complete, furnishing the required percentage of nitrogen, phosphoric acid and potassium to keep lawns, trees, shrubs, and other plants in a healthy and vigorous growing condition. • Insecticides, fungicides, herbicides, and rodenticides shall be of the best quality obtainable, properly labeled with guaranteed analysis, and brought to the job site in the manufacturer's original container. • Tree stakes, tree ties and guy wires shall be of materials matching those existing in the work site nr as specified by the City of Santa Ana. • Replacement trees, shrubs, ground cover, and other plants shall be of a size, condition and variety specified by the City of Santa Ana. • Replacement plant materials may be inspected by the City of Santa Ana prior to planting. • The City of Santa Ana shall determine replacement lawn sod. 9. RECYCLING/DISPOSAL All organic waste (including leaves, grass clippings, brush, branches, and tree parts) resulting from work performed under this contract shall be recycled through composting or processing for use as mulch. Organic waste cannot be taken to the landfill. The names and addresses of the licensed green -waste composting or processing companies, and haulers, along with the tonnages used and receipts, shall be provided to the City of Santa Ana in a monthly written report and an annual written report. A hundred percent (100%) of all landscape debris will be disposed of through a landscape material recycling center or reused in some manner. The Contractor shall dispose of all cuttings, weeds, leaves, trash, and other debris from the operation as work progresses. The City shall not be responsible for the disposal. Contractor shall pay all disposal fees and provide documentation evidence of recycling to include location, tonnage, etc. to the City. At no time is the Contractor permitted to use City dumpsters. 10.RECORDS The Contractor shall, within fifteen (15) days of the effective date of an executed agreement, prepare and submit a written annual maintenance calendar to the City of Santa Ana. This maintenance calendar shall clearly indicate all of the landscape maintenance tasks required by this agreement and the months of the year they are scheduled to be performed. If it is necessary to make periodic revisions to this maintenance schedule, a modified calendar must be submitted to the City of Santa Ana for approval prior to the date the changes are to take effect. City Council 29 — 39 8/20/2024 (9) CITY OF SANTA ANA 11.EMERGENCY SERVICES The Contractor shall provide the City with names and telephone numbers of at least two qualified persons who can be called by City representatives when emergency maintenance conditions occur during hours when the Contractor's normal work force is not present in the City of Santa Ana. These Contractor representatives shall respond to said emergency within twenty four (24) hours from receiving notification. 12.UNDERGROUND EXCAVATIONS Contractor shall be responsible for locating all underground utility lines to insure the safety of his/her work crew and to protect, in place, existing utility equipment before commencing any excavation. Contractor shall contact the City of Santa Ana and Underground Service Alert (811) 48 hours before commencing any excavation, to locate underground service lines. 13. AS NEEDED LANDSCAPE PLANNING AND BEAUTIFICATION PROJECTS The contractor shall provide estimates, at the City's request for as -needed landscape planning and/or beautification requests. Work under this category shall be based upon a time and material basis using the company hourly rates. Requests for service shall be responded to within 24 hours. No work shall begin unless authorized by the City. City Council 29 — 40 8/20/2024 (9) CITY OF SANTA ANA Maintenance Frequency Schedule FUNCTION FREQUENCY Turf Maintenance Mowing Once/Week Edging Once/Week Clipping Removal Once/Week String Trimming Once/Week Fertilize Four 4 times a year Pest and Weed Control Continuous/As needed Visual Inspection Weekly Chemical Weed Control Continuous/As needed Ground Cover Maintenance Trim Monthly Fertilize Four 4 times a year Pest and Weed Control Continuous/As needed Visual Inspection WeeklX Minimum once a year or as needed Pre -emergent herbicide Shrub, Vine and Tree Maintenance Trim Shrubs Monthly or sooner if needed Vines Six 6 times a year Trees Continuous/As needed Fertilize Four 4 times a year Visual Inspection Weekly Pre -emergent herbicide Continuous/as needed Hardsca a Maintenance Weekly Grounds Policing/Litter Removal All Areas Weekly City Council 29 — 41 8/20/2024 (a CITY OF SANTA ANA EXHIBIT II: SITE LOCATIONS & MAPS Square Turf Ground Shrub, Tree, Hardscape Site Site Name Address Feet Maintenance Cover Vine, Maintenance # (approx) (Grass) Maintenance Maintenance Elevated 14th/Poinsetta, 1 Tank Santa Ana, CA 6,000 X X 92701 2736 N 2 Cambridge Cambridge St. 31,300 X X X Station Santa Ana, CA 90701 Cambridge 2733 Concord St. 3 Lot Santa Ana, CA 31,695 X X X 92705 1730 S. Santa 4 East Station Fe, Santa Ana, 56,300 X X X CA 92705 J. Garthe 2401 N Bristol St, 5 Station Santa Ana, CA 100,800 X X X X 92706 South 1727 W Alton 6 Station Ave, Santa Ana, 79,800 X X X CA 92705 West 201 S Mountain 7 Station View, Santa Ana, 36,100 X X CA 92703 West 4404 W 1 st St. 8 Station Lot Santa Ana, CA 4,150 X X 92703 723 W Walnut St, 9 Walnut Santa Ana, CA 6,600 X X X 92701 1011 W 6th St, 10 Well 16 Santa Ana CA 490 X 92703 4426 W 1 st St, 11 Well 21 Santa Ana, CA 2,900 X 92703 1800 W 22nd St, 12 Well 24 Santa Ana CA 1,270 X X X 92706 101 S Flower St, 13 Well 29 Santa Ana CA 1,900 X 92701 City Council 29 — 42 8/20/2024 (a CITY OF SANTA ANA Square Turf Ground Shrub, Tree, Hardscape Site Site Name Address Feet Maintenance Cover Vine, # (approx) (Grass) Maintenance Maintenance Maintenance Flower 202 S Flower 14 South Ave, Santa Ana 8,450 X X CA 92703 Flower 120 S. Flower St. 15 North Santa Ana, CA 3,000 X X 92703 4426 W 1 st St, 16 Well 30 Santa Ana, CA 3,900 X X 92703 1815 E Chestnut 17 Well 31 St. Santa Ana, 380 X X X CA 92701 917 W Walnut St, 18 Well 33 Santa Ana CA 5,200 X X X X 92703 1718 N Sydney 19 Well 35 PI, Santa Ana CA 7,150 X X X 92706 501 3/4 W Memory 20 PRV-1 Lane, Santa Ana 3,100 X X X CA 92706 627 E 21 Washington Washington Ave, 31,000 X X Santa Ana CA 92701 City of 215 S. Center St, 22 Santa Ana Santa Ana, CA 512,701 X X X X Corporate 92703 Yard 2007 W 23 Well 37 McFadden Ave, 2,500 X X Santa Ana, CA 92704 17t" Street 315 E 17t" St, 24 Lot Santa Ana, CA 7,200 X X 92706 Figueroa 612 N Figueroa 25 Lot St, Santa Ana, 7,875 X X X CA 92703 2215 S. Ritchey 26 SA 7 St, Santa Ana, 2,442 X X X CA 92705 San 2909 S. Bristol St, 27 Lorenzo Lift Santa Ana, CA 4,150 X X X Station 92704 City Council 29 — 43 8/20/2024 (a CITY OF SANTA ANA Square Turf Ground Shrub, Tree, Hardscape Site Site Name Address Feet Maintenance Cover Vine, # (approx) (Grass) Maintenance Maintenance Maintenance Crooke Santiago Park, 28 Reservoir Santa Ana, 92706 13,750 X X X Lot City Council 29 — 44 8/20/2024 A 4 City Council 29 — 45 8/20/2024 POP -- -doe s k � ' e Ca I rWer 8 } I 7 X, _ t r .-'• - S ; Cambridge Lot •�r 40 tip 4. r� 7,Av w Of i} - - iT qT�f III, '�, ` • A `'1 t City Council 29 — 47 8/20/2024 v ■ • � a Yll" Fly- 4 age low , IW 4, �� 1 EasS - eser�c�� t ..r C Garthe Station �. �; AN "MO rw 4. City Council 29-49 8/20/2024 Z:.4 mil : ■ ................. ti _ r — ........................ ■ . .................... r • .. r rt ' I■ i S .r r.r r. r.r f !! • .......... �c ■■■■rrr■■r■rrr■r.wr two • rrrrrr -� . .. � r ell ;iJ \ ra 2 P rj'iii" ; ■■■■rrr■■■■■■•■■■■■■■■■■■■ 1 �y r■ t ra cn�u . - � �.. s yam; -�p • .ram -- I C West Station.. IT do 'v r � .4M AY aw + City Council 29 — 51 8/20/2024 West Station Lot w .t .i City Council .. �.. + - p a � 29-52 Man Public agent r. 0 8/20/2024 tiY t S'ation f I f- i� _yam �� •d ,_ _ r4A, 16 40 a AOe Li City Council 29 — 56 8/20/2024 1c. �� 'JIM "41A r d. I I L-- X • Flower North Ar r 0 �i �0 _ N Walnut, Flower South s� r tw ! C MW • ,�1 l V*t or . r r r, i is r Well 35 I r _ • w ti K • ` � .r ' Y I fill N' • / - — -� i F ` � Vat is ��i i �` •� i* — � lopAli r +I 1 w mot• ' . i I City Council 29 — 62 8/20/2024 City Council 29 — 63 8/20/2024 Washington Site d _ _ 1 - 1 jig i" � 0 City Council 29 — 64 8/20/2024 .� City of Santa Ana a - - _ Corporate Yard to % a t c , . 7 r .14 City Council 29 — 65 8/20/2024 Well 37 ' .. r-.s y 1 � �. i 4,4 . 7 Ik r i A r _ _ City Council 29 — 66 8/20/2024 rft o A. Cantamar Pr Managernen z r7:1;lv I i . 0 C Tours •o d. z .. �{ r i11I u . Bail Hotline Bail B: :-. i . y --- 17-th St — — 1-7th St` -- - 1 7th St - 1 7th St. 17th J 7 7th St- t17th St _ 17thrSt-7tj� A40c 17IStreet Lot _ 't 1 j 1 Ow Figueroa L r 1 52 b30 4 os • La.l_specia • , ,o o ' exic S �r+•+��b •'• ; 1 • • 4 LL Z OF L Income Tax A t Best Inn 5 'ti 1 12 ,1 b2 621 • ► 52 star h`44: I Figueroa.Lot d. 'v� w - � �► t ' z li . ♦.w r ?:. DC6 _ r G i er nd �o d Body ArtEL v it M.*l. J1 + .. ` r y i �cu y . -, SA 7 IR4&h, wi''- - /ak, 1/ City Council 29 — 69 8/20/2024 -r. I� M City Council 29 — 70 8/20/2024 Crooke Reservoir Lot ll) w 1; I • A Jfi 1� S 1` �lv City Counci 29 — 71I AL _� (9) CITY OF SANTA ANA ATTACHMENT A: PROPOSER'S FEE SCHEDULE Certification - I certify that I have read, understand and agree to the terms and conditions of this Request for Proposals. I have examined the Scope of Services (Exhibit 1) and am familiar with the scope of work locations. I am familiar with all the existing conditions and limitation that may impact work requests. I understand and agree that I am responsible for reporting any errors, omissions or discrepancies to the City for clarification prior to the submission of my proposal. Proposal Item Price - Specify costs for the proposed landscaping work at the various systems detailed in Exhibit 11. Indicate a monthly and annual price for each bid item. Total quotation is to be firm offer for no less than ninety (90) days and will be regarded by the City as bidder's best and final offer. Note: This contract is subject to prevailing wages. TO: CITY COUNCIL OF THE CITY OF SANTA ANA FROM: Item # Bid Item (by Sitel Monthly Fee Annual Fee 1 Elevated Tank $ $ 2 Cambridge Station $ $ 3 Cambridge Lot $ $ 4 East Station $ $ 5 J. Garthe Station $ $ 6 South Station $ $ 7 West Station $ $ 8 West Station Lot $ $ 9 Walnut $ $ 10 Well 16 $ $ 11 Well 21 $ $ 12 Well24 $ $ 13 Well29 $ $ 14 Flower South $ $ 15 Flower North $ $ 16 Well30 $ $ 17 Well 31 $ $ 18 Well33 $ $ 19 Well35 $ $ 20 PRV-1 $ $ 21 Washington $ $ City Council 29 — 72 8/20/2024 (9) CITY OF SANTA ANA 22 SA Corp Yard $ $ 23 Well37 $ $ 24 1711 St. Lot $ $ 25 Figueroa Lot $ $ 26 SA 7 $ $ 27 San Lorenzo $ $ 28 Crooke Reservoir $ $ Grand Total $ Contractor shall submit additional labor, material and equipment rates along with fee schedule. Contractor's labor and equipment rate sheet shall list rates for all labor designations, equipment and materials. Specify and estimate any other costs associated with the system. * Quantities listed are for bid comparison only and are subject to change. LEGAL NAME OF COMPANY PHONE AND FAX NUMBERS BUSINESS ADDRESS PRINTED NAME OF AUTHORIZED AGENT TITLE SIGNATURE OF AUTHORIZED AGENT DATE E-MAIL ADDRESS FEDERAL ID NUMBER (IF APPLICABLE) THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. City Council 29 — 73 8/20/2024 CITY OF SANTA ANA EXHIBIT II SAMPLE AGREEMENT CONSULTANT -AGREEMENT CITY OF SANTA ANA THIS AGREEMENT is made and entered into on this day of , 20_ by and between , ("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 City desires to retain a Consultant having special skill and knowledge in the field of: B. Consultant represents that Consultant is able and willing to provide such services to the City. C. In undertaking the performance of this Agreement, Consultant represents that it is knowledgeable in its field and that any services performed by Consultant 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: SCOPE OF SERVICES Consultant 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 Scope of Services - Exhibit A, attached hereto and incorporated by reference. 2. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services for City, the rates and charges identified in Compensation - Exhibit B. The total amount to be expended during the term of this Agreement shall not exceed $xxxxxx. 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. 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 [enter a Start Date or "the date first written above"] for a number (#)(#) year term with the option for the City to grant up to a number (#)-year renewals, exercisable by a writing by the City Manager and the City Attorney, unless terminated earlier in accordance with Section 15, below. 4. INDEPENDENT CONTRACTOR Consultant shall, during the entire term of this Agreement, be construed to be an independent Consultant 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 Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant shall pay all salaries and wages, employer's social City Council 29 — 74 8/20/2024 (9) CITY OF SANTA ANA security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. 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 Consultant under this Agreement ("Documents & Data"). Consultant shall require all subcontractors to agree in writing that City is granted a non-exclusive and perpetual license for any Documents & Data the subcontractor prepares under this Agreement. Consultant represents and warrants that Consultant has the legal right to license any and all Documents & Data. Consultant makes no such representation and warranty in regard to Documents & Data which were provided to Consultant 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. 6. INSURANCE (Subject to revision per RMD requirements) Contractor 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 Contractor, his agents, representatives, employees or subcontractors. 1. Commercial General Liability (CGL): Insurance Services Office Form CG 00 01covering 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 and $2,000,000 aggregate. Required policy limits can be met with primary and umbrella/excess insurance policies. 2. Automobile Liability: Insurance Services Office Form CA 00 01 covering Code 1 (any auto), with limits no less than $1,000,000 combined single limits. 3. Workers' Compensation: 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, policy or employee, for bodily injury or disease. If Vendor maintains broader coverage and/or higher limits than the minimum requirements for each line of coverage shown above, City requires and shall be entitled to the broader coverage and/or the higher limits maintained by Vendor. Any available insurance proceeds in excess of the specified minimum limits of insurance and coverage shall be available to City. Other Insurance Provisions The above required insurance policies are to contain or be endorsed to contain the following provisions: 1.City, its City Council, its officers, officials, employees, agents, and volunteers are to be covered as additional insureds, under Vendor's CGL, Professional Liability, and Automobile Liability policies, with respect to any liability arising out of work or operations performed by or on behalf of the Instructor including materials, parts, equipment, and personnel furnished in connection with such work or operations. 2.Vendor's Insurance company(ies) agrees to waive all rights of subrogation against City, its City Council, its officers, officials, employees, agents, and volunteers for losses paid under the terms of any policy which arise from work performed by Vendor under this Agreement. 3.For any claims related to this contract, Vendor'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. City Council 29 — 75 8/20/2024 (9) CITY OF SANTA ANA 4.A severability of interest provision must apply for all the additional insureds, ensuring that Vendor'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. 5.Insurance policies 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 of premium. 6.Certificate Holder on each Evidence of Insurance certificate shall be: City of Santa Ana, 20 Civic Center Plaza, Santa Ana, CA 92701. The name and location of project must 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. The City may require the Vendor 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 Vendor 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 before work begins. However, failure to obtain the required documents prior to the work beginning shall not waive Vendor'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. 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. 7. INDEMNIFICATION Consultant 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 Consultant 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. City Council 29 — 76 8/20/2024 (a CITY OF SANTA ANA INTELLECTUAL PROPERTY INDEMNIFICATION Consultant 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 Consultant to the City pursuant to this Agreement. RECORDS Consultant shall keep records and invoices in connection with the work to be performed under this Agreement. Consultant 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 Consultant under this Agreement. All such records and invoices shall be clearly identifiable. Consultant 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. Consultant 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 Consultant under this Agreement. CONFIDENTIALITY If Consultant receives from the City information which due to the nature of such information is reasonably understood to be confidential and/or proprietary, Consultant 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 Consultant disclosed in a publicly available source; (c) is in rightful possession of the Consultant without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Consultant without reference to information disclosed by the City. CONFLICT OF INTEREST CLAUSE Consultant 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. NON-DISCRIMINATION Consultant 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. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 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 Consultant or the City. City Council 29 — 77 8/20/2024 (9) CITY OF SANTA ANA 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. 44- ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Contractor, Consultant 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. TERMINATION This Agreement may be terminated by the City upon thirty (30) days written notice of termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant compensation for all services performed by Consultant 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 Consultant 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 Consultant 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. 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. 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. PROFESSIONAL LICENSES Consultant 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. Consultant 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. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by fax or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Clerk of the City Council City Council 29 — 78 8/20/2024 (a CITY OF SANTA ANA City of Santa Ana 20 Civic Center Plaza (M-30) P.O. Box 1988 Santa Ana, CA 92702-1988 Fax: 714- 647-6956 With courtesy copies to: Executive Director, ------- Agency City of Santa Ana 20 Civic Center Plaza (M-xx) P.O. Box 1988 Santa Ana, California 92702 Fax: To Contractor: First & Last Name Title Consultant Firm Name Address City, State, Zip Fax: 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. MISCELLANEOUS PROVISIONS 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. The Agreement is the final and complete agreement and any prior or contemporaneous agreements for similar services between the parties is superseded by this Agreement. This shall not apply where the Parties are currently engaged and Consultant is providing services not contemplated by this Agreement. C. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: Jennifer L. Hall City Clerk CITY OF SANTA ANA Kristine Ridge City Manager City Council 29 — 79 8/20/2024 (a APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: Assistant City Attorney RECOMMENDED FOR APPROVAL: Executive Director [INSERT] Agency CITY OF SANTA ANA CONSULTANT: (name) (title) SAMPLE ONLY City Council 29 — 80 8/20/2024 (9) CITY OF SANTA ANA ATTACHMENT A PROPOSER'S CERTIFICATION, PROPOSAL PRICING Certification - I certify that I have read, understand and agree to the terms and conditions of this Request for Proposals. I have examined the Scope of Services (Exhibit 1) and am qualified to provide services being requested as specified herein. I understand and agree that I am responsible for reporting any errors, omissions or discrepancies to the City for clarification prior to the submission of my proposal. PROPOSER'S STATEMENT: I have read, understood and agree to the terms and conditions on all pages of the Request for Proposals. Upon request, I will transfer and deliver goods or services to the City in accordance with said terms and conditions. LEGAL NAME OF COMPANY PHONE AND FAX NUMBERS BUSINESS ADDRESS PRINTED NAME OF AUTHORIZED AGENT TITLE SIGNATURE OF AUTHORIZED AGENT DATE E-MAIL ADDRESS FEDERAL ID NUMBER (IF APPLICABLE) CONTRACTOR LICENSE NUMBER (IFAPPLICABLE) CITY OF SANTA ANA BUSINESS LICENSE NUMBER (PLEASE PROVIDE IF AVAILABLE, BUT NOT REQUIRED UNTIL AND IF AN AWARD IS MADE TO PROPOSER.) THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. City Council 29 — 81 8/20/2024 CITY OF SANTA ANA ATTACHMENT B REFERENCES List and describe fully the contracts performed by your firm which demonstrate your ability to provide the supplies, equipment or services included in the scope of the proposal specifications. Attach additional paaesT if required. The City reserves the right to contact each of the references listed for additional information regarding your firm's qualifications. Customer Name: Contact Individual: Address: Phone Number: EMAIL: Contract Amount: Year: Description of supplies, equipment, or services provided: REFERENCE Customer Name: Contact Individual: Address: Contract Amount: Phone Number: EMAIL: Year: Description of supplies, equipment, or services provided: REFERENCE Customer Name: Contact Individual: Address: Contract Amount: Phone Number: EMAIL: Year: Description of supplies, equipment, or services provided: THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. City Council 29 — 82 8/20/2024 CITY OF SANTA ANA ATTACHMENT C PROPOSER'S STATEMENT Proposer understands and agrees that this written RFP (or any part thereof specifically designated and accepted by the City of Santa Ana, hereinafter City) shall constitute the entire agreement between proposer and the City only after it has been accepted by the City Council, endorsed by the Clerk of the Council with her signature and official seal noting hereon the action of approval of the Council, signed by the Executive Director or his duly authorized agent, and signed by the City Attorney, denoting his approval of the form of this document, and its execution, and when it or an exact copy of it has been either delivered to proposer or deposited with the United States Postal Service properly addressed to the proposer with the correct postage affixed thereto. Proposer further agrees that upon delivery (as defined above) of the accepted agreement he/she will furnish City all required bonds and certificate of liability insurance within ten (10) days (excluding Saturdays, Sundays and City's legal holidays), or the funds, check, draft, or proposer's bond substituted in lieu thereof accompanying this proposal shall become the property of the City and shall be considered as payment of damages due to the delay and other causes suffered by City because of the failure to furnish the necessary bonds and because it is distinctly agreed that the proof of damages actually suffered by City is difficult to ascertain; otherwise said funds, check drafts, or proposer's bond substituted in lieu thereof shall be returned to the undersigned. Proposer understands that a proposal is required for the entire work, that the estimated quantities set forth in the RFP schedule are solely for the purpose of comparing proposals, and that final compensation under the contract will be based upon the actual quantities of work satisfactorily completed. All terms contained in the specifications, the certification of nondiscrimination by contractors, and the required insurance certificates are to be incorporated by reference into this agreement and are made specifically as part of this RFP. Firm Signed and Printed Name: Title Date THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. City Council 29 — 83 8/20/2024 (9) CITY OF SANTA ANA ATTACHMENT D NON -COLLUSION AFFIDAVIT (Title 23 United States Code Section 112 and Public Contract Code Section 7106) To the CITY OF SANTA ANA In accordance with Title 23 United States Code Section 112 and Public Contract Code 7106 the proposer declares that the proposal is not made in the interest of, or on behalf of, any undisclosed person, partnership, company, association, organization, or corporation; that the proposal is genuine and not collusive or sham; that the proposer has not directly or indirectly induced or solicited any other proposer to put in a false or sham proposal, and has not directly or indirectly colluded, conspired, connived or agreed with any proposer or anyone else to put in a sham proposal, or that anyone shall refrain from bidding; that the proposer has not in any manner, directly or indirectly, sought by agreement, communication, or conference with anyone to fix the proposal price of the proposer or any proposer, or to fix any overhead, profit, or cost element of the proposal price, or of that of any other proposer, or to secure any advantage against the public body awarding the contract of anyone interested in the proposed contract; that all statements contained in the proposal are true; and, further, that the proposer has not, directly or indirectly, submitted his or her proposal price or any breakdown thereof, or the contents thereof, or divulged information or data relative thereto, or paid, and will not pay, any fee to any corporation, partnership, company association, organization, bid depository, or to any member or agent thereof to effectuate a collusive or sham proposal. Note: The above non -collusion affidavit is part of the proposal. Signing this proposal on the signature portion thereof shall also constitute signature of this non -collusion affidavit. Proposers are cautioned that making a false certification may subject the certifier to criminal prosecution. Signed State of , County of Subscribed and sworn to (or affirmed) before me on this day of , 20 , by , proved to me on the basis of satisfactory evidence to be the person(s) who appeared before me. Notary Public Signature Notary Public Seal THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. City Council 29 — 84 8/20/2024 CITY OF SANTA ANA ATTACHMENT E NON -LOBBYING CERTIFICATION The prospective participant certifies, by signing and submitting this bid or proposal, to the best of his or her knowledge and belief, that: (1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any Federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. (2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any Federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure of Lobbying Activities," in conformance with its instructions. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by Section 1352, Title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. The prospective participant also agrees by submitting his or her bid or proposal that he or she shall require that the language of this certification be included in all lower tier subcontracts, which exceed $100,000 and that all such subrecipients shall certify and disclose accordingly. Signed: Title: Firm: Date: THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. City Council 29 — 85 8/20/2024 (9) CITY OF SANTA ANA ATTACHMENT F NON-DISCRIMINATION CERTIFICATION The undersigned consultant or corporate officer, during the performance of this contract, certifies as follows: The Consultant shall not discriminate against any employee or applicant for employment because of race, color, religion, sex, or national origin. The Consultant shall take affirmative action to ensure that applicants are employed, and that employees are treated during employment without, regard to their race, color, religion, sex, or national origin. Such action shall include, but not be limited to, the following: employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. The Consultant agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided setting forth the provisions of this nondiscrimination clause. 2. The Consultant shall, in all solicitations or advertisements for employees placed by or on behalf of the Consultant, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, or national origin. 3. The Consultant shall send to each labor union or representative of workers with which he/she has a collective bargaining agreement or other contract or understanding, a notice to be provided advising the said labor union or workers' representatives of the Consultant's commitments under this section, and shall post copies of the notice in conspicuous places available to employees and applicants for employment. 4. The Consultant shall comply with all provisions of Executive Order 11246 of September 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor. 5. The Consultant shall furnish all information and reports required by Executive Order 11246 of September 24, 1965, and by rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his/her books, records, and accounts by the administering agency and the Secretary of Labor for purposes of investigation, to ascertain compliance with such rules, regulations, and orders. In the event of the Consultant's non-compliance with the nondiscrimination clauses of this contract or with any of the said rules, regulations, or orders, the contract may be canceled, terminated, or suspended in whole or in part and the Consultant may be declared ineligible for further Government contracts or federally assisted construction contracts in accordance with procedures authorized in Execution Order 11246 of September 24, 1965, and such other sanctions may be imposed and remedies invoked as provided in Executive Order 11246 of September 24, 1965, or by rule, regulations, or order of the Secretary of Labor, or as otherwise provided by law. 2. The Consultant shall include the portion of the sentence immediately preceding paragraph (1) and the provisions of paragraphs (1) through (7) in every subcontract or purchase order unless exempted by rules, regulations, or orders of the Secretary of Labor issued pursuant to Section 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontract City Council 29 — 86 8/20/2024 (a CITY OF SANTA ANA or purchase order as the administering agency may direct as means of enforcing such provisions, including sanctions for noncompliance; provided, however, that in the event the Consultant becomes involved in, or is threatened with, litigation with a subconsultant or vendor as a result of such direction by the administering agency, the Consultant may request that the United States enter into such litigation to protect the interests of the United States. 8. Pursuant to California Labor Code Section 1735, as added by Chapter 643 Stats. 1939, and as amended, no discrimination shall be made in the employment of persons upon public works because of race, religious creed, color, national origin, ancestry, physical handicaps, mental condition, marital status, or sex of such persons, except as provided in Section 1420, and any consultant of public works violating this Section is subject to all the penalties imposed for a violation of the Chapter. Signed: Title: Firm: Date: THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. City Council 29 — 87 8/20/2024 EXHIBIT 2 CONTRACTOR AGREEMENT BETWEEN MARIPOSA LANDSCAPES, INC. AND THE CITY OF SANTA ANA FOR LANDSCAPE MAINTENANCE SERVICES THIS AGREEMENT is made and entered into on this 20th day of August, 2024 by and between Mariposa Landscapes, 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 March 11, 2024 the City issued Request for Proposal ("RFP") No. 24-018, by which it sought a contractor to provide landscape maintenance services for City's Public Works Agency (PWA) water facilities and City's Corporate Yard. B. Contractor submitted a responsive proposal that was selected by the City. Contractor represents that it is able and willing to provide the services described in the scope of work that was included in RFP. No. 24-018 and addendum thereto. 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 all services described in the Scope of Work included within RFP No. 24-018 which is attached hereto and incorporated herein as "Exhibit A," and shall perform those services further described in Contractor's Proposal which is attached hereto and incorporated herein as "Exhibit B." 2. COMPENSATION a. City agrees to pay, and Contractor agrees to accept as total payment for its services for City, the rates and charges identified in Exhibit B. The total amount to be expended during the term of this Agreement, including all extension periods, shall not exceed the sum of $695,760.00, which is comprised of a base amount of $535,200.00, and a contingency amount of $160,560.00, to be exercised at the City's sole discretion. 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 Page 1 of 9 City Council 29 — 88 8/20/2024 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 August 20, 2024 for a three (3) year term ending August 19, 2027, with the option for the City to grant up to two (2), one (1) year renewals, exercisable by a writing by the City Manager and the City Attorney, unless terminated earlier in accordance with Section 16, below. 4. PREVAILING WAGES Contractor is aware of the requirements of California Labor Code Section 1720, et seq., and 1770, et seq., as well as California Code of Regulations, Title 8, Section 16000, et seq., ("Prevailing Wage Laws"), which require the payment of prevailing wage rates and the performance of other requirements on "public works" and "maintenance" projects. If the services being performed are part of an applicable "public works" or "maintenance" project, as defined by the Prevailing Wage Laws, and the total compensation is $1,000 or more, Contractor agrees to fully comply with such Prevailing Wage Laws. Contractor shall defend, indemnify and hold the City, its elected officials, officers, employees and agents free and harmless from any claim or liability arising out of any failure or alleged failure to comply with the Prevailing Wage Laws. 5. INDEPENDENT CONTRACTOR Contractor shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer -employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Contractor performs the services which are the subject matter of this Agreement; however, the services to be provided by Contractor shall be provided in a manner consistent with all applicable standards and 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 Page 2 of 9 City Council 29 — 89 8/20/2024 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 Prior to undertaking performance of work under this Agreement, Contractor shall maintain and shall require any subcontractors to obtain and maintain insurance as described below for the entire Term of this Agreement against claims for injuries to persons or damage to property which may arise from or in connection with services, products and materials supplied to City. Total cost of such insurance shall be borne by Contractor. Minimum Scope and Limit of Insurance: • Commercial General Liability (CGL): Insurance Services Office Form CG 00 01covering 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 and $2,000,000 aggregate. Required policy limits can be met with primary and umbrella/excess insurance policies. • Automobile Liability: Insurance Services Office Form CA 00 01 covering Code 1 (any auto), with limits no less than $1,000,000 combined single limits. • Workers' Compensation: 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, policy or employee, for bodily injury or disease. • If Contractor maintains broader coverage and/or higher limits than the minimum requirements for each line of coverage 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 above required insurance policies are to contain or be endorsed to contain the following provisions: • City, its City Council, its officers, officials, employees, agents, and volunteers are to be covered as additional insureds, under Contractor's CGL, Professional Liability, and Automobile Liability policies, with respect to any liability arising out of work or operations performed by or on behalf of the Instructor including materials, parts, equipment, and personnel furnished in connection with such work or operations. • Contractor's Insurance company(ies) agrees to waive all rights of subrogation against City, its City Council, its officers, officials, employees, agents, and volunteers for Page 3 of 9 City Council 29 — 90 8/20/2024 losses paid under the terms of any policy which arise from work performed by Contractor under this Agreement. • 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. • 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. • Insurance policies 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 of premium. • Certificate Holder on each Evidence of Insurance certificate shall be: City of Santa Ana, 20 Civic Center Plaza, Santa Ana, CA 92701. The name and location of project must 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. The City may require the 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 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. 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 Page 4 of 9 City Council 29 — 91 8/20/2024 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. 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 Page 5 of 9 City Council 29 — 92 8/20/2024 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. 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. Page 6 of 9 City Council 29 — 93 8/20/2024 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. 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: Page 7 of 9 City Council 29 — 94 8/20/2024 To City: City Clerk City of Santa Ana 20 Civic Center Plaza (M-30) P.O. Box 1988 Santa Ana, CA 92702-1988 Fax: 714- 647-6956 With courtesy copies to: Executive Director, Public Works Agency City of Santa Ana 20 Civic Center Plaza (M-21) P.O. Box 1988 Santa Ana, California 92702 To Contractor: Mariposa Landscapes, Inc. 6232 Santos Diaz St. Irwindale, CA 91702 Fax: (626) 960-8477 Attn: Terri Noriega, President A party may change its address by giving notice in writing to the other party. Thereafter, any communication shall be addressed and transmitted to the new address. If sent by mail, communication shall be effective or deemed to have been given three (3) days after it has been deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed as set forth above. If sent by fax, communication shall be effective or deemed to have been given twenty-four (24) hours after the time set forth on the transmission report issued by the transmitting facsimile machine, addressed as set forth above. For purposes of calculating these time frames, weekends, federal, state, County or City holidays shall be excluded. 21. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. [signatures appear on following page] Page 8 of 9 City Council 29 — 95 8/20/2024 SIGNATURE PAGE TO CONTRACTOR AGREEMENT BETWEEN MARIPOSA LANDSCAPES, INC. AND THE CITY OF SANTA ANA FOR LANDSCAPE MAINTENANCE SERVICES IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST Jennifer L. Hall City Clerk APPROVED AS TO FORM SONIA R. CARVALHO City Attorney By: 1i3onathan T. Martinez Assistant City Attorney RECOMMENDED FOR APPROVAL Digitally signed by N a b i l Saba el 2 24.08.05 15:09:29-07'00' Nabil Saba, PE Executive Director Public Works Agency CITY OF SANTA ANA Alvaro Nunez Acting City Manager MARIPOSA LANDSCAPE, INC. Terry Norieg President Patae 9 of 9 City Council 29 — 96 8/20/2024 EXHIBIT A SCOPE OF SERVICES City Council 29 — 97 8/20/2024 (9) CITY OF SANTA ANA EXHIBIT I SCOPE OF SERVICES INTRODUCTION AND BACKGROUND The City of Santa Ana, Water Resources Division issues this bid document to procure full and complete contract landscape maintenance at designated sites, herein described, and that such sites be kept in a healthy, weed -free, vigorous, and well -kept state at all times. The Contractor shall provide at his own risk and cost all labor, materials, tools, equipment, traffic control and miscellaneous devices, transportation, hauling, dumping, fertilizers, insecticides, rodenticides, chemicals and other items needed to perform landscape maintenance work as directed herein. The Contractor shall provide complete landscape maintenance at all work sites, including, but not limited to pruning, structural shaping of young trees, shrubs, and ground cover plants; trimming overgrowth of all foliage and preventing growth on top of city equipment; removing and controlling weeds; controlling plant diseases and pests; mowing turf; edging turf and ground cover; irrigating plant material; maintaining and repairing irrigation systems; removing trash and debris; and other maintenance required to maintain the work sites in a safe, attractive and useable condition. The Contractor shall maintain all plant material in good condition with accepted standards for growth, color, and appearance. Furnish all labor, equipment, materials, and supervision to perform landscape maintenance as described herein including, but no limited to, the following: • Hnrdscape cleaning • Weeding, cultivating and brush control both mechanically and with chemicals • Fertilizing • Shrub and groundcover trimming, pruning, training • Mowing and verticutting • General rodent, pest and disease control on landscape planting and turf • General drainage structure and system maintenance • Reporting for vandalism, graffiti, or any safety concerns • General litter control, refuse removal, and grounds policing • Plant replacement • Access roadway clearance and visibility maintenance • Minor tree pruning and staking of trees under 12 feet in height • Irrigation programming, monitoring, maintenance, and repair • Emergency maintenance/service City Council 29 — 98 8/20/2024 (9) 1. ROUTINE MAINTENANCE CITY OF SANTA ANA Routine maintenance shall include but not be limited to the following services performed on all work sites listed in Exhibit II. 1.1. TURF CARE All turf shall be mowed weekly with mulching mowers. Subject to the approval of the City of Santa Ana, the contractor may reduce the mowing frequency to biweekly during periods of rain or prolonged cold. All grass clippings shall be left in place with the exception of large accumulations, which shall be collected and removed after each mowing. All roadways adjacent to work areas shall be kept clean at all times. All turf shall be cut to a height appropriate for the type of grass being mowed. Mowers shall be maintained in optimum condition with sharp blades to provide a smooth, even cut without tearing of the leaf blades. Turf shall only be mowed after two (2) consecutive non -watering days and/or as directed by the City of Santa Ana. Any and all signs found onsite or on trees shall be removed, including but not limited to political, garage sale, lost and found, etc. All litter/debris shall be picked up prior to mowing. All turf and hardscape areas including but not limited to the outside and inside perimeter of the City property including sidewalks and streets shall be free of turf clippings, plant debris and trash at the end of the scheduled mow day. All turf shall be edged with blade trimmer adjacent to all improved surfaces and, where no improved surface exists, turf edges shall be maintained as if the turf area abuts a shrub bed or property line. Edging and detailing shall be performed weekly. Following each edging, all edging debris shall be removed. Turf shall be mechanically edged during the mowing of each week. The edging along sidewalks, curbing and other concrete shall be performed with a blade type edger. Sidewalks and other hard surfaces shall be properly cleaned after each edging including grass stains or marks made as a result of the mowing process. Contractor shall flag all irrigation sprinklers prior to commencement of work. All turf growing adjacent to irrigation hardware, tree trunks, or any other landscape amenity shall be neatly detailed by string trimmer and/or chemicals to twelve (12) inches in all directions of said objects. Blade trimmers are prohibited from usage twelve (12) inches around any tree, shrub, or establish plant base. If chemical detailing is performed, the Contractor shall use the string trimmer to remove the treated turf within one (1) week after symptoms of phototoxicity become recognizable. City Council 29 — 99 8/20/2024 (9) CITY OF SANTA ANA Any damage, as determined by the City of Santa Ana, caused to irrigation components, sprinklers, valves, etc., or plant material by edging equipment and/or mowers shall be replaced by the Contractor at Contractor's expense. •\ Lawns shall be fertilized four (4) times annually with a "complete fertilizer". Fertilize two (2) times per year during the months of December and February using 22-3-9 at the rate of five pounds (5 lbs.) per 1000 square feet or approved equivalent program. During the months of June and October fertilize with 16-6-8 at the rate of six pounds (6 lbs.) per 1000 square feet two (2) times per year, or approved equivalent program. Due to the broad geographical area of the contract, the City may from time to time adjust or change the fertilization specifications contained herein as a result of consultation with Contractor. All fertilization shall be included with the landscape maintenance of each contract area. Contractor shall supply and transport all required fertilizers and include costs in the bid to the City. Turf areas shall be deeply watered as required by weather conditions to provide adequate moisture for optimum growth. At no time shall turf areas be allowed to show a lack of fresh green color or a loss of resilience due to lack of water. Wherever or at any time that an irrigation system is damaged, fails or does not adequately cover the turf area in which it is installed, the Contractor shall furnish and set out hoses and sprinklers, or other portable means, as required to uniformly water the turf area. Automatic irrigation shall be conducted between the hours of 10:00 p.m. and 4:00 a.m. and shall be programmed to prevent excessive runoff, ponding or over watering. Turf areas shall not be maintained in an over watered and/or saturated condition. Contractor shall respond immediately to signs of turf stress. Turf lost due to stress shall be deemed contractor negligence, as determined by the City of Santa Ana, and replaced at Contractor's expense. Trimming of grass around the trees in the turf area shall be performed during the mowing of each week in such a manner as to avoid damage to the tree trunk. Contractor shall develop and maintain a program to ensure that all turf is maintained free of fungus, insect infestations and/or turf diseases at all times. Damaged and/or bare spots in turf shall be immediately repaired at the time of detection. The tree guards shall be maintained in place around the trunk of each canopy tree at all times to eliminate tree damage by string trimmers, mowers, etc. Trees damaged by Contractor shall be immediately replaced at Contractor's expense. City Council 29 — 100 8/20/2024 (9) CITY OF SANTA ANA Turf areas shall be dethatched once per year between September and October or as directed by the City of Santa Ana. Dethatching shall be accomplished by use of a "vertical type" dethatch machine. Contractor shall flag all irrigation sprinklers prior to commencement of work. All thatch and debris shall be immediately removed upon completion at Contractor's expense. IMMOKSITA 004:11 Mello e1 Each year, all turf areas shall be overseeded with Eagle Blend or equivalent perennial rye grass at the minimum rate of seven (7) pounds per 1,000 square feet. Seed shall be uniformly broadcast, with care taken to not broadcast in non -turf area. Dethatching and/or deep scalping of the turf may be required as directed by the City of Santa Ana. Seeds shall be guaranteed free of disease, pests, or other foreign grasses or weeds. The Contractor shall apply an approved pre -emergent herbicide to all turf areas on an as needed basis for control of all types of weeds. At no time shall weeds be allowed to remain in turf areas. Contractor shall control all weeds growing in cracks, expansion joints and other hard surfaces adjacent to the landscape area by the use of chemical weed control to include long narrow median noses, cracks in sidewalks/curbs/gutters, etc. Contractor shall develop and maintain a broadleaf weed control program that will ensure that all turf is maintained in a weed -free condition at all times. Contractor shall provide litter pickup to all landscaped areas weekly. The hardscape areas adjacent to the landscape, i.e. sidewalks and concrete in the medians, shall be cleaned of leaves, paper, dirt, feces, miscellaneous abandoned items, and other debris in conjunction with litter pickup. At no time will this debris be blown into the street, storm drains, and/or onto private property. All litter shall be removed from the turf prior to each mowing. City Council 29 — 101 8/20/2024 (9) CITY OF SANTA ANA The Contractor shall re -sod all turf lost due to normal attrition or due to Contractor's faulty maintenance or negligence, as determined by the City of Santa Ana, at no additional cost to the City. At no time shall ridges or depressions caused from contractor equipment on over watered and/or saturated ground, as determined by the City of Santa Ana, be permitted in the turf areas. This shall be deemed Contractor negligence. Contractor shall remove and replace with new turf at no additional cost to the City. 1.2. GROUND COVER CARE Ground cover beds shall be maintained within their intended bounds, edged and/or detailed every week. Maintain a 12" clearance between different plant material. Ground covers shall not be permitted to encroach into lawns, shrubs, adjacent desirable bare areas, wall fixtures, furniture, other ground cover areas, etc. All sites shall be cleaned following each edging/detailing, including streets and sidewalks (when applicable). All ground cover beds shall be fertilized using a complete or approved fertilizer (such as 16-6-8 Turf Supreme) four (4) times per year. The rate of application shall be two (2) pounds of actual nitrogen per 1,000 square feet. Proof of application in the form of empty fertilizer bags may be requested at any time by the City of Santa Ana. Advanced notice shall be given to the City of Santa Ana prior to performing this task. Ground cover beds shall be thinned and pruned, separated and/or relocated for the health of the planting and the appearance of the site, and at such other times when directed by the City of Santa Ana. Infill planting of bare groundcover areas shall be replanted when necessary or upon request with flats of the same species one time per year as part of routine maintenance at no additional cost to the City. All bare soil or open areas shall be either cultivated weekly or covered by a minimum of two (2) inches of mulch. All mulch material shall be of a recycled product free from foreign grasses and weeds and shall be approved by the City. At no time shall weeds be allowed to remain in bare or planted areas. City Council 29 — 102 8/20/2024 (a CITY OF SANTA ANA The Contractor shall be responsible for the complete removal and replacement of ground cover lost due to normal attrition or to Contractor's faulty maintenance or negligence, as determined by the City of Santa Ana, at no additional cost to the City. Contractor shall control weeds by keeping all planters, shrubs and ground cover areas free of visible weeds at all times. Where ground cover grows under pine trees, the Contractor shall use a combination of techniques (raking and blowing) to prevent the build-up of needles from forming on the ground cover. Ground cover plants shall be added, as needed, to ensure a solid mass planting in conformance with the original intent at no cost to the City. 1.3. TREE CARE The Contractor shall bring to the attention of the City of Santa Ana within twenty-four (24) hours any tree -displaying root heaving or girdling (either by roots or a foreign material, leaning, broken or hanging limbs, or any other reason posing a potential safety hazard.) Any safety hazard present now shall be reported immediately. Note: All trees up to 9 inch DBH (Diameter at Breast Height) are included in routine maintenance. An annual report shall be provided by an ISA Certified Arborist, by January 30th of each year, on the overall condition and health of all trees under the scope of this contract. Specific trees in need of additional care or removal shall be identified by species and/or address. The Contractor shall provide an annual report identifying the location, address and species of tree vacancies. All trees within the scope of work shall be maintained to keep the natural integrity and shape of the trees. This work shall be accomplished in a manner, which will ensure that each individual tree is pruned per American National Standards Institute (ANSI) standards, per ANSI A300 Part 1, 2008 pruning standard and the ASNI Z133.1 as outlined in the City of Santa Ana Tree Pruning and Stump Removal Specifications are to be followed. All work shall be of the highest quality as outlined under the City of Santa Ana Tree Pruning and Stump Removal Specifications. In addition, the Contractor shall remove or prevent encroachment where it blocks vision or is City Council 29 — 103 8/20/2024 (9) CITY OF SANTA ANA considered undesirable by the City of Santa Ana. Low branches overhanging sidewalks shall be removed to a height of seven (7) feet above grade. Young trees needing pruning, training, and shaping to develop and maintain a dominant leader from which smaller primary branches arise that are radially and vertically spaced along the trunk. From time to time, the contractor may be asked to raise the canopy of the trees for security reasons and this shall be considered routine maintenance. All trees under 4" DBH requiring staking shall be securely staked at all times with approved stakes and rubber VIT ties. Rubber hoses and wire will not be permitted. All stakes shall be set perpendicular to prevailing winds unless designated otherwise by the City of Santa Ana. Tree stakes shall also be set a consistent distance away from the trunk of the tree (minimum six (6) inches) to reduce abrasion and cell elongation. The tops of all tree stakes shall be removed approximately three (3) inches above the highest tie to reduce abrasion of main or lateral branches of the tree. All trees shall be fertilized using a complete or approved fertilizer a minimum of one (1) time per year. All trees shall be properly irrigated to maintain a healthy condition. Trees shall not be maintained in an over watered and/or saturated condition. The Contractor shall be responsible for the complete removal and replacement of any and all trees lost due to the Contractor's faulty maintenance or negligence, including but not limited to girdling trees with string trimmers or tree ties, improper planting of new trees, improper pruning techniques which disfigure or destroy the trees natural integrity and shape, or failure to detect and prevent treatable diseases and insect infestations as determined by the City of Santa Ana. Replacement shall be made by the Contractor in the kind and size of trees determined by the City of Santa Ana. Where there is a difference in value between the trees lost and the replacement of trees, this difference will be deducted from the contract payment. In all cases, the value of the trees lost will be determined by the City of Santa Ana using the latest American Shade Tree Conference guidelines for value determination. City Council 29 — 104 8/20/2024 (9) `PC �1:I MI XGY_1:14 CITY OF SANTA ANA Contractor shall remove dead shrubs and backfill to existing grade with imported soil as necessary to maintain a consistent finished grade. Sinkholes will not be acceptable as it represents a liability to the City. Replacements of shrubs will be approved by City of Santa Ana. Wall vines adjacent to and coming from City landscapes are a part of the maintenance of this contract. Wall vines shall be kept trimmed approximately four (4) inches from the wall and eight (8) inches below the top of the wall. Where wall vines have been allowed to grow over the top of the wall, the Contractor shall keep wall vines trimmed down to the top of the wall. Wall vines may require trimming two or more times per month during the growing season. All shrubs growing in the work areas shall be pruned as required, to maintain plants in a healthy growing condition and to maintain plant growth within reasonable bounds to prevent encroachment of passage ways, walks, streets, view of signs or in any manner deemed objectionable by the City of Santa Ana. Dead or damaged limbs or branches shall be cleaned out and removed with sharp pruning tools with no projections or stubs remaining. Pruning shall be done in a manner to permit plants to grow naturally in accordance with their normal growth characteristics except box hedging may be required on some shrubs, as designated by the City of Santa Ana. Shear hedging or severe pruning of plants, unless authorized by the City of Santa Ana, shall not be permitted. Should the Contractor shear hedges or severely prune plants and disfigure or damage the plants, the contractor shall be responsible for replacing those plants with like kind and size as determined by the City of Santa Ana. The Contractor may be requested from time to time to raise the bottom or lower the tops of the shrubs for security reasons. This shall be considered routine maintenance and performed at no extra cost to the City. All shrubs shall be fertilized using a complete fertilizer (such as 16-6-8) four (4) times per year. The rate of application shall be two (2) pounds of actual nitrogen per 1,000 square feet. Proof of application in the form of empty fertilizer bags may be requested at any time by the City of Santa Ana. Advanced notice shall be given the City of Santa Ana prior to performing this task. Shrubs shall be thinned and pruned, separated and/or relocated for the health of the planting and the appearance of the site, and at such other times when directed by the City. Infill planting of bare shrub areas shall be replanted when necessary or upon request with plant material of the same species one time per year as part of routine maintenance at no additional cost to the City. City Council 29 — 105 8/20/2024 (9) CITY OF SANTA ANA All shrubs shall be properly irrigated to maintain a healthy condition. Shrub areas shall be deeply watered as required by weather conditions to provide adequate moisture for optimum growth. At no time shrub areas shall be allowed to show a lack of fresh green color or a loss of resilience due to lack of water. Wherever or at any time that an irrigation system is damaged, fails or does not adequately cover the shrub area in which it is installed, the Contractor shall furnish and set out hoses and sprinklers, or other portable means, as required to uniformly water the shrub. Automatic irrigation shall be conducted between the hours of 10:00 p.m. and 4:00 a.m. and shall be programmed to prevent excessive runoff, ponding or over watering. Shrub areas shall not be maintained in an over watered and/or saturated condition. Contractor shall respond immediately to signs of plant stress. Plant material lost due to stress shall be deemed Contractor negligence, as determined by the City of Santa Ana, and replaced at Contractor's expense. The Contractor shall be responsible for the complete removal and replacement of shrubs lost due to normal attrition or due to Contractor's faulty maintenance or negligence, as determined by the City of Santa Ana, at no additional cost to the City. All bare soil or open areas shall be either cultivated weekly or covered by a minimum of two (2) inches of mulch. All mulch material shall be of a recycled product free from foreign grasses and weeds and shall be approved by the City. At no time shall weeds be allowed to remain in bare or planted areas. Shrubs shall be pruned as required to ensure clear vehicular and pedestrian visibility and clearance. Remove broken or diseased branches and provide general containment and good appearance. Plant material encroaching onto or from City property shall be trimmed back to property line at City's discretion depending on circumstance, i.e. plants growing over fences and sidewalks from private property adjacent to contracted areas shall be trimmed back to the property line. Prune shrubs to retain as much of the natural informal appearance as possible, consistent with intended use, i.e. vines not growing into other plants, etc. Coordinate with City of Santa Ana. Continuously remove any spent blossoms or dead flower stocks, as required, to present a neat, clean appearance. City Council 29 — 106 8/20/2024 (9) CITY OF SANTA ANA Plants growing over curbing and/or sidewalks shall be maintained even with the edge of the sidewalk or curb and be trimmed on a natural taper rather than vertical, so as not to appear to be hedged. Schedule the application of a complete fertilizer with an analysis of 15-15-15 at the rate of six (6) pounds per 1000 square feet as often as required, but no less than three times per year, to promote optimum growth and healthy appearance to all shrubs. Ailing or stunted shrubs shall be removed at time of discovery and replaced in kind within five (5) working days. Shrubs requiring additional nutrients to correct deficiencies shall receive such nutrients within three (3) working days of discovery. Contractor shall replace shrub failure that is determined to be due to Contractor's neglect or improper treatment at his expense. 1.5. WEEDS, DISEASE, AND PEST CONTROL All landscape and hardscape areas within the specified scope of work (including, but not limited to, turf, shrub and ground cover, planters, tree wells, ornamental bark or rock areas, sidewalk, asphalt or concrete areas) shall be kept free of weeds and foreign grasses at all times. The complete removal of all weed growth shall be accomplished on a continuing basis. Weeds shall be controlled by hand and approved mechanical or chemical methods. The transferring of weeds or disease from one infected turf, plant or tree to another turf, plant or tree through improper or faulty maintenance shall be considered Contractor negligence, as determined by the City of Santa Ana. Such negligence includes but is not limited to, non -cleaning or non -disinfecting of tools or equipment and for not isolating the infected area. All affected turf, plant, or tree shall be replaced by Contractor at no cost to the City. Contractor shall continuously control weeds at all sites with both pre and post -emergent chemical control through mechanical methods and/or by hand. It is intended that all sites will be practically weed -free through this process. Weeds determined by the City of Santa Ana to be objectionable shall result in a penalty assessed against Contractor for each affected site. Contractor shall provide the same weed control in cracks, expansion joints and other small openings in the sidewalk/curb area. The Contractor shall regularly inspect all landscaped areas for presence of disease, insect or rodent infestation. The Contractor shall advise the City of Santa Ana within forty eight (48) hours of when disease, insect, or rodent infestation is found, and the action to be taken. Upon approval City Council 29 — 107 8/20/2024 (9) CITY OF SANTA ANA of the City of Santa Ana, the Contractor shall implement approved control measures, following all Federal, State, County, and municipal laws, regulations and ordinances required for the approved work. Approved control measures shall be continued until the disease, insect or rodent is controlled to the satisfaction of the City of Santa Ana. The Contractor shall utilize all safeguards necessary during disease, insect or rodent control operations to ensure safety of the public and the employees of the Contractor. All pesticide operations, where required, shall be performed by a Qualified Applicator as certified by the State of California Department of Pesticide Regulation. The Contractor shall be responsible for compliance with all local, state, and federal laws and regulations regarding pesticide usage. Contractor shall provide complete and continuous pest control and/or eradication of all pests or diseases in accordance with the specifications contained herein. 1.6. IRRIGATION SYSTEM MAINTENANCE Irrigation shall be done by the use of automatic or mechanical sprinkler systems, where available and operable, or manually; however, failure and/or damage of the existing irrigation system to provide full and proper coverage shall not relieve the Contractor of the responsibility to provide adequate irrigation with full and proper coverage to all areas in the contract work site. Newly planted trees, shrubs, ground cover, and turf shall receive special attention until these plants are established. Adequate water shall be applied to promote normal healthy growth. Proper berms or basins shall be maintained during the establishment period. Any damages to public or private property resulting from excessive irrigation water or irrigation water runoff shall be charged against the contract payment unless immediate repairs are made by the Contractor to the satisfaction of the City of Santa Ana. Contractor shall vacuum all irrigation cabinets and controllers, both inside and outside, and maintain in a thoroughly clean condition at all times. Where the operation of automatic irrigation controllers is required as part of this contract, the Contractor shall: Do not duplicate any coded City key furnished by the Public Works Agency for access and operation of the controller. • Surrender all keys furnished by the Public Works Agency at the end of the contract City Council 29 — 108 8/20/2024 aCITY OF SANTA ANA period, or at any time deemed necessary by the City of Santa Ana. Protect the security of City property by keeping controller cabinets and building doors locked at all times • Refrain from using premises behind locked doors for storage of materials, supplies or tools, except as approved by the City of Santa Ana. • Program normal irrigation between the hours of 10:00 p.m. and 4:00 a.m. or as required. The Contractor shall turn off irrigation system during periods of rainfall and times when suspension of irrigation is desirable to conserve water while remaining within the guidelines of horticulturally acceptable maintenance practices as determined by the City of Santa Ana. When the City of Santa Ana acknowledges the necessity to turn on the water once again, all controllers shall be activated within twenty-four (24) hours. After 24 hours, the City of Santa Ana at his discretion may elect to activate the controllers with City forces. All irrigation systems shall be inspected and adjusted on a weekly basis or more frequently as required, considering the water requirements of each remote control valve. The Contractor shall physically inspect (by manual or semi -automatically running the Controller) the operation of all systems weekly. The Contractor shall maintain all sprinkler systems in such a way as to guarantee proper coverage and full working capability, and make whatever adjustments are necessary, including but not limited to, adjustment of heads or inserts, or replacing of inserts, etc., to prevent excessive over spray/runoff into street right-of-ways or other areas not intended to receive irrigation over spray/runoff. Controllers shall be programmed to water during nighttime hours between approximately 10:00 p.m. and 4:00 a.m. or upon request/when required. Contractor shall observe and note deficiencies occurring from the original design of facilities and review these findings with the City of Santa Ana so necessary improvements can be considered. Authorization must be obtained from the City before proceeding with work not covered under normal maintenance work and the malfunctioning sprinkler system area shall be irrigated by a portable irrigation method until all authorized repairs have been completed to the City's satisfaction. All areas receiving marginal coverage shall be irrigated by a portable irrigation method. The Contractor shall furnish all hoses, nozzles, sprinklers, etc., necessary to accomplish this supplementary irrigation. Care shall be exercised to prevent waste of water, erosion, and/or detrimental seepage into existing underground improvements or structures. City Council 29 — 109 8/20/2024 (9) CITY OF SANTA ANA Contractor shall submit a quarterly (or upon request) irrigation report to the City of Santa Ana. The report shall be of the format required by the City of Santa Ana and shall include, but not be limited to, controller location, address, type of controller, number of stations, and schedule for each station, turf, ground cover or shrub irrigation, condition of site, and repairs made for each station. Contractor shall provide irrigation personnel fully trained in all phases of landscape irrigation systems operation, maintenance, adjustment, and repair. This is to include diagnosis and repair of controllers, valve wires, control valves, lateral lines, gate valves, main lines, strainers, pressure regulators, backflow devices, moisture sensors, master valves, and electric pedestals. Contractor shall maintain an adequate stock of medium and high usage items for repair of all irrigation systems. Automatic controllers and/or enclosures shall be locked while unattended. Contractor shall maintain a log at each controller location. Contractor shall provide efficient use of water at all times. The controllers shall be programmed and monitored to maintain adequate moisture, optimal for growth and appearance, while eliminating excessive runoff. Adequate soil moisture shall be determined by visual observation, plant resiliency, and turgidity, examining cores removed by soil probe, moisture sensing devices, and programming irrigation controllers accordingly. Considerations must be given to soil texture, structure, porosity, water holding capacity, drainage, compaction, precipitation rate, runoff, infiltration rate, percolation rate, evapotranspiration, seasonal temperatures, prevailing wind condition, time of day or night, type of plant and root structure. Compensation for irrigation system monitoring and inspection shall be considered included in other items of work and no additional compensation will be allowed. Once a year during the month of March, Contractor shall wipe down the equipment in the irrigation controller cabinet to remove all dust and dirt, clean all electrical connections, install bait traps for control of ants, replace batteries as required, clean and remove intruding soil in valve boxes and replace gravel, as originally specified. All hinges and locks shall be regularly oiled to ensure trouble free operation. All controller enclosures must be painted in approved colors, as needed, to prevent rusting and maintain good appearance. Sprinkler heads shall be kept clear of overgrowth that may obstruct maximum operation. Repairs made to the irrigation system must be made in accordance with the system's original design with products equal to or higher quality than currently provided. Workmanship shall be performed in accordance with industry standards. City Council 29 —110 8/20/2024 (9) CITY OF SANTA ANA All leaking or defective piping, valves, or other system components shall be repaired within twenty-four (24) hours of detection. Particular attention shall be paid to all slope areas, which will, by physical nature, provide for greatest potential runoff, which can contribute to erosion. Contractor shall turn off controllers when adequate rainfall is anticipated. In the event of irrigation system failure, manual watering required to keep the plant material in a vigorous, healthy condition is to be provided by Contractor and the irrigation system shall be repaired immediately at no additional cost to the City. At no time shall Contractor utilize a fire hydrant for irrigation purposes. Contractor will keep system in operation by valve or head adjustment to keep all systems operating at manufacturer's recommended operating pressure. This shall be accomplished by valve throttling pressure gaging. The valves should be throttled to prevent sprinkler heads from fogging, allowing droplets for effective watering. The City of Santa Ana may request a coverage test to evaluate proper settings, timing, usage, or maintenance of system. All valve boxes, controllers, and backflow devices shall be kept clear of plant growth. Contractor shall be responsible for periodic inspection of surface drains located within the landscaped areas. These drains shall be checked to assure proper functioning. Remove any debris or vegetation that might accumulate at the inlet and prevent proper flow of water. Any erosion damage because of Contractor's failure to keep the surface drains clear shall be repaired at Contractor's expense. Irrigation and drainage system repairs shall be compensated on a time and materials basis as agreed to by the Contractor and the City. 1.7. GENERAL MAINTENANCE AND CLEAN-UP The Contractor shall collect all clippings, trimmings, cuttings, rubbish and debris, and posted signs at all work sites and dispose of same in a lawful manner per contract requirements at the Contractor's expense. All trash and debris shall be removed from all worksites a minimum of one (1) time per week. The Contractor shall rake, hand remove, or vacuum leaves that are not absorbed by planting. This shall be done as often as required to maintain a neat appearance, or prevent plants from being smothered by seasonal leaf drop at least weekly or as directed by City of Santa Ana. City Council 29 —111 8/20/2024 (9) CITY OF SANTA ANA After heavy windstorms, the entire contract area shall be cleaned of litter, fallen branches, etc. Contractor shall respond to calls from City of Santa Ana immediately. Contractor shall patrol all areas for trees down, fallen branches, hanging branches, debris, and other potential hazards. The Contractor shall keep sidewalks and all paved areas in the medians and under overpasses swept and cleaned of any debris, weeds, dirt, or soil. Tree wells shall be maintained weed free. 1.8. OTHER REQUIREMENTS Where new construction or redevelopment may involve a significant part of a work site, the City of Santa Ana may delete a portion of or the entire work site from contractual maintenance during the construction and plant establishment period. The deletion of this portion of work will be reflected as a reduction in the monthly payment to the contractor. The amount of reduction will be based on the percentage of area involved and agreed upon by the City and the Contractor. The City of Santa Ana shall weekly and/or as needed/upon request inspect the work area to ensure adequacy of maintenance and that methods of performing the work are in compliance with the contract. However, this shall not be construed to relieve the Contractor's supervisor of the duty to provide continuous inspection of the work area. Contractor shall provide a dedicated supervisor to Santa Ana for this contract. Discrepancies and deficiencies in the work shall be corrected by the Contractor immediately. The City expects a high level of service and maintenance. Additional routine maintenance may be added to this contract. Payment for add -on maintenance shall be computed based on specified rates provided by the contractor. All damage incurred by the Contractor's operations shall be repaired or replaced in kind and size at the Contractor's expense. Irrigation repairs shall be completed within twenty-four (24) hours using approved materials. City Council 29 —112 8/20/2024 (9) CITY OF SANTA ANA Non -irrigation repairs shall be completed within seven (7) working days and shall be repaired using only pre -approved materials. Contractor shall be responsible for repair -related maintenance such as, but not limited to, watering and fertilizing of replaced plant materials until accepted by the City of Santa Ana. Contractor shall immediately report damaged landscaping caused by vandalism or vehicle accidents to the City of Santa Ana. Areas designated for annuals planting shall be rotated on a triannual (three times a year) basis. Appearance of designated areas shall be kept fresh and vigorous at all times. PART II: SCHEDULING OF WORK The Contractor shall accomplish all routine landscape maintenance required under this contract between the hours of 7:00 a.m. and 6:00 p.m., Monday through Friday. The City of Santa Ana may grant, on an individual basis, permission to perform maintenance at other hours. No maintenance functions that generate excess noise, which would cause annoyance to residents of any area, shall be commenced before 7:00 a.m. No Saturday or Sunday work is to be scheduled without permission from the City of Santa Ana, unless it is an emergency situation. The Contractor shall establish a schedule of routine work to be followed in the performance of this contract. A copy of this schedule shall be provided to the City of Santa Ana prior to the performance of any work required by these specifications, and any changes in scheduling shall be reported in writing to the City of Santa Ana immediately. Routine maintenance Locations shall not be interrupted/not completed as schedule without prior approval of the City of Santa Ana. The Contractor shall conduct the work at all times in a manner which will not interfere with pedestrian traffic on adjacent sidewalks or vehicular traffic on adjacent streets. All work performed under this contract shall be performed in such a manner as to provide maximum safety to the public, to the Contractor, and where applicable, comply with all safety standards required by CAL -OSHA. In addition, a special notification listing exact starting date for renovation, pruning and other infrequent operations, shall be furnished to the City of Santa Ana at least five (5) working days in advance of performing these operations. 1. LEVEL OF MAINTENANCE All work shall be performed in accordance with the HIGHEST INDUSTRY STANDARDS, as stated in the enclosed maintenance specification description. Standards and City Council 29 —113 8/20/2024 (9) CITY OF SANTA ANA frequencies may be modified from time to time as deemed necessary by the City for the proper maintenance of the sites. If, in the judgment of the City, the level of maintenance is less than that specified herein, the City shall, at its option, in addition to or in lieu of other remedies provided herein, withhold appropriate payment from the Contractor until services are rendered in accordance with specifications set forth within this document and providing no other arrangements have been made between the contractor and the City. Failure to notify of a change and/or failure to perform an item of work on a scheduled day may result in deduction of payment for that date, week or month. Payment will be retained for work not performed until such time as the work is performed to City standards. The Contractor is required to correct deficiencies within the time specified by the City. If noted deficient work has not been completed, payment for subject deficiency shall be withheld for current billing period and shall continue to be withheld until deficiency is corrected, without right to retroactive payments. 2. QUALITY OF WORK AND MATERIAL All material and equipment furnished by the Contractor shall be new, high grade, and free from defects and imperfections, unless otherwise hereinafter specified. Workmanship shall be in accordance with the best standard practices. Both materials and workmanship shall be subject to the approval of the City of Santa Ana. All materials used shall be approved in advance by the City of Santa Ana. The City reserves the right to purchase materials directly and make them available to the Contractor. In the event the City exercises the option to purchase the materials, the following conditions will apply: • Contractor shall conform to all City practices and procedures. • Contractor shall comply to all safety regulations by City and CAL OSHA. • All City purchases will be for the sole expressed use of and for the City. • The Contractor shall secure, store, inventory, distribute and control all materials entrusted to the Contractor's representatives. All materials and inventories shall be made available to the City upon request. 3. SUPERVISION OF CONTRACT All work shall meet with the approval of the City of Santa Ana. Any specific problem area which does not meet the conditions of the specifications set forth herein shall be called to the attention of the Contractor and if not corrected, payment to the Contractor will not be made until the condition is corrected in a satisfactory manner as set forth in the specifications. City Council 29 —114 8/20/2024 (9) CITY OF SANTA ANA 4. WORKMANSHIP AND SUPERVISION Work shall be performed by competent and experienced workers. The work force shall include a thoroughly skilled, experienced, and competent supervisor who shall be responsible for adherence to the specifications. All personnel shall be neat in appearance and in uniforms. All personnel shall wear identification badges or patches. Those employees working in or adjacent to traffic lanes shall wear safety vests and follow all necessary safety procedures at the facilities. Persons employed by the Contractor who are found not to be satisfactory by the City shall be discharged or reassigned by the Contractor on fifteen (15) days' notice from the City. 5. SAFETY REQUIREMENT The contractor shall provide a safety data sheet (SDS) for all chemicals including but not limited to pesticides, herbicides, etc. to the City of Santa Ana prior to utilization. All work performed under this contract shall be performed in such a manner as to provide maximum safety to the public and where applicable, comply with all safety standards required by CAL -OSHA. The City of Santa Ana reserves the right to issue restraint or cease and desist orders to the Contractor when unsafe or harmful acts are observed or reported relative to the performance of the work under this contract. All contractor vehicles shall have a "W.A.T.C.H." work area traffic control manual at all times. The Contractor shall maintain all work sites free of hazards to persons and/or property resulting from his/her operations. Any hazardous condition noted by the Contractor, which is not a result of his/her operations, shall be immediately reported to the City of Santa Ana. The City can cancel or stop work at any time when the safety of the Contractor, the public, etc. is compromised. The contractor shall assure that each employee or subcontractor under the contractor's supervision is trained in the work practices necessary to safely perform his or her job. The contractor will assure that each employee or subcontractor under the contractor's supervision is instructed in the known potential hazards related to his or her job. The contractor shall assure that each employee or subcontractor under the contractor's supervision follows safety rules and safe work practices. 6. SCHEDULES • The annual schedule shall be submitted for City approval within fifteen (15) calendar days after effective date of the contract. • The Contractor shall submit revised schedules when actual performance differs substantially from planned performance. City Council 29 —115 8/20/2024 (a CITY OF SANTA ANA ■ Changes to the schedule shall be received by the City of Santa Ana at least twenty- four (24) hours prior to the scheduled time for the work. ■ Failure to notify of a change and/or failure to perform an item of work on a scheduled day may result in deduction of payment for that date, week, or month. The Contractor shall adjust his/her schedule to compensate for all holidays and rainy days. Maintenance and litter removal shall be scheduled for all holidays and rainy days, unless otherwise indicated by the City. 6.3. DAILY SCHFDL I F o Changes to daily schedule can be made verbally or by email to the City of Santa Ana. 7. PERFORMANCE DURING INCLEMENT WEATHER During periods of storms, Contractor will provide supervisory inspection of the project during regular hours to prevent or minimize possible damage from inclement weather. Contractor shall submit a report identifying any storm damage to the City of Santa Ana attached to a site map identifying location of damage and cost estimate to repair/replace. If remedial work is required beyond the scope of this contract, it shall be considered as extraordinary work. During periods of inclement weather, i.e. rain/wind; Contractor's workforce shall accomplish work not affected by such weather, i.e. litter pick up/spent blossom removal, preventative maintenance, etc. Contractor shall stake and re -tie trees as required. Drains shall be checked and cleaned as necessary. Contractor shall remove all branches and debris resulting from inclement weather. Contractor may be required to perform additional clean-up tasks due to inclement weather. 8. MATERIAL The Contractor shall submit a list to the City of Santa Ana of all materials that the Contractor proposes to use in the execution of this work. The list shall include the chemical analysis, recommended usage and any other pertinent data by the manufacturer of material. Said list shall be submitted before use of any product, pursuant to the provisions of this agreement. All materials used or submitted shall be in full compliance with all Federal, State, County, and local agency laws, guidelines and requirements. City Council 29 —116 8/20/2024 (9) CITY OF SANTA ANA The following shall apply to the material indicated: • Fertilizers shall be complete, furnishing the required percentage of nitrogen, phosphoric acid and potassium to keep lawns, trees, shrubs, and other plants in a healthy and vigorous growing condition. • Insecticides, fungicides, herbicides, and rodenticides shall be of the best quality obtainable, properly labeled with guaranteed analysis, and brought to the job site in the manufacturer's original container. • Tree stakes, tree ties and guy wires shall be of materials matching those existing in the work site nr as specified by the City of Santa Ana. • Replacement trees, shrubs, ground cover, and other plants shall be of a size, condition and variety specified by the City of Santa Ana. • Replacement plant materials may be inspected by the City of Santa Ana prior to planting. • The City of Santa Ana shall determine replacement lawn sod. 9. RECYCLING/DISPOSAL All organic waste (including leaves, grass clippings, brush, branches, and tree parts) resulting from work performed under this contract shall be recycled through composting or processing for use as mulch. Organic waste cannot be taken to the landfill. The names and addresses of the licensed green -waste composting or processing companies, and haulers, along with the tonnages used and receipts, shall be provided to the City of Santa Ana in a monthly written report and an annual written report. A hundred percent (100%) of all landscape debris will be disposed of through a landscape material recycling center or reused in some manner. The Contractor shall dispose of all cuttings, weeds, leaves, trash, and other debris from the operation as work progresses. The City shall not be responsible for the disposal. Contractor shall pay all disposal fees and provide documentation evidence of recycling to include location, tonnage, etc. to the City. At no time is the Contractor permitted to use City dumpsters. 10.RECORDS The Contractor shall, within fifteen (15) days of the effective date of an executed agreement, prepare and submit a written annual maintenance calendar to the City of Santa Ana. This maintenance calendar shall clearly indicate all of the landscape maintenance tasks required by this agreement and the months of the year they are scheduled to be performed. If it is necessary to make periodic revisions to this maintenance schedule, a modified calendar must be submitted to the City of Santa Ana for approval prior to the date the changes are to take effect. City Council 29 —117 8/20/2024 (9) CITY OF SANTA ANA 11.EMERGENCY SERVICES The Contractor shall provide the City with names and telephone numbers of at least two qualified persons who can be called by City representatives when emergency maintenance conditions occur during hours when the Contractor's normal work force is not present in the City of Santa Ana. These Contractor representatives shall respond to said emergency within twenty four (24) hours from receiving notification. 12.UNDERGROUND EXCAVATIONS Contractor shall be responsible for locating all underground utility lines to insure the safety of his/her work crew and to protect, in place, existing utility equipment before commencing any excavation. Contractor shall contact the City of Santa Ana and Underground Service Alert (811) 48 hours before commencing any excavation, to locate underground service lines. 13. AS NEEDED LANDSCAPE PLANNING AND BEAUTIFICATION PROJECTS The contractor shall provide estimates, at the City's request for as -needed landscape planning and/or beautification requests. Work under this category shall be based upon a time and material basis using the company hourly rates. Requests for service shall be responded to within 24 hours. No work shall begin unless authorized by the City. City Council 29 —118 8/20/2024 (9) CITY OF SANTA ANA Maintenance Frequency Schedule FUNCTION FREQUENCY Turf Maintenance Mowing Once/Week Edging Once/Week Clipping Removal Once/Week String Trimming Once/Week Fertilize Four 4 times a year Pest and Weed Control Continuous/As needed Visual Inspection Weekly Chemical Weed Control Continuous/As needed Ground Cover Maintenance Trim Monthly Fertilize Four 4 times a year Pest and Weed Control Continuous/As needed Visual Inspection WeeklX Minimum once a year or as needed Pre -emergent herbicide Shrub, Vine and Tree Maintenance Trim Shrubs Monthly or sooner if needed Vines Six 6 times a year Trees Continuous/As needed Fertilize Four 4 times a year Visual Inspection Weekly Pre -emergent herbicide Continuous/as needed Hardsca a Maintenance Weekly Grounds Policing/Litter Removal All Areas Weekly City Council 29 —119 8/20/2024 (a CITY OF SANTA ANA EXHIBIT II: SITE LOCATIONS & MAPS Square Turf Ground Shrub, Tree, Hardscape Site Site Name Address Feet Maintenance Cover Vine, Maintenance # (approx) (Grass) Maintenance Maintenance Elevated 14th/Poinsetta, 1 Tank Santa Ana, CA 6,000 X X 92701 2736 N 2 Cambridge Cambridge St. 31,300 X X X Station Santa Ana, CA 90701 Cambridge 2733 Concord St. 3 Lot Santa Ana, CA 31,695 X X X 92705 1730 S. Santa 4 East Station Fe, Santa Ana, 56,300 X X X CA 92705 J. Garthe 2401 N Bristol St, 5 Station Santa Ana, CA 100,800 X X X X 92706 South 1727 W Alton 6 Station Ave, Santa Ana, 79,800 X X X CA 92705 West 201 S Mountain 7 Station View, Santa Ana, 36,100 X X CA 92703 West 4404 W 1 st St. 8 Station Lot Santa Ana, CA 4,150 X X 92703 723 W Walnut St, 9 Walnut Santa Ana, CA 6,600 X X X 92701 1011 W 6th St, 10 Well 16 Santa Ana CA 490 X 92703 4426 W 1 st St, 11 Well 21 Santa Ana, CA 2,900 X 92703 1800 W 22nd St, 12 Well 24 Santa Ana CA 1,270 X X X 92706 101 S Flower St, 13 Well 29 Santa Ana CA 1,900 X 92701 City Council 29 — 120 8/20/2024 (a CITY OF SANTA ANA Square Turf Ground Shrub, Tree, Hardscape Site Site Name Address Feet Maintenance Cover Vine, # (approx) (Grass) Maintenance Maintenance Maintenance Flower 202 S Flower 14 South Ave, Santa Ana 8,450 X X CA 92703 Flower 120 S. Flower St. 15 North Santa Ana, CA 3,000 X X 92703 4426 W 1 st St, 16 Well 30 Santa Ana, CA 3,900 X X 92703 1815 E Chestnut 17 Well 31 St. Santa Ana, 380 X X X CA 92701 917 W Walnut St, 18 Well 33 Santa Ana CA 5,200 X X X X 92703 1718 N Sydney 19 Well 35 PI, Santa Ana CA 7,150 X X X 92706 501 3/4 W Memory 20 PRV-1 Lane, Santa Ana 3,100 X X X CA 92706 627 E 21 Washington Washington Ave, 31,000 X X Santa Ana CA 92701 City of 215 S. Center St, 22 Santa Ana Santa Ana, CA 512,701 X X X X Corporate 92703 Yard 2007 W 23 Well 37 McFadden Ave, 2,500 X X Santa Ana, CA 92704 17t" Street 315 E 17t" St, 24 Lot Santa Ana, CA 7,200 X X 92706 Figueroa 612 N Figueroa 25 Lot St, Santa Ana, 7,875 X X X CA 92703 2215 S. Ritchey 26 SA 7 St, Santa Ana, 2,442 X X X CA 92705 San 2909 S. Bristol St, 27 Lorenzo Lift Santa Ana, CA 4,150 X X X Station 92704 City Council 29 — 121 8/20/2024 (a CITY OF SANTA ANA Square Turf Ground Shrub, Tree, Hardscape Site Site Name Address Feet Maintenance Cover Vine, # (approx) (Grass) Maintenance Maintenance Maintenance Crooke Santiago Park, 28 Reservoir Santa Ana, 92706 13,750 X X X Lot City Council 29 — 122 8/20/2024 A 4 City Council 29 — 123 8/20/2024 POP -- -doe at.., ' e -74 Ca I rWer 8 } 17 f• _ t Cambrid�Lot 40 lip -b A61 ALI., Of IF . City Council 29 — 125 8/20/2024 v ■ • � a Yll" Fly- 4 age low , IW 4, �� 1 EasS - eser�c�� t ..r C Garthe Station q I 77 -LAS &roe" A* , r .. ew it 1 7 City Council 29-127 8/20/2024 Z:.4 mil : ■ ................. ti _ r — ........................ ■ . .................... r • .. r rt ' I■ i S .r r.r r. r.r f !! • .......... �c ■■■■rrr■■r■rrr■r.wr two • rrrrrr -� . .. � r ell ;iJ \ ra 2 P rj'iii" ; ■■■■rrr■■■■■■•■■■■■■■■■■■■ 1 �y r■ t ra cn�u . - � �.. s yam; -�p • .ram -- I C West Station.. IT do 'v r � .4M AY aw + City Council 29 — 129 8/20/2024 West Station Lot w .t .i City Council .. �.. + - p a � 29 — 130 Man Public agent r. 0 8/20/2024 f1i y 1 Walnut Station J6. At FF 1-7 ' s ni,; . rVA6 4 • r. : • .{��� .� r4A, 16 40 a AOe Li City Council 29 — 134 8/20/2024 1c. �� 'JIM "41A r d. I I L-- X • Flower North Ar r 0 �i �0 _ N Walnut, Flower South s� r tw ! C MW • ,�1 l V*t or . r r r, i is r .1 � 1 i y i 'f ILA) It bil Well 35 I r _ • w ti K • ` � .r ' Y I fill N' • / - — -� i F ` � Vat is ��i i �` •� i* — � lopAli r +I 1 w mot• ' . i I City Council 29 — 140 8/20/2024 City Council 29 — 141 8/20/2024 I- ..- -- - - Washington Site r W j :.EL - 4L N City Council 29-142 8/20/2024 .� City of Santa Ana a - - _ Corporate Yard to % a t c , . 7 r .14 City Council 29 — 143 8/20/2024 Well 37 ' .. r-.s y 1 � �. i 4,4 . 7 Ik r i A r _ _ City Council 29 — 144 8/20/2024 rft o A. Cantamar Pr Managernen z r7:1;lv I i . 0 C Tours •o d. z .. �{ r i11I u . Bail Hotline Bail B: :-. i . y --- 17-th St — — 1-7th St` -- - 1 7th St - 1 7th St. 17th J 7 7th St- t17th St _ 17thrSt-7tj� A40c 17IStreet Lot _ 't 1 j 1 Ow Figueroa L r 1 52 b30 4 os • La.l_specia • , ,o o ' exic S �r+•+��b �'• ; 1 • • 4 LL Z OF L Income Tax A t Best Inn 5 'ti 1 12 ,1 b2 621 • ► 52 star h`44: I Figueroa.Lot d. 'v� w - � �► t ' z li . ♦.w r ?:. DC6 _ r G i er nd �o d Body ArtEL v it M.*l. J1 + .. ` r y i = SA 7 IR4&h, wi''- - /ak, 1/ City Council 29 — 147 8/20/2024 -r. I� M City Council 29 — 148 8/20/2024 Crooke Reservoir Lot ll) w 1; I • A Jfi 1� S 1` �lv City Counci 29 — 149 �.r .� _ EXHIBIT B CONTRACTOR'S PROPOSAL City Council 29 — 150 8/20/2024 : � 1HsU1r:1GIZE►vir.11111119ZImr.1IIK: )ronns; -,RANOE CIJLINrV tiF.+ ii)4'hN I I lh [i{JLL}t \ Cl I Y Prbah,POt.NDED Landscape Maintenance Services for Water Facilities and City Corporate Yard Due Date: April Sth, 2024 M A R 1 P O S A L CityAQounNl D S C A 219 — 15t S 18/20/2D24 C A N D S C April 4, 2024 1. Statement of Qualifications a. Cover Letter City of Santa Ana — Public Works Agency 220 Daisy Avenue, Bldg A Santa Ana, CA 92702 Attn: Kathia Reyes, Project Manager A P E S I N C RE: RFP No. 24-018, Landscape Maintenance Services for Water Facilities and City Corporate Yard Thank you for the opportunity to submit a proposal for the City of Santa Ana. Mariposa Landscapes, Inc. looks forward to the competitive process and hopes to be the successful bidder. Mariposa Landscapes, Inc. has continuously been in business since 1977. Growing from a single truck in Rosemead, California to a fleet of trucks and equipment with 750 employees covering all Southern California and Arizona. With over 95 awards for project excellence, we take pride in the quality of our work and thrive on keeping our company as one of the most recommended in the industry. Our steady record of customer satisfaction has allowed us to maintain positive relationships with our clients. Mariposa Landscapes, Inc. offers landscape installation, landscape construction, tree trimming, arbor care, and interior landscape services. In addition to the required C-27 license, we carry A, C-61/D-49, and C-31 licenses. This diversity of capabilities and proven expertise is not found with other landscape maintenance competitors. We bring decades of knowledge and in-depth experience to every landscape entrusted to our care. Building long-lasting relationships with our clients is important to us. We understand and respect your goals and do everything in our power to assure the well-being of your properties. We value open, honest communication, ongoing staff training, and new methods and technologies that will help us do the best job possible. Our company has met every financial obligation for over 40 years and has established a corporate bonding capacity far in excess of any requirements across all business lines. Therefore, this enables us to be the most capable firm that will commit to providing the best level of service for the City of Santa Ana. We would be honored to work for you and beautify your properties to their ultimate potential. Sincerely, Terry Noriega - Pr sident TEL 800 • 794 • 9458 0 FAX 626 • 960 • 8477 a www.mariposa-ca.com F737 SANTOS nIA7 ST _ IgwiNnAl F CA q1 7n7 • CA CONTRACTOR'S 1 IC H 5977C,R A C-77 n-4q ('-F1 (-? 1 City Council Our Core Values — Safety • Team4hrk 15-2uality • Integrity 8/20/2024 Table of contents 1. Statement of Qualifications......................................................................................................2 a. Cover Letter...............................................................................................................................2 b. Services Provided......................................................................................................................4 c. Agreement Statement...............................................................................................................5 d. Firm and Team Experience........................................................................................................5 e. Proposed Work Plan................................................................................................................11 f. References...............................................................................................................................16 2. Cost Proposal..........................................................................................................................17 Extra Work Pricing Process..........................................................................................................18 VII. Certifications (Attachments).................................................................................................19 IX Minimum Scope and Limit of Insurance..................................................................................27 CompanyValues.........................................................................................................................29 e blend %azure and Craftsmanship to create ultimate outdoor settings and e.-tremely satisfied customers" Page 3 b. Services Provided Methodology 1.1 Turf Care Frequency: weekly All turf shall be mowed with mulching mowers making sure no excessive amounts of clippings is left behind. Edging and detailing shall take place congruent with the mowing operations. Fertilization shall take place 4 times per year with 2 applications taking place with a 23-3-9 fertilizer and 2 times with a 16-6-8 fertilizer. Dethatching and overseeding shall take place 1 time per year. Weeds shall be controlled by approved herbicides. 1.2 Groundcover Care Frequency: monthly Groundcovers adjacent to hardscape such as sidewalks, walkways, playgrounds, sport courts and parking lots shall be edged weekly and the same time as the turf operations. Herbicides shall be used as a last resort to keep areas weed free after mechanical methods fail to provide the desired results. Fertilization shall take place 4 times per year with a 16-6-8 fertilizer. 250 flats shall be taking into account for groundcover renovation. 1.3 Tree Care Frequency: continuous/as needed All trees shall be monitored for any hazard conditions and shall be reported immediately. An annual report shall be provided by an ISA Certified Arborist, by January 301" of each year to depict the overall condition and health of all trees under the scope of contract. 1.4 Shrub Care Frequency: monthly or sooner if needed All shrubs shall be pruned as required to maintain the plants in a healthy growing condition and to prevent plant growth into encroachment of passageways, walks, streets, view of signs or in any manner deemed objectionable by the City of Santa Ana. All shrubs shall be fertilized 4 times per year with a complete fertilizer such as 16-6-8. 300 CY of mulch shall be included in the proposal for mulching bare spots. 1.4 Weeds, Disease, and Pest Control Frequency: continuous/as needed All weed control shall be done by hand pruning or with an approved chemical method. No glyphosate shall be used in this contract. ouncil uur Lore vanes — Safety • 1 eaTT rl Wuaiity • integrity 8/20/2024 Page 4 1.6 Irrigation System Maintenance Frequency: weekly All irrigation systems shall be checked weekly for physical inspection of the operations. During the checks any adjustments shall be made if needed. All irrigation personnel shall be fully trained in all phases of landscape irrigation systems operation, maintenance, adjustment, and repair. Personnel shall be able to diagnosis and repair of controllers, valve wires, control valves, lateral lines, gate valves, main lines, strainers, pressure regulators, backflow devices, moisture sensors, master valves, and electric pedestals. 1.7 General Maintenance and Clean -Up Frequency: weekly All areas shall be left in a clean and safe condition after maintenance operations. All trash and debris shall be removed from all worksites weekly. c. Agreement Statement Mariposa Landscapes, Inc ensures that all work shall be performed based on the contract per the City of Santa Ana's requirements as indicated in the provisions in EXHINIT III —Sample Agreement. We are confident that we will be able to improve over the current level of landscape maintenance that is being provided for the City of Santa Ana. Our proposal includes an adequate level of labor, materials and equipment to sustain a high level of landscape maintenance for water facilities and City Corporate Yard throughout the term of this contract. d. Firm and Team Experience Firm's Experience Description of Firm Mariposa is a landscape contractor working in both Southern California and Arizona. With our staff experience and dedicated professionals, we have developed a long history of excellence performing work on hundreds of landscape construction, maintenance, and tree care projects. Company History In 1977, Terry Noriega established Mariposa Landscapes, Inc in Rosemead, California, by providing landscape maintenance and installation for custom residential and small commercial clients. After 5 years, he created the Public Works Maintenance Division, in 1989 the Public Works Construction Division was added, and in 1987, a Tree Care Division was formed. Mariposa Landscapes, Inc reincorporated in 1989 as Mariposa Horticultural Enterprises, Inc. In 2009, the company changed their business name back to Mariposa Landscapes, Inc. The company currently has a workforce of over 800 employees covering Southern California and Arizona. To this day the company has been in business for over 40 years. ouncil uur Lore values — Safety • 1 ear T0MWuaiity • integrity 8/20/2024 Page 5 Our Services Landscape Maintenance • Private, Commercial, Public Works and Homeowner Associations • Large Scale Mowing Operations • Comprehensive Irrigation Planning & Management. • Environmentally Friendly Integrated Pest Management. • Year-round Fertilization Application. • Baseball Field Prep and Athletic Turf Maintenance. • Porter Services and Color Design. • Parking Lot Sweeping Tree Care • On -site Diagnosis and Tree Work Recommendations • Consultative Services with Certified Arborists. • Development of Long-term Tree Care Programs. • Large-scale Tree Trimming Removal. • Diagnosis/Treatment of Tree Diseases and Pest Problems. • Stump Grinding and Disposal of Trimmings. • GIS Tree mapping and asset management • Certified Workers & Comprehensive Insurance Coverage. Landscape Construction • Site Preparation, Demolition, Grading and Drainage. • Irrigation Systems Installation, Repairs & Upgrades. • Computerized Irrigation Central Control Systems. • Irrigation Pump Installation. • Native Plant Restoration and Habitat Rehabilitation. • Park construction and Athletic Field installations. • Tree, Shrub, & Ground -cover planting. Hardscape Construction • Concrete Poured -in -Place, Stamped and Seat Walls. • Flagstone, Tile, Masonry and Block Walls. • Drainage and Overhead Construction. • Water Feature Pond Installation & Repair. • Monuments and Signage. • Low Voltage Lighting Design and Installation. ouncil Uur Core Values — Safety • 1 'ear2Tor j g&)uality • Integrity 8/20/2024 Page 6 Brief Chronology: • 1977: The Company is established in Rosemead, California. • 1982: The Public Works Maintenance Division is formed. • 1984: The Public Works Construction Division is added. • 1987: The Tree Division is added. • 1991: Relocates to our current facilities in Irwindale, CA. • 1994: Expands operations by opening a branch in Fontana, CA. • 2001: Establishes an office in Glendale, Arizona. • 2003: Expands into servicing the Ventura County. • 2010: Branch office established in Orange County. • 2013: Branch Office established in Palm Springs Area. • 2023: Over 40 years in Business! Proposer Identification Legal Name: Mariposa Landscapes, Inc. Street/Mailing Address: 6232 Santos Diaz St., Irwindale, CA 91702 Telephone Number: (626) 960-0196 Fax Number: (626) 960-8477 Proposal Contact Email Address: joceylin.figueroa@mariposa-ca.com Proposal contact: Joceylin Figueroa President: Terry Noriega California Corporation: C1469653 California Employer ID: 368-4753-1 Date Incorporated: January 26t", 1981 Licenses & Certificates Contractors State License: 592268 C27, A, C61/D49, C31 Qualified Applicators License: 103864 ABCDEFH Pest Control Adviser License: 74416 ABCDEG Pest Control Business License: 30977 Irwindale Business License: 000538 Supplier Clearinghouse MBE: 94HS0050 City of Los Angeles MBE: 561730 City of Los Angeles LBE: 37858 LA County MBE: 89126 LA Co. Agricultural Pest Control 1000279 Certified Arborist: WE-1182A Minority Business Enterprise MBE Certification, File No. CCA-7150 for the City of Los Angeles, The Women and Minority Business Enterprise Clearing house has audited and verified our eligibility as a MBE pursuant to the California Public Utilities Commission General Order 156. ouncil uur Lore values — Safety • 1 ea'Mcrly 5 puahty • integrity 8/20/2024 Page 7 Green Waste Processing Capability Mariposa Landscapes, Inc. has a recycling program for green waste and paper products. We implement this program at our local offices and at all job sites. Mariposa currently uses hybrid vehicles and electric equipment where required. Mariposa notifies all project managers of the green initiatives prior to the award of contract. Company Highlights 0 Over 45 years in business • Contractor's license in two states • Over 800 employees • Insured — $1 million workers comp, $10 million in aggregate general liability limit • $100 million in bonding capacity • Over 95 awards for project excellence Address and Headquarters Nearest Serving Office — Santa Ana Branch 1107 E. Walnut St Santa Ana, CA 92701 Phone 626 960-0196 Fax 626 960-8477 Company Headquarters - Irwindale 6232 Santos Diaz St Irwindale, CA 91702 Phone 626 960-0196 Fax 626 960-8477 ouncil Uur Core Values — Safety • Tear2TorJ56-)uality • Integrity 8/20/2024 Page 8 Project Team Resumes Project Manager/Principal Agent: Michael Williams —Area Manager • Over 45 years of experience in landscape management, irrigation design and retrofit, maintenance and arbor care. • BS in Ornamental Horticulture, Cal Poly San Luis Obispo • CPR Safety Trained • Qualified Applicator License 133955 • Reclaimed water site supervisor certified Associates in Charge When Project Manager/Principal Agent is Unavailable Irving Gallegos — Account Manager • 16 years of experience in the landscape industry • AA Degree in Business Management, Saddleback College • Horticulture and Landscape Design Certificate, Saddleback College • Qualified Applicator License, Category B • California Friendly Landscape Training Program • Safe Working Zone Training • CPR Safety Trained • Forklift Operator Certification • Certified in QWEL • Certified in CLCA Water Management • Certified Recycled Water Site Supervisor Jose Sanabria —Account Manager • Over 20 years of experience in the landscape industry • Qualified Applicator License, Category B • Landscape Industry Certified Technician Additional Key Personnel Richardo Chaidez — Field Supervisor • 20 years Landscape and irrigation experience • Recycled water site supervisor • CPR and Safety Training Irrigation Specialists - TBD • Minimum 3 years of experience in the landscape industry with knowledge in landscape irrigation troubleshooting repair • CPR Safety Trained ouncil Uur Core Values — Safety • 1'ear2TorJ54uality • Integrity 8/20/2024 Page 9 Spray Technician - TBD • Minimum 3 years of experience in the landscape industry with knowledge in landscape irrigation troubleshooting repair • Qualified Applicator License (QAC) • CPR Safety Trained Foreman - TBD • Minimum 3 years of experience in the landscape industry • CPR Safety Trained Laborer - TBD • Minimum 1 years of experience in the landscape industry • CPR Safety Trained Organizational Chart ouncil Uur Core Values — Safety • 1 'ear2Wor j �&)uahty • Integrity 8i20/2024 Page 10 e. Proposed Work Plan Mariposa Landscape, Inc understands and agrees to follow the scope of work provided in RFP No. 24-018. There will be a sufficient number of laborers to fulfill this contract. This includes 1 supervisor/account manager, 2 foreman, 2 laborer, and 1 irrigation tech that will look over the routine maintenance such as mowing and shrub maintenance. Each branch has crews that perform extra work so that the committed amount of manpower of each site is not affected by additional requested services. Note: Named staff listed above is subject to change, however the position will be filled by the qualified trained personnel needed to fulfill the necessary Scope of Work. For the most efficient transition, Mariposa will consider hiring any qualified workers from the incumbent contractor's work force. Anticipated Approach No. of Employees .. Titles Description of Work District 1 Shrub and Ground Cover Pruning Crew The foremen will be responsible for carrying out the pruning schedule. This 1 Foreman includes all pruning of shrubs and ground cover as well as documenting and (20%) communicating work reports and hazardous conditions. The foremen will be in direct contact with the Account Manager. 1 Laborers The laborers assigned to this contract will be responsible for assisting all (20%) routine pruning tasks, including all pruning of shrubs and ground cover. Mowing Operations The foreman will be responsible for carrying out the weekly mow schedule 1 Foreman and will work with the crews every day. This includes documenting and (20%) communicating work reports and hazardous conditions. They will be in direct contact with the Account Manager. The laborers assigned to this task will be responsible for routine tasks. 1 Laborer Including operating mowers, edging, weed removal and litter control as (20%) needed. Irrigation Irrigation The irrigation technician will be responsible for all minor irrigation repairs 1 Technicians and monitoring. They will report directly to Account Manager. (5%) oundI Uur Core Values —Safety • IeargTcrJ 6Vualtty • Integrity 8/20/2024 Page 11 mplementation and Startup Plan Project Startup and Quality Control Coordination Meeting The Project Estimator and the Account Manager review the project specifications and visit the project site(s) to develop a work plan for the completion of the project per specifications. A meeting including the Account Manager with key personnel responsible for carrying out the work, is held to discuss and coordinate how the project work will be performed. Documentation Prior to commencement of contract work we will thoroughly inspect and document deficiencies. After this is completed for each location, we will provide a detailed list. We will also include a proposal for restoring the area to its original condition if applicable. During the meeting, the Account Manger communicates the work task quality requirements and reinforces heightened awareness for critical requirements. Topics for the meeting include: • Project requirements per specifications. • Record keeping documents and availability of necessary forms. • Review methods, sequence of work tasks and timeline. Preparatory Site Inspection The Account Manager performs a quality inspection of the work area and: • Assesses the required work to be done per specifications. • Verifies field measurements. • Assures availability of required equipment and materials to complete the project. • Identifies potential problems and develops an action plan to resolve them. Scheduling Mariposa Landscapes, Inc. will submit a detailed schedule that includes all the routine activities. After submission and approval of this schedule, we will be ready to start work. Labor Our proposal is calculated to provide full-time employees to the project on a year-round basis. It is our goal to provide professional results. Therefore, we will assign the appropriate and trained crew force necessary to complete the specified activities in a professional and timely manner. To achieve the desired results, the appropriate labor will be assigned for every aspect of the work. Contract Executed or an Official Notice to Proceed On new contracts we typically purchase trucks and equipment, so we cannot initiate purchases until we have a signed commitment. Quicker startups that are 30 days or less may be an issue with supply chain delays. We prefer a 60 to 90 day start for our procurement. During this period, before the Job Start, we may have one or more meetings with the client to meet the management staff and go over a preliminary schedule of work. We also use this interim ouncil Uur Core Values — Sajety • 1 'ear2Tork &�)uality • Integrity 8/20/2024 Page 12 time to prepare more detailed maps of the areas with measurements so we can pre -order the materials we will need (fertilizer, IPM material for weed control and other consumables.) Job Start On day 1 our crews will have detailed maps of the areas along with task lists and the initial schedule. Our management is heavily involved in logistics during this time. We also go through the irrigation systems with our technicians to perform our initial evaluation. If we find anything that is broken, inoperative or neglected, we create a detailed list with repair pricing and a completion schedule for the customer. 30 Day Evaluation At 30 days we have a special evaluation meeting with the customer. There are always aspects of every job that cannot be completely spelled out in the work scope and specifications like, custom timelines, work sequences and specific area needs. We go over the experience so far and identify what is working well and what needs adjustment. The customer gets an action plan for any adjustments with timeline commitments from us along with the initial irrigation system inspection. 60 Day Evaluation At 60 days we anticipate operations to be going smoothly and meeting expectations. We perform a customer survey to assess the customer's perception of the experience related to the proposal process, transition to operations and the actual performance on the job. Our goal is to receive the highest score possible from our clients and provide complete customer satisfaction. 90 Day Evaluation At 90 days the customer receives a survey with one question on it "Would you recommend Mariposa Landscapes to other customers right now?" Our goal is to receive an enthusiastic "Yes" to this question. Quality Control Program We perform internal quality control on our work to free up our contract monitor or client representative (be it a Public Works Inspector or Property Manager) so that he or she will have a reduced work load. This creates a positive environment for everyone involved and enhances our client relationships. Our main philosophy behind quality control is summed up in one statement "Plan your work and work your plan." Therefore, the work is to be planned and monitored in the following ways: ouncil Uur Core Values —Safety •1earorly rVuality • Integrity 8/20/2024 Page 13 Annuol Work Schedule Here is a sample schedule. A final schedule will be provided upon start of work. Edging & DetalingP—emergent �������II■Vlili■iiiiYV■IIW�i`f�iY■ii■I■I■■■■■I�I�■■■■■■■■�I�I■■■■■I■I■ BroadleafControl application ���� NONE MEMMEMEMEM No MEMMEMEMEMEM MEMOMMEMEME Pest Monitoring Irrigation System Inspections ■■■�"M■■ ■■■ MEMME■■ ■■■ ■■■ ■■■` MMM ■■■ "■■■ ■■■ Hedge Trimming ■■■■■■ MEMO■■■ ■■■ ■■■ ■■■ ■■■ ■■■ ■■■■■■■ ■■■■■ Ground -Covers Trimming M!=1M■■■■■ ■■■■■■■ ■■■ ■■■ ■■■ ■■■ ■■■ ■■■■■■■ ■■■■■■ Ground -Covers Edging ■■■■■ ■■■■■■■ ■■■ ■■■ ■■■ ■■■ ■■■ ■■■■■■■ ■■■■■■ Shrub Pruning ■■■■ ■■■■■■■ ■■■ ■■■ ■■■ ■■■ ■■■ ■■■■■■■ ■■■■■■■ Deadheading & Cleaning MEN MEN MEN MEN MEN MEN MEN MEN MEN MEN MEN No Pre -emergent application ���������� MEMEMEMOMME■MOMMEMEMEME■ME■EMEMEMEMEME Mulching RefireashingAnnual Color �M■■MMM■MM■■OMM■MEM■ME■MEMO■MEM■ME■■EMEOEM■■EME■OM Premium Color®■■■■■■■■■■■■■■■■■■■■■■■■■■■■■■■■■■■■■ ■■■■■■■■■■ of I-.• Plants■■■■■■■■■■■■■■■■■■■■■■■■■■■■■■■■■■■■■■■■■■■■■■■■ Irrigation System Inspections Hardscapes Safety Inspection and Reporting ■■ ■■■ ■■■ ■■■ ■■■ ■■■ ■■■ ■■■ ■■■ ■■■ ■■■ ■■■ ■ Within 30 days of award of the contract we will submit an annual work schedule that will organize all the assigned areas into sectioned areas. The sectioned areas will be per the approval of the client representative. The schedule will designate the areas included with the service level and general tasks completed for that month. Any revisions to this schedule will be submitted to the client representative for approval. A review of this schedule will be made at monthly meetings to evaluate success. ouncil Uur Core Values —Safety • 1 ear orly rVuality • Integrity 8/20/2024 Page 14 Monthly Work Schedules The Mariposa Account Manager will submit Monthly Work Schedules describing maintenance operations of all areas contained within this contract and when the work, including trimming, pruning and applications of chemicals/fertilizers will be accomplished. Other work will include the removing and/or replacing of landscape materials within the scope of this Contract. The work may include landscape renovations of rights -of -way, medians, retention areas and/or common turf areas. The Account Manager will develop the Monthly Work Plans and submit them to the client representative by the 25th of the previous month prior to the regular monthly meeting. The Monthly Work Plan will correlate with the Annual Work Schedule in a more detailed form. After the plan is approved at the regular monthly meeting the Monthly Schedule Evaluation Form will be completed with the client representative to evaluate the performance of the current month. The Mariposa Supervisor is responsible for creating and submitting these reports. Irrigation Reports The Irrigation Technician will create the Irrigation Reports at the specified frequencies and the Mariposa Account Manager will insure their accurate and timely completion. These reports will include scheduled formal inspections, all service requests, authorized emergency work and repair of damage. The Irrigation Technician will be responsible for conducting a formal inspection and related repairs of the irrigation system as scheduled. Results of the inspection shall be recorded on the Irrigation Inspection Report and checked for accuracy and then delivered to the client representative. The frequency of these reports will vary depending on the work scope. Account Manager/Client Meeting Work Quality Evaluations A critical aspect of the work is communication. Timely and accurate schedules address a lot of this; however, there is another important aspect that is sometimes overlooked: interpretations of quality. What is beautiful to some is not to others, this is why specifications are written. However, there is always some level of interpretation that can vary from person to person. The goal is to have the Mariposa Account Manager and the client representative both interpreting the expectations of the specifications in the same way. The way we accomplish this is through a graded evaluation of every aspect of the landscape on a site by the Mariposa Supervisor and the client representative. This evaluation is performed prior to the regular client representative meeting by the Mariposa Supervisor. When the regular meeting takes place, this same form is given to the client representative to evaluate the exact same items as the Mariposa Account Manager previously graded. Any differences in evaluation that the client representative has of the same work item or area that were graded by the Mariposa Supervisor are addressed immediately and clarified. The frequency of these evaluations and number of work items evaluated can vary based on the work scope. Please see the sample form provided. Action Item Lists Even with jobs that go perfectly there are always items that come up during walk-through inspections. These items may have nothing to do with work quality but may be requests for improvement, additional work or notations of concern, etc. One of the key aspects of an action item list is a target completion date. This is included for every item on our form. The Mariposa Account Manager is committed to completion of a requested activity at an agreed upon date. This is in writing; it's quick and easy to fill out. The client representative will have confidence that we will keep our promises because they are documented. Our goal is "Promises made are promises kept." Please see the sample form provided. ouncil Uur Core Values —Safety • 1 ear orly r!�)uality • Integrity 8/20/2024 Page 15 f. References Please see section "VII. Certifications (Attachments)" for Attachment B: References. ouncil Uur Lore Values —Safety • I ear orlq �&Juality • Integrity 8/20/2024 Page 16 2. Cost Proposal Please see separate "Cost File" submission on planet bids. ounciI Uur Core Values — Safety • I ear2TorIf f,)uahty •Integrity 8/20/2024 Page 17 Extra Work Pricing Process At times, work above and beyond the contract scope becomes necessary. Our process to take care of this is: • Straight Forward — Simple pricing and approval process ahead of time • Transparent —The Customer sees what was purchased by us • Honest —The hours and material estimated are what is used, nothing exceeds the approved estimate • With No Surprises — Billing either matches or is less than what was quoted on the proposal When a customer desires additional work or an emergency arises, there must be some mechanism to quickly communicate and agree upon the cost. Many times, situations arise where it is difficult to come up with a cost ahead of time. We solve that issue with the following 4 step process: 1. Work is identified and a "Not -to -exceed" proposal is created 2. Customer receives the proposal and approves the work 3. Work proceeds, labor is tracked, and receipts are copied 4. Billing NEVER exceeds the original proposal. It is either equal to or less than the original proposal 4;t3M A R I R 0 S A Proposal .. . - . ' ` ' r ' ` Not to Exited Pricirra Estimate Thefdlo•rngwarae hid m ne/3aiorr" Daw n.m of Irid inA Adat--ftdasignin—ir Monte rrance PROJECT INFORMATION ehent/Project: 5 #eGent Project Now 935 Y: 1234567 mm Job Name: Saplelob Name- Y ps ti-r 9M Y: 7891011 JobAddres: 123 FeatSlseet,AnywheM CA90D01 Job Omcrpbon: This is a description of thework pi ed. The description wi have en ght afammtian to show r4rerc euRHr ttawart is to be drsnl,what i7 to be done and when A wi becomoeted- The nformatim below am ast■nate wh ch mmt be appmwd by the customa prior to startin6 wort itis a 'Not to Eaaeed' pricing proposal. Therefore, frrtal bang wi be bes than or eqw I bo the proposed priarg. LABOR (W11111cow s CIRO*@ NpurMRAIM ..war Nairn 10TAL windvaipc/6-satim laborer 2wpols W91 Reg -- Landsm;W1rri cnTandlr 2/nl2ms $AV.44 ue6 Landmpe Operating Enpr•gt 21)IM I $105.17 Rea Senior Tree Trans 2/72=1 $58.a4 Reg Tree Trnma 2/nl3LD3 $ .aa Rea Tree Grounds on 2/22f12Eos $SO.3a Re undstapeMantman«Laborer 2/12R021 $25.50 Re Landanpe Maatlananrx Cww leader $31.50 Re Lands.Pe Mantwanoe Option Tednidan $75.00 Rea 4A $3 Lands up Mantonanca Spray Technl[ran $6730 Re EQUIPMENTp De"ption of equipment t used Hourly cast $0 00 50.00 $0.00 $0.00 Goo 50.00 000 $0.00 00 00 D 00 Iallor Tofal $300.00 Ntsma T04AL MATERIAL/SUBS/OTHER 19rMe>r.bresrwurrsl EqupmentTotal $&Do Description of Material, sub or Otharlperwirt, dfnrp, wk.I Quantity Unit UrAcost TOTAL Irrigation parts -vaWa 2.00 EA $98.00 $19600 100 LS 525.00 If an issue is uncovered that changes the scope of the original estimate, the proposal is revised and resubmitted for approval (typically with attached pictures and a clear explanation). Work will not proceed until there is client approval of the change. Key... The billing for any extra work does not exceed what you originally approved. TOTALS Matedal/SlAW011w Total 5255.00 NOW: Upon bins, dies piaa purchases of nrwlemb, labor Total S 300.00 equVrrrant rentab,subcontractor anwoi kload tickets. Equgrnent Total $ - wi besubrrwtted with the bang irnrp . Material/Subs/Othe, Total S 255.OD 1S%Mar1mpon MaeeriaV%bs/OtherTotals 1225 The sample proposal to the left would Totl Ilse-Te-Ess:eed Proposalfaat S9i2S submined, Atapted, be something irrigation related where NameoTPmpuser Date Nameof Customer Aopravng Date T dle d Propose Title of Customer Appwvng multiple valves would need to be replaced because of an auto accident. oundI Uur Core Values — safety • 1 ear2Wor j � Duality •Integrity 8/20/2024 Page 18 CITY OF SANTA ANA ATTACHMENT A PROPOSER'S CERTIFICATION, PROPOSAL PRICING Certification - I certify that I have read, understand and agree to the terms and conditions of this Request for Proposals. I have examined the Scope of Services (Exhibit 1) and am qualified to provide services being requested as specified herein. I understand and agree that I am responsible for reporting any errors, omissions or discrepancies to the City for clarification prior to the submission of my proposal. PROPOSER'S STATEMENT: I have read, understood and agree to the terms and conditions on all pages of the Request for Proposals. Upon request, I will transfer and deliver goods or services to the City in accordance with said terms and conditions. Mariposa Landscapes, Inc. Ph (626) 960-0196 Fax (626) 960-8477 LEGAL NAME OF COMPANY PHONE AND FAX NUMBERS 6232 Santos Diaz St., Irwindale, CA 91702 BUSINESS ADDRESS Terry Noriega PRINTED NAME OF AUTHORIZED AGENT President TITLE 3/20/2024 estimating@mariposa-ca.com SIGNATURE OF AUTHORIZED AGENT DATE 95-4245898 592268 FEDERAL ID NUMBER (IF APPLICABLE) 332672 E-MAIL ADDRESS CONTRACTOR LICENSE NUMBER (IFAPPLICABLE) CITY OF SANTA ANA BUSINESS LICENSE NUMBER (PLEASE PROVIDE 1F AVAILABLE, BUT NOT REQUIRED UNTIL AND IF ANA WARD IS MADE TO PROPOSER.) THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. City Council 29 — 169 8/20/2024 CITY OF SANTA ANA ATTACHMENT B REFERENCES List and describe fully the contracts performed by your firm which demonstrate your ability to provide the supplies, equipment or services included in the scope of the proposal specifications. Attach additional pages if required. The City reserves the right to contact each of the references listed for additional information regarding your firm's qualifications. REFERENCE Customer Name:City of Tustin Contact Individual: Forrest Locke Address: 300 Centennial Way, Tustin, CA 92780 Phone Number: (714) 573-3357 Contract Amount: $2,048,246.40 E MAI L:flocke@tustinca.org Year. 2015 - Current Description of supplies, equipment, or services provided: Landscape Maintenance of LMD Areas, Gen, Fund Areas, Parks, Medians and Facilities- Mowing, edging, turf maint., weed, rodent pest control hardsca a maint., trash pickup, Irrigation maintenance. REFERENCE City of Oceanside Customer Name: Contact Individual: Mark Garlock Address:300 N. Coast Hwy, Oceanside, CA 92054 Phone Number: Contract Amount: $3,910,770.00 (760) 435-5208 EMAIL: MGarlock@oceansideca.org Year: 2022 - Current Description of supplies, equipment, or services provided: Land. Maintenance citywide covering 31 parks, 10 facilities and 5 beach accesses. Daily maint. responsibilities for over 124 acres of landseaped aFeas. Strict integrated PeSt fflaRageM8Rt PFGtGGGl6 using organic control methods. REFERENCE Customer Name: Orange County Parks Contact Individual: Chad Ward Address:601 N. Ross St., 6th FI, Santa Ana, CA 92701 Contract Amount: $1,220,340.00 Phone Number: (949) 585-6420 EMAIL: chad.ward@ocparks.com Year: 2022 - Current Description of supplies, equipment, or services provided: Landscape Maint. - Weeding and cultivating, fertilization, trimming, pruning, watering, pest control, mowing, plant replacement, clean up of curb, uo tters and sidewalks, irrigation repair, restroom maint., trash pick up and disposal. THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. City Council 29 — 170 8/20/2024 CITY OF SANTA ANA ATTACHMENT C PROPOSER'S STATEMENT Proposer understands and agrees that this written RFP (or any part thereof specifically designated and accepted by the City of Santa Ana, hereinafter City) shall constitute the entire agreement between proposer and the City only after it has been accepted by the City Council, endorsed by the Clerk of the Council with her signature and official seal noting hereon the action of approval of the Council, signed by the Executive Director or his duly authorized agent, and signed by the City Attorney, denoting his approval of the form of this document, and its execution, and when it or an exact copy of it has been either delivered to proposer or deposited with the United States Postal Service properly addressed to the proposer with the correct postage affixed thereto. Proposer further agrees that upon delivery (as defined above) of the accepted agreement he/she will furnish City all required bonds and certificate of liability insurance within ten (10) days (excluding Saturdays, Sundays and City's legal holidays), or the funds, check, draft, or proposer's bond substituted in lieu thereof accompanying this proposal shall become the property of the City and shall be considered as payment of damages due to the delay and other causes suffered by City because of the failure to furnish the necessary bonds and because it is distinctly agreed that the proof of damages actually suffered by City is difficult to ascertain; otherwise said funds, check drafts, or proposer's bond substituted in lieu thereof shall be returned to the undersigned. Proposer understands that a proposal is required for the entire work, that the estimated quantities set forth in the RFP schedule are solely for the purpose of comparing proposals, and that final compensation under the contract will be based upon the actual quantities of work satisfactorily completed. All terms contained in the specifications, the certification of nondiscrimination by contractors, and the required insurance certificates are to be incorporated by reference into this agreement and are made specifically as part of this RFP. Firm Mariposa Landscapes, Inc. Signed and Printed Name: Title President Date 3/20/2024 T Noriega THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. City Council 29 — 171 8/20/2024 (9) CITY OF SANTA ANA ATTACHMENT D NON -COLLUSION AFFIDAVIT (Title 23 United States Code Section 112 and Public Contract Code Section 7106) To the CITY OF SANTA ANA In accordance with Title 23 United States Code Section 112 and Public Contract Code 7106 the proposer declares that the proposal is not made in the interest of, or on behalf of, any undisclosed person, partnership, company, association, organization, or corporation; that the proposal is genuine and not collusive or sham; that the proposer has not directly or indirectly induced or solicited any other proposer to put in a false or sham proposal, and has not directly or indirectly colluded, conspired, connived or agreed with any proposer or anyone else to put in a sham proposal, or that anyone shall refrain from bidding; that the proposer has not in any manner, directly or indirectly, sought by agreement, communication, or conference with anyone to fix the proposal price of the proposer or any proposer, or to fix any overhead, profit, or cost element of the proposal price, or of that of any other proposer, or to secure any advantage against the public body awarding the contract of anyone interested in the proposed contract; that all statements contained in the proposal are true; and, further, that the proposer has not, directly or indirectly, submitted his or her proposal price or any breakdown thereof, or the contents thereof, or divulged information or data relative thereto, or paid, and will not pay, any fee to any corporation, partnership, company association, organization, bid depository, or to any member or agent thereof to effectuate a collusive or sham proposal. Note: The above non -collusion affidavit is part of the proposal. Signing this proposal on the signature portion thereof shall also constitute signature of this non -collusion affidavit. Proposers are cautioned that making a false certification may subject the certifier to criminal prosecution. Signed State of California , County of Los Angeles Subscribed and sworn to (or affirmed) before me on this day of _ 20 , by vid proved to me on the basis of satisfa fy-eence to be the person(s) who appeared before me. Notary Public Signature Notary Public Seal THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL, PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE, City Council 29 — 172 8/20/2024 ACKNOWLEDGMENT A notary public or other officer completing this certificate verifies only the identity of the individual who signed the document to which this certificate is attached, and not the truthfulness, accuracy, or validity of that document. State of California County of Los Angeles On before me, Brandon James Williamson, Notary Public � /�, t� ((insert name and title of the officer) personally appeared e" N rc l V� y i,wk who proved to me on the basis of satisfactoryNevidence to bb the person(s) whose name(s) islare subscribed to the within instrument and acknowledged to me that he/she/they executed the same in his/her/their authorized capacity(ies), and that by his/her/their signature(s) on the instrument the person(s), or the entity upon behalf of which the person(s) acted, executed the instrument. I certify under PENALTY OF PERJURY under the laws of the State of California that the foregoing paragraph is true and correct. F BRA -NOON JAMES WILLIAMSON WITNESS my hand and official seal. _ r Notary Public - California Z LOS Angeles County Commission 2354892 My Comm. Expires Apr 19, 2025 Si nature g (Seal) City Council 29 — 173 8/20/2024 CITY OF SANTA ANA ATTACHMENT E NON -LOBBYING CERTIFICATION The prospective participant certifies, by signing and submitting this bid or proposal, to the best of his or her knowledge and belief, that: (1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any Federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. (2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any Federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure of Lobbying Activities," in conformance with its instructions. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by Section 1352, Title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. The prospective participant also agrees by submitting his or her bid or proposal that he or she shall require that the language of this certification be included in all lower tier subcontracts, which exceed $100,000 and that all such subrecipients shall certify and disclose accordingly. Signed: erry Noriega Title: President Firm: Mariposa Landscapes, Inc. Date: 3/20/2024 THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. City Council 29 — 174 8/20/2024 (9) CITY OF SANTA ANA ATTACHMENT F NON-DISCRIMINATION CERTIFICATION The undersigned consultant or corporate officer, during the performance of this contract, certifies as follows: The Consultant shall not discriminate against any employee or applicant for employment because of race, color, religion, sex, or national origin. The Consultant shall take affirmative action to ensure that applicants are employed, and that employees are treated during employment without, regard to their race, color, religion, sex, or national origin. Such action shall include, but not be limited to, the following: employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. The Consultant agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided setting forth the provisions of this nondiscrimination clause. 2. The Consultant shall, in all solicitations or advertisements for employees placed by or on behalf of the Consultant, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, or national origin. 3. The Consultant shall send to each labor union or representative of workers with which he/she has a collective bargaining agreement or other contract or understanding, a notice to be provided advising the said labor union or workers' representatives of the Consultant's commitments under this section, and shall post copies of the notice in conspicuous places available to employees and applicants for employment. 4. The Consultant shall comply with all provisions of Executive Order 11246 of September 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor. 5. The Consultant shall furnish all information and reports required by Executive Order 11246 of September 24, 1965, and by rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his/her books, records, and accounts by the administering agency and the Secretary of Labor for purposes of investigation, to ascertain compliance with such rules, regulations, and orders. In the event of the Consultant's non-compliance with the nondiscrimination clauses of this contract or with any of the said rules, regulations, or orders, the contract may be canceled, terminated, or suspended in whole or in part and the Consultant may be declared ineligible for further Government contracts or federally assisted construction contracts in accordance with procedures authorized in Execution Order 11246 of September 24, 1965, and such other sanctions may be imposed and remedies invoked as provided in Executive Order 11246 of September 24, 1965, or by rule, regulations, or order of the Secretary of Labor, or as otherwise provided by law. 2. The Consultant shall include the portion of the sentence immediately preceding paragraph (1) and the provisions of paragraphs (1) through (7) in every subcontract or purchase order unless exempted by rules, regulations, or orders of the Secretary of Labor issued pursuant to Section 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontract City Council 29 — 175 8/20/2024 CITY OF SANTA ANA or purchase order as the administering agency may direct as means of enforcing such provisions, including sanctions for noncompliance; provided, however, that in the event the Consultant becomes involved in, or is threatened with, litigation with a subconsultant or vendor as a result of such direction by the administering agency, the Consultant may request that the United States enter into such litigation to protect the interests of the United States. 8. Pursuant to California Labor Code Section 1735, as added by Chapter 643 Stats. 1939, and as amended, no discrimination shall be made in the employment of persons upon public works because of race, religious creed, color, national origin, ancestry, physical handicaps, mental condition, marital status, or sex of such persons, except as provided in Section 1420, and any consultant of public works violating this Section is subject to all the penalties imposed for a violation of the Chapter. Signed II Terry Noriega Title: President Firm: Mariposa Landscapes, Inc. Date: 3/20/2024 THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. City Council 29 — 176 8/20/2024 IX Minimum Scope and Limit of Insurance CERTIFICATE OF LIABILITY INSURANCE DATE IMMrDUIYYYYI THIS CERTIFICATE IS ISSUED AS A MATT ER OF INFORMATION ONLY ANU CONFERS NO RIGHTS UPON THE CERTIFICATE HOLDER. THIS CERTIFICATE DOES NOT AFFIRMATIVELY OR NEGATIVELY AMEND, EXTEND OR ALTER THE COVERAOE AFFORDED BY THE POLICIES BELOW. THIS CERTIFICATE OF INSURANCE DOES NOT CONSTITUTE A CONTRACT BETWEEN THE ISSUING INSURER(S). AUTHORIZED REPRESENTATIVE OR PRODUCER, AND THE CERTIFICATE HOLDER. IMPORTANT: If the certificate holder is an ADDITIONAL INSURED. the pollcyliesl must have ADDITIONAL INSURED provisions or be endorsed. If SUBROGATION IS WAIVED subject to the terms and conditions of the policy. certain policies may require an endorsement. A statement on this cwtlfiCats does not confer rights to the certificate holder in lieu of such endorsement(s). PRODUCER FEDERATED MUTUAL INSURANCE COMPAN- HOME OFFICE: P.O. BOX 328 CONTNAMEACT CLIENT CONTACT CENTER IPArNOc.ME Ea1:9Bfj 333rT949 AAc, Rol: $01 aaG a6Ss AAODRESS CLIENTCONTACTCENTER FED INS. CON OWATONNA, MN 55064 INSURERS AFFOROINO COVERAGE AA C %SURER A. FEDERATED SERVICE INSURANCE COMI Al+ �F3:AW INSURED 171ti.7 i=: ASURER B. MARIPOSA LANDSCAPES INC 6232 SANTOS DIAZ ST FSLRER C NSL RER D: IRWINDALE, CA 91702-3N7 ASLRER E. FSLRER T, C:OVt KAOt5 t2RTIFIC:Art NUMBtIi:O F&VI510N NUMMM., 11a T ll;_ ;,,TO CERTIFY THAT THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE INSURED NAM ED ABOVE FOR THE POLICY PERIOD INDICATED NOTWITHSTANDING ANY REQUIREMENT TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS CERTIFICATE MAY BE ISSUED OR MAY PERTAIN THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS EXCLUSIONS AND CONDITIONS OF SUCH POLICIES LIMITS SHOWN VAY HAVE BEEN REDUCED BY PAID CLAIMS I NSR TYPE OF INSURANCE SILL UBR POLICY ri!j eco POLICY EIF POLICY EXP LIMITS X CCMMFRCIALGENERAL LIABILITY EACH OCCURRENCE CLANI&M MACE C<CUR DAMAGE T1p RENTED PREMISE - MCC EXPIAnVam* prsan; EXCLUL _ A N N 60'J! D41DI?2D23 0410112024 PERSCNAL& pD11NJURY t 000 L'.' 'EL I'ppP E5 R. GEnFRAL AAORFOATFPCLIC'V PRCOUCT'S6CCMA CP ACC rGE1LAOOREG IOC C114E111. AUTOMOBILE LIABLTIY COMBINED SINGLE uUr' , aaaclse INJURY (Per Pal— ANYAUTOBGDILY BODILY INJURY (Pal Ac40Nn( a'OWNED AUTOO ONLY ALrTTOI3 FR J N N 6V': ! �. 0"V2023 0410112024 PROPENTY DAMAGE NRESDAVTIO OWNL NON -OWNED X ULQRSL1LAAB X CICGUR EACHOCCURRENCE S10.DOD,0DO AGORECA-E S10.ODD,OOD A EXOE33LIAB GLAIM"ADE N N 6U'u!..',' 0410110'.. 04^r' '_--.4 DIED I RETENTION WORKERSCOMPENSATON AND E MPLO YE RSLULBI LRY PER III - -_- EL EACH P.CCICENT ANY PROPRIETCR.PAATNOM EXECU'1A OFFICER,MEMBER EXCLUDED? N.T E-L DISEASE 4A EMPLO)'e_ ILMndabry In NNI It Yes, describe under E.L DISEASE •POLICY LIM - oESCRIPrICN OF OPERATI CNS below DESCRIPTICRI O: CPERATIGNS, LOCATICNbi %EHICUES "CPO 'e'. Addilwal Ran als SdreaUe. msr pe .R-a Ted �• mare yea is ,eW ,eu. THIS COPY IS NOT TO BE REPRODUCED FOR ISSUANCE OF CERTIFICATES. CERTIFICATE HOLDER CANCELLA71ON A CERTIFICATE HAS BEEN FILED WITH EACH OF YOUR 0 1e CERTIFICATE HOLDERS. SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE THE EXPIRATION DATE THEREOF, NOTICE WILL BE DELIVLREU IN ACCORDANCE WITH THE POLICY PROVISIONS, A'J'HC RIgCP.EPPE SE NTA'I4E lZ&U e �e t ouncil Uur Core Values — Safety e lear2Worly7t)ualtty e integrity 8/20/2024 Page 27 DATE IYIIAD'r TYYj ACOR& CERTIFICATE OF LIABILITY INSURANCEF�� 123/2023 THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE HOLDER. THIS CERTIFICATE DOES NOT AFFIRMATIVELY OR NEGATIVELY AMEND, EXTEND OR ALTER THE COVERAGE AFFORDED BY THE POLICIES BELOW. THIS CERTIFICATE OF INSURANCE DOES NOT CONSTITUTE A CONTRACT BETWEEN THE ISSUING INSURER(S), AUTHORIZED REPRESENTATIVE OR PRODUCER, AND THE CERTIFICATE HOLDER_ IMPORTANT: If the certificate holder is an ADDITIONAL INSURED, the policy(es) must have ADDITIONAL INSURED provisions or be endorsed. If SUBROGATION IS WAIVED, subject to the terms and conditions of the policy, certain policies may require an endorsement. A statement on this certificate does not confer rights to the certificate holder in lieu of such endorsements . PRODUCER Venbrook Insurance Services N.%Me T Iffindy west 6320 Canoga Avenue 12th Floor PHONE alea eea� FAX [AdC Not Woodland Hills, CA 91367 EJ AID ....--- -- www.venbmok.corn NIURED Mariposa Landscapes, Inc. 6232 Santos Diaz St. Irwindale CA 91702 CA Lie No- 0080 a 32 rnVP PAPFC CLRTIMCI ATC lY11MR1 0- 7'9CAsAQ6 RFVICInM MIIIYF F-P. THIS IS TO CERTIFY THAT THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY PERIOD INDICATED- NOTWITHSTANDING ANY REQUIREMENT. TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS CERTIFICATE MAY BE ISSUED OR MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS, EXCLUSIONS AND CONDITIONS OF SUCH POLICIES LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CUUMS. NiR LTR TYPE INSURANCE ADD aUBA POLICY NUMBER FCLICYEFT VM0OrrCYY1 POLICY EXP MIKIDO,"YY)WTI COMMERCIAL GENERAL LIABILITY EAC}• OCCURRENCE OliiF GE TO RHVTED C _v1,C-1.�-+E � C':r _? PREMISES Ea bCp/rMCe` S NED EXP [Any one PER3ONAL & AD': INJURY I GENL AGGREGATE L: !' - 1-=L E : E�. GENERAL AGGREGATE POLICY PP` L== PRODUCTS- COMP'C=<W6 a i OTHER. AUTOYOBY•E WaILITY COMBINED 31NGLE_ MT ,Ea aCCldenl' i BODILY INJURY Mer Person. i ANY AVTO ahxEA 'Ic"EDULED OWNS ONLY AUTOS BO71LY INJURY iPer a[cN*M, 11 PROPERTYOMIAGE - i HIREC NON-OWWO AtJTQC cltr AUTOS ONL" i UMBRELLA LIAR [77�� EACH OCCURRENCE AC•;iRE aATE i EXCESSLSAB .-- DED R=-ENTION A WORMERa COMPENSATION AND EMPLOYER a' LIABILITY ANY-ROPRIETOri=AR-hEFt'E)ECUTIYE O_ICEAMVMEREXCLUDED- ❑ N 23D WS 12057 4'.22-3 4; 1f2024 ,/ PER ER E-L. EACH ACC CENT 1 DOD 000 E.L. DIDEACE- EA EMPLOYEE i (Mandatory In NH) If Tea. ]es ree rider CECCR PTIC4 OF OPERATIOrn3 oe+or El. DISEASE- POLICr Lmrr s 1 DMDM DESCRIPTION OF OPERATIONI , LOCAnONS . YFHICL-e8 IA: aR:'.V. Addlbonal Remarks Sa%edV* may be attadvd If mora snaoe IL nduhedl P-Oe of nsu a -'a CERTIFICATE HOLDER Manposa Landscapes, Inc. 15529 Arrow Higqhway Irwindale CA 9T706 CANCELLATION SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE THE EXPIRATION DATE THEREOF, NOTICE WILL BE DELIVERED IN ACCORDANCE WITH THE POLICY PROVISIONS. aurlloalzED REPRESENTATIVE W1 Windy V-4-51 IY 1988-2015 ACORD CORPORATION- All rights reserved- ACORD 25 (201G A13) The ACORD name and logo are registered marks of ACORD 09 Council ur ore a ues — a ety a Teai2Wor 7 ua ity •Integrity 8/20/2024 Page 28 Company Values Safety This is the primary foundation of our company. We emphasize "safety first" on every worksite and in all our training programs. Our employees are taught to be aware of, and responsible for, safety at all times. We strive to prevent injuries and accidents, as well as provide a safe environment for staff and customers alike. Teamwork We work together, seeking input from all team members to organize our efforts for the greater good. We always remain open to change, embracing new methods and techniques to achieve the highest levels of quality and efficiency. We are considerate of team members, provide support, and encourage their growth, resulting in the ultimate outcome for the team. Quality We are committed to bringing the best possible quality for our customers and their properties and projects. We provide prompt service, expert workmanship, and superior products. We take pride in meeting or exceeding expectations. Our ultimate goal is to deliver excellent value for our clients' investment. Integrity We are honest and open in our communications, building deep trust and confidence in all of our relationships. We value the dedication and contribution of each person. The overall well- being of our employees, customers and vendors is important to us. ouncil Uur Core Values — Safety • 1 'ear2q�or j 16)uality • integrity 8/20/2024 Page 29 CITY OF SANTA ANA ATTACHMENT A PROPOSER'S CERTIFICATION, PROPOSAL PRICING Certification - I certify that I have read, understand and agree to the terms and conditions of this Request for Proposals. I have examined the Scope of Services (Exhibit 1) and am qualified to provide services being requested as specified herein. I understand and agree that I am responsible for reporting any errors, omissions or discrepancies to the City for clarification prior to the submission of my proposal. PROPOSER'S STATEMENT: I have read, understood and agree to the terms and conditions on all pages of the Request for Proposals. Upon request, I will transfer and deliver goods or services to the City in accordance with said terms and conditions. Mariposa Landscapes, Inc. Ph (626) 960-0196 Fax (626) 960-8477 LEGAL NAME OF COMPANY PHONE AND FAX NUMBERS 6232 Santos Diaz St., Irwindale, CA 91702 BUSINESS ADDRESS Terry Noriega PRINTED NAME OF AUTHORIZED AGENT President TITLE 3/20/2024 estimating@mariposa-ca.com SIGNATURE OF AUTHORIZED AGENT DATE 95-4245898 592268 FEDERAL ID NUMBER (IF APPLICABLE) 332672 E-MAIL ADDRESS CONTRACTOR LICENSE NUMBER (IFAPPLICABLE) CITY OF SANTA ANA BUSINESS LICENSE NUMBER (PLEASE PROVIDE 1F AVAILABLE, BUT NOT REQUIRED UNTIL AND IF ANA WARD IS MADE TO PROPOSER.) THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. City Council 29 — 180 8/20/2024 CITY OF SANTA ANA ATTACHMENT B REFERENCES List and describe fully the contracts performed by your firm which demonstrate your ability to provide the supplies, equipment or services included in the scope of the proposal specifications. Attach additional pages if required. The City reserves the right to contact each of the references listed for additional information regarding your firm's qualifications. REFERENCE Customer Name:City of Tustin Contact Individual: Forrest Locke Address: 300 Centennial Way, Tustin, CA 92780 Phone Number: (714) 573-3357 Contract Amount: $2,048,246.40 E MAI L:flocke@tustinca.org Year. 2015 - Current Description of supplies, equipment, or services provided: Landscape Maintenance of LMD Areas, Gen, Fund Areas, Parks, Medians and Facilities- Mowing, edging, turf maint., weed, rodent pest control hardsca a maint., trash pickup, Irrigation maintenance. REFERENCE City of Oceanside Customer Name: Contact Individual: Mark Garlock Address:300 N. Coast Hwy, Oceanside, CA 92054 Phone Number: Contract Amount: $3,910,770.00 (760) 435-5208 EMAIL: MGarlock@oceansideca.org Year: 2022 - Current Description of supplies, equipment, or services provided: Land. Maintenance citywide covering 31 parks, 10 facilities and 5 beach accesses. Daily maint. responsibilities for over 124 acres of landseaped aFeas. Strict integrated PeSt fflaRageM8Rt PFGtGGGl6 using organic control methods. REFERENCE Customer Name: Orange County Parks Contact Individual: Chad Ward Address:601 N. Ross St., 6th FI, Santa Ana, CA 92701 Contract Amount: $1,220,340.00 Phone Number: (949) 585-6420 EMAIL: chad.ward@ocparks.com Year: 2022 - Current Description of supplies, equipment, or services provided: Landscape Maint. - Weeding and cultivating, fertilization, trimming, pruning, watering, pest control, mowing, plant replacement, clean up of curb, uo tters and sidewalks, irrigation repair, restroom maint., trash pick up and disposal. THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. City Council 29 — 181 8/20/2024 CITY OF SANTA ANA ATTACHMENT C PROPOSER'S STATEMENT Proposer understands and agrees that this written RFP (or any part thereof specifically designated and accepted by the City of Santa Ana, hereinafter City) shall constitute the entire agreement between proposer and the City only after it has been accepted by the City Council, endorsed by the Clerk of the Council with her signature and official seal noting hereon the action of approval of the Council, signed by the Executive Director or his duly authorized agent, and signed by the City Attorney, denoting his approval of the form of this document, and its execution, and when it or an exact copy of it has been either delivered to proposer or deposited with the United States Postal Service properly addressed to the proposer with the correct postage affixed thereto. Proposer further agrees that upon delivery (as defined above) of the accepted agreement he/she will furnish City all required bonds and certificate of liability insurance within ten (10) days (excluding Saturdays, Sundays and City's legal holidays), or the funds, check, draft, or proposer's bond substituted in lieu thereof accompanying this proposal shall become the property of the City and shall be considered as payment of damages due to the delay and other causes suffered by City because of the failure to furnish the necessary bonds and because it is distinctly agreed that the proof of damages actually suffered by City is difficult to ascertain; otherwise said funds, check drafts, or proposer's bond substituted in lieu thereof shall be returned to the undersigned. Proposer understands that a proposal is required for the entire work, that the estimated quantities set forth in the RFP schedule are solely for the purpose of comparing proposals, and that final compensation under the contract will be based upon the actual quantities of work satisfactorily completed. All terms contained in the specifications, the certification of nondiscrimination by contractors, and the required insurance certificates are to be incorporated by reference into this agreement and are made specifically as part of this RFP. Firm Mariposa Landscapes, Inc. Signed and Printed Name: Title President Date 3/20/2024 T Noriega THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. City Council 29 — 182 8/20/2024 (9) CITY OF SANTA ANA ATTACHMENT D NON -COLLUSION AFFIDAVIT (Title 23 United States Code Section 112 and Public Contract Code Section 7106) To the CITY OF SANTA ANA In accordance with Title 23 United States Code Section 112 and Public Contract Code 7106 the proposer declares that the proposal is not made in the interest of, or on behalf of, any undisclosed person, partnership, company, association, organization, or corporation; that the proposal is genuine and not collusive or sham; that the proposer has not directly or indirectly induced or solicited any other proposer to put in a false or sham proposal, and has not directly or indirectly colluded, conspired, connived or agreed with any proposer or anyone else to put in a sham proposal, or that anyone shall refrain from bidding; that the proposer has not in any manner, directly or indirectly, sought by agreement, communication, or conference with anyone to fix the proposal price of the proposer or any proposer, or to fix any overhead, profit, or cost element of the proposal price, or of that of any other proposer, or to secure any advantage against the public body awarding the contract of anyone interested in the proposed contract; that all statements contained in the proposal are true; and, further, that the proposer has not, directly or indirectly, submitted his or her proposal price or any breakdown thereof, or the contents thereof, or divulged information or data relative thereto, or paid, and will not pay, any fee to any corporation, partnership, company association, organization, bid depository, or to any member or agent thereof to effectuate a collusive or sham proposal. Note: The above non -collusion affidavit is part of the proposal. Signing this proposal on the signature portion thereof shall also constitute signature of this non -collusion affidavit. Proposers are cautioned that making a false certification may subject the certifier to criminal prosecution. Signed State of California , County of Los Angeles Subscribed and sworn to (or affirmed) before me on this day of _ 20 , by vid proved to me on the basis of satisfa fy-eence to be the person(s) who appeared before me. Notary Public Signature Notary Public Seal THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL, PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE, City Council 29 — 183 8/20/2024 ACKNOWLEDGMENT A notary public or other officer completing this certificate verifies only the identity of the individual who signed the document to which this certificate is attached, and not the truthfulness, accuracy, or validity of that document. State of California County of Los Angeles On before me, Brandon James Williamson, Notary Public � /�, t� ((insert name and title of the officer) personally appeared e" N rc l V� y i,wk who proved to me on the basis of satisfactoryNevidence to bb the person(s) whose name(s) islare subscribed to the within instrument and acknowledged to me that he/she/they executed the same in his/her/their authorized capacity(ies), and that by his/her/their signature(s) on the instrument the person(s), or the entity upon behalf of which the person(s) acted, executed the instrument. I certify under PENALTY OF PERJURY under the laws of the State of California that the foregoing paragraph is true and correct. F BRA -NOON JAMES WILLIAMSON WITNESS my hand and official seal. _ r Notary Public - California Z LOS Angeles County Commission 2354892 My Comm. Expires Apr 19, 2025 Si nature g (Seal) City Council 29 — 184 8/20/2024 CITY OF SANTA ANA ATTACHMENT E NON -LOBBYING CERTIFICATION The prospective participant certifies, by signing and submitting this bid or proposal, to the best of his or her knowledge and belief, that: (1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any Federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. (2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any Federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure of Lobbying Activities," in conformance with its instructions. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by Section 1352, Title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. The prospective participant also agrees by submitting his or her bid or proposal that he or she shall require that the language of this certification be included in all lower tier subcontracts, which exceed $100,000 and that all such subrecipients shall certify and disclose accordingly. Signed: erry Noriega Title: President Firm: Mariposa Landscapes, Inc. Date: 3/20/2024 THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. City Council 29 — 185 8/20/2024 (9) CITY OF SANTA ANA ATTACHMENT F NON-DISCRIMINATION CERTIFICATION The undersigned consultant or corporate officer, during the performance of this contract, certifies as follows: The Consultant shall not discriminate against any employee or applicant for employment because of race, color, religion, sex, or national origin. The Consultant shall take affirmative action to ensure that applicants are employed, and that employees are treated during employment without, regard to their race, color, religion, sex, or national origin. Such action shall include, but not be limited to, the following: employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. The Consultant agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided setting forth the provisions of this nondiscrimination clause. 2. The Consultant shall, in all solicitations or advertisements for employees placed by or on behalf of the Consultant, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, or national origin. 3. The Consultant shall send to each labor union or representative of workers with which he/she has a collective bargaining agreement or other contract or understanding, a notice to be provided advising the said labor union or workers' representatives of the Consultant's commitments under this section, and shall post copies of the notice in conspicuous places available to employees and applicants for employment. 4. The Consultant shall comply with all provisions of Executive Order 11246 of September 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor. 5. The Consultant shall furnish all information and reports required by Executive Order 11246 of September 24, 1965, and by rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his/her books, records, and accounts by the administering agency and the Secretary of Labor for purposes of investigation, to ascertain compliance with such rules, regulations, and orders. In the event of the Consultant's non-compliance with the nondiscrimination clauses of this contract or with any of the said rules, regulations, or orders, the contract may be canceled, terminated, or suspended in whole or in part and the Consultant may be declared ineligible for further Government contracts or federally assisted construction contracts in accordance with procedures authorized in Execution Order 11246 of September 24, 1965, and such other sanctions may be imposed and remedies invoked as provided in Executive Order 11246 of September 24, 1965, or by rule, regulations, or order of the Secretary of Labor, or as otherwise provided by law. 2. The Consultant shall include the portion of the sentence immediately preceding paragraph (1) and the provisions of paragraphs (1) through (7) in every subcontract or purchase order unless exempted by rules, regulations, or orders of the Secretary of Labor issued pursuant to Section 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontract City Council 29 — 186 8/20/2024 CITY OF SANTA ANA or purchase order as the administering agency may direct as means of enforcing such provisions, including sanctions for noncompliance; provided, however, that in the event the Consultant becomes involved in, or is threatened with, litigation with a subconsultant or vendor as a result of such direction by the administering agency, the Consultant may request that the United States enter into such litigation to protect the interests of the United States. 8. Pursuant to California Labor Code Section 1735, as added by Chapter 643 Stats. 1939, and as amended, no discrimination shall be made in the employment of persons upon public works because of race, religious creed, color, national origin, ancestry, physical handicaps, mental condition, marital status, or sex of such persons, except as provided in Section 1420, and any consultant of public works violating this Section is subject to all the penalties imposed for a violation of the Chapter. Signed II Terry Noriega Title: President Firm: Mariposa Landscapes, Inc. Date: 3/20/2024 THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. City Council 29 — 187 8/20/2024 CITY OF SANTA ANA ATTACHMENT A: PROPOSER'S FEE SCHEDULE Certification - I certify that I have read, understand and agree to the terms and conditions of this Request for Proposals. I have examined the Scope of Services (Exhibits and am familiar with the scope of work locations. I am familiar with all the existing conditions and limitation that may impact work requests. I understand and agree that lam responsible for reporting any errors, omissions or discrepancies to the City for clarification prior to the submission of my proposal. Proposal Item Price - Specify costs for the proposed landscaping work at the various systems detailed in Exhibit 11. Indicate a monthly and annual price for each bid item. Total quotation is to be firm offer for no less than ninety (90) days and will be regarded by the City as bidder's best and final offer. Note: This contractis subject to prevailing wages. TO: CITY COUNCIL OF THE CITY OF SANTA ANA FROM: Mariposa Landscapes, Inc Item# Bid Item {b Site} Monthl Fee Annual Fee 1 Elevated Tank $160.74 $1,928.88 2 Cambridge Station $ 40.18 $ 482.16 3 Cambridge Lot $ 40.18 $ 482.16 4 East Station $ 321.44 $3,857.28 5 J. Garthe Station $1,285.77 $15,429.24 6 South Station $ 964.32 $11,571.84 7 West Station $ 321.44 $3,857.28 8 West Station Lot $ 321.44 $3,857.28 9 Walnut $ 321.44 $3,857.28 10 Well 16 $ 80.36 $ 964.32 11 Well 21 $ 80.36 $ 964.32 12 W e 112 4 $ 80.36 $ 964.32 13 W e 112 9 $ 80.36 $ 964.32 14 Flower South $ 40.18 $ 482.16 15 Flower North $40.18 $ 482.16 16 Well 30 $160.72 $1,928.64 17 Well 31 $160.72 $1,928.64 18 Well 33 $160.72 $1,928.64 19 Well 35 $ 321.44 $3,857.28 20 PRV-1 $ 80.36 $ 964.32 21 Washington $ 321.44 $3,857.28 City Council 29 — 188 8/20/2024 CITY OF SANTA ANA 22 SA Corp Yard $ 2,571.53 $ 30,858.36 23 Well 37 $ 80,36 $ 964.32 24 17t" St. Lot $ 321.44 $ 3,857.28 25 Figueroa Lot $ 80.36 $ 964.32 26 SA 7 $ 80.36 $ 964.32 27 San Lorenzo $ 80.36 $ 964.32 28 Crooke Reservoir $ 321.44 $ 3,857.28 Grand Total $107,040.00 Contractor shall submit additional labor. material and eauiDment rates alona with fee schedule. Contractor's labor and equipment rate sheet shall list rates for all labor designations, equipment and materials. Specify and estimate any other costs associated with the system. * Quantities listed are for bid comparison only and are subject to change. Mariposa Landscapes,lnc Phone (626) 960-0196 Fax (626) 960-8477 LEGAL NAME OF COMPANY 6232 Santos Diaz St, Irwindale, CA 91702 BUSINESS ADDRESS Terry Noriega PRINTED NAJE OF AUTHORIZED AGENT -...A PHONE AND FAX NUMBERS President TITLE 3/20/2024 estimating@mariposa-ca.com SIGNATURLtOF AUTHORITD AGENT DATE E-MAIL ADDRESS 95-4245898 FEDERAL ID NUMBER (IF APPLICABLE) THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. _ PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. City Council 29 — 189 8/20/2024 Standard Hourly Fee Schedule Supervisor LaborClassification Hourly $80.00 Foreman $60.00 Laborer $44.00 Technician $75.00 -irrigation Spray Applicator $65.00 Labor & Equipment rates are included in the hourly labor cost schedule shown above. Materials: 15% mark up Payment schedule is net 30 days. ouncil Uur Core Values — Sajety • l'ear2g)crly gWuahty 9 lntegrity 8/20/2024 Page 22 Public Works Agency www.santa-ana.org/public-works Item # 30 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report August 20, 2024 TOPIC: Automated Metering Infrastructure Implementation Support Services AGENDA TITLE Agreement with E Source Companies, LLC for Automated Metering Infrastructure Implementation Support Services (Project 16-6460) (Non -General Fund) RECOMMENDED ACTION Authorize the City Manager to execute an agreement with E Source Companies, LLC to provide Automated Metering Infrastructure implementation support services, for a total amount not to exceed $450,000, for a three-year term beginning August 20, 2024 and expiring December 31, 2027, with a provision for one two-year extension (Agreement No. 2024-XXX). GOVERNMENT CODE §84308 APPLIES: Yes DISCUSSION The Public Works Agency (PWA)'s Water Resources Division oversees the daily operations and maintenance of the City's water and sanitary sewer systems. The water system is composed of approximately 480 miles of water main, 21 groundwater wells, seven pump stations, 10 reservoirs with a storage capacity of 49 million gallons, four pressure regulating stations, and seven connection points to the Metropolitan Water District. The system has an average daily demand of 30 million gallons from its roughly 45,150 metered service connections. The City is currently in the process of delivering the Automated Metering Infrastructure (AMI) Project, which will replace or retrofit all of the existing, manually -read water meters in the city with smart meters capable of communicating water consumption and other system information to both the utility and the customer. An integral part of the AMI project involves billing software system upgrades, as well as the integration of new software platforms that will allow the City to gain operational efficiencies and fully utilize the newly captured data. On June 25, 2024, PWA released Request for Proposals (RFP) No. 24-085 for qualified firms to provide implementation support services for the AMI project. The RFP was advertised on the City's online bid management and publication system, PlanetBids, with proposals due on July 11, 2024. System records indicate a total of 990 vendors City Council 30-1 8/20/2024 Automated Metering Infrastructure Implementation Support Services August 20, 2024 Page 2 were notified via PlanetBids, with two vendors downloading bidding documents and one proposal received. Staff recommends awarding an agreement to E Source (Exhibit 2) to provide needed implementation support services. E Source is currently providing similar services for the City, and throughout the AMI project, has successfully guided City staff in its development and execution of the tasks needed to accomplish the City's vision for the AMI project. Due to the complexity and volume of work to properly analyze all real and potential system integration issues, PWA has relied on E Source to successfully deliver this project. ENVIRONMENTAL IMPACT There is no environmental impact associated with the action. FISCAL IMPACT Funds are budgeted and available for expenditure in FY 2023-24. Therefore, a proposed carryover of $300,000 in unspent funds will be presented to City Council for approval of carryover to FY 2024-25. Future fiscal year funding will be included in the proposed budgets for City Council consideration Fiscal Accounting Fund Accounting Unit, Year Unit Description Account Description Amount - Account # Contract (3-Year Term) 06017645- Water 62300 Water Admin/Engineering, 2024-25 (16--6460) Contract Services - $300,000 Professional 06017645- Water 2025-26 62300 Water Admin/Engineering, (16-6460) Contract Services - $100,000 Professional 06017645- Water 2026-27 62300 Water Admin/Engineering, (16-6460) Contract Services - $30,000 Professional Optional Two-year Extension 06017645- Water 2027-28 62300 Water Admin/Engineering, (16-6460) Contract Services - $10,000 Professional City Council 30 — 2 8/20/2024 Automated Metering August 20, 2024 Page 3 Infrastructure Implementation Support Services Fiscal Accounting Fund Accounting Unit, Year Unit Description Account Description Amount - Account # 06017645- Water 2028-29 62300 Water Admin/Engineering, (16-6460) Contract Services - $10,000 Professional TOTAL $450,000 EXHIBIT(S) 1. RFP No. 24-085 2. Agreement with E Source Companies, LLC Submitted By: Nabil Saba, P.E., Executive Director — Public Works Agency Approved By: Alvaro Nunez, City Manager City Council 30 — 3 8/20/2024 REQUEST FOR PROPOSALS (RFP) FOR AUTOMATED METERING INFRASTRUCTURE (AMI) IMPLEMENTATION SUPPORT SERVICES RFP NO.: 24-085 CITY OF SANTA ANA PUBLIC WORKS AGENCY 220 S. Daisy Avenue, Building A Santa Ana, CA 92703 Leif Lovegren Project Manager (714) 647-3327 Office LLovegren@santa-ana.org for Release: KEY RFP DATES (Sebiect to change at discretion of City): Issue Date: Deadline for Requests for Information Proposal Due Date: Projected Award Date (anticipated): kAG Tuesday, June 25, 2024 Friday, July 5, 2024; at 12:00 P.M. Thursday, July 11, 2024; at 2:00 P.M. Tuesday, August 20, 2024 Q.V Nabil Saba, PE Executive Director Public Works Agency City Council 30 — 4 8/20/2024 NOTICE INVITING PROPOSALS NOTICE IS HEREBY GIVEN that proposals will be received from qualified firms for Automated Metering Infrastructure (AMI) Implementation Support Services. Responses to this Request for Proposals (RFP) will be accepted until Friday, July 12, 2024, at 12:00 p.m. Responses to this Request for Proposals (RFP) must be submitted electronically to the PlanetBids system. It is the responsibility of the proposer to ensure that any proposals submitted have been uploaded to PlanetBids prior to this proposal due date and time. Proposals shall NOT be mailed or sent via telegraphic, electronic or facsimile means. All notifications, updates and addenda will be posted online on PlanetBids at https://www.planetbids.com/portal/portal.cfm?CompanylD=20137 and on the City's RFP Bid page at www.santa-ana.org/bids-rfps. Proposers shall be responsible for monitoring PlanetBids and the City's RFP Bid page to obtain information regarding this solicitation. Failure to respond to required updates may result in a determination of a nonresponsive proposal. LETTER OF INTENT: As a courtesy to the City, all interested firms are encouraged to submit a Letter of Intent of their pending proposal to the noted Project Manager by the required date as shown on the cover page of this RFP. Letters shall be sent via certified mail or email. A decision, by an interested firm, not to submit a Letter of Intent would not lead to the disqualification of the firm. City Council 30 — 5 8/20/2024 TABLE OF CONTENTS I. GENERAL..........................................................................................................................................................................4 A. NATURE OF WORK: .......................................................................................................................................... 4 B. SUBMITTAL OF PROPOSAL: ........................................................................................................................... 4 C. PROPOSAL EVALUATION AND RATING: ..................................................................................................... 4 D. PROJECT FUNDING: ......................................................................................................................................... 5 E. TERM OF CONTRACT AGREEMENT: ........................................................................................................... 5 II. PROPOSAL TERMS AND CONDITIONS.....................................................................................................................5 A. EXAMINATION....................................................................................................................................................5 B. EXECUTION OF AGREEMENT........................................................................................................................5 C. PROPOSAL VALIDITY.......................................................................................................................................5 D. PRE -CONTRACTUAL EXPENSES..................................................................................................................5 E. JOINT OFFERS/SUBCONTRACTORS...........................................................................................................5 F. DIR REGISTRATION..........................................................................................................................................6 G. PREVAILING WAGE..........................................................................................................................................6 H. PREVAILING WAGE COMPLIANCE AND MONITORING...........................................................................6 III. INSTRUCTIONS TO PROPOSERS...............................................................................................................................7 A. CITY RESPONSIBILITIES.................................................................................................................................7 B. PROPOSER RESPONSIBILITIES....................................................................................................................7 C. REQUEST FOR INFORMATION OR CLARIFICATION................................................................................7 D. ADDENDA............................................................................................................................................................7 E. LICENSES & PERMITS.....................................................................................................................................7 F. INSURANCE........................................................................................................................................................7 G. PAYMENT INFORMATION PACKET..............................................................................................................8 H. CITY RIGHT TO REJECT..................................................................................................................................8 I. PROTESTS.......................................................................................................................................................... 8 IV. SUBMITTAL REQUIREMENTS......................................................................................................................................8 A. GENERAL.............................................................................................................................................................8 1. NUMBER OF COPIES AND SIGNATURE........................................................................................8 2. DEADLINE.............................................................................................................................................8 B. PROPOSAL CONTENTS...................................................................................................................................9 1. STATEMENT OF QUALIFICATIONS................................................................................................9 2. FEE SCHEDULE.................................................................................................................................10 4. CERTIFICATIONS..............................................................................................................................10 V. PROPOSAL REVIEW (CONTRACTOR SELECTION).............................................................................................10 A. EVALUATION AND RATING........................................................................................................................... 10 B. SELECTION.......................................................................................................................................................10 VI. AWARD OF AGREEMENT............................................................................................................................................10 A. REQUEST FOR COUNCIL ACTION.............................................................................................................. 10 B. EXECUTION OF AGREEMENT......................................................................................................................10 VII. IMPLEMENTATION........................................................................................................................................................11 A. NOTICE TO PROCEED...................................................................................................................................11 VIII. PUBLIC RECORDS........................................................................................................................................................11 APPENDIX ATTACHMENT 1: SCOPE OF WORK ATTACHMENT 2: FEE SCHEDULE ATTACHMENT 3: REFERENCES ATTACHMENT 4: STANDARD AGREEMENT (SAMPLE) ATTACHMENT 5: CERTIFICATIONS City Council 30 — 6 8/20/2024 I. GENERAL The City of Santa Ana ("Santa Ana" or "City") is the county seat and second most populous city in Orange County, California, with over 343,000 residents. It is the 64th most -populous city in the United States. Santa Ana is located in Southern California, adjacent to the Santa Ana River, about 10 miles away from the California coast. Founded in 1869, the City is part of the Greater Los Angeles Area, the second largest metropolitan area in the United States with more than 20 million residents in 2023. A. NATURE OF WORK: The City of Santa Ana is seeking qualified firms to provide implementation support services for the City's Automated Metering Infrastructure (AMI) project, including, but not limited to, project management, software integration, data management, and performance analysis. The City of Santa Ana is seeking proposals from qualified firms with experience in performing these tasks for municipal utilities. The City intends to enter into agreements with a single firm to provide the described services. A detailed Scope of Work is included in ATTACHMENT 1: SCOPE OF WORK in the Appendix of this RFP. B. SUBMITTAL OF PROPOSAL: Responses to this Request for Proposals (RFP) must be submitted electronically to the PlanetBids system. It is the responsibility of the proposer to ensure that any proposals submitted have been uploaded to PlanetBids prior to this proposal due date and time. The Fee Proposal shall be submitted separately and electronically to the PlanetBids system prior to this proposal due date and time. C. PROPOSAL EVALUATION AND RATING: The criteria for evaluating the proposals submitted will take the following items into consideration: • Firm/Team Experience 25% • Understanding Scope of Services 30% • Relevant Project Experience 25% • Fee 10% • References 10% The City has established a proposal review committee to evaluate proposers based on the response to the RFP, which includes adherence to outlined directions and format, and the City evaluation criteria set forth above. A final score will be calculated for each submitted proposal and used to rank the proposers. City Council 30 — 7 8/20/2024 D. PROJECT FUNDING: Project is funded with Water Enterprise funds. E. TERM OF CONTRACT AGREEMENT: This term is outlined in the Standard Consultant Agreement, as contained in ATTACHMENT 2: STANDARD AGREEMENT in the Appendix of this RFP. II. PROPOSAL TERMS AND CONDITIONS By submitting a Proposal, the Proposer acknowledges that it has thoroughly examined and accepts the Terms and Conditions of this RFP as described below: A. EXAMINATION Proposer represents that it has thoroughly examined and become familiar with the services and responsibilities required in this RFP and that it is capable of effectively and efficiently performing quality work to achieve the City's objectives. Any attachments referenced herein or any interpretations, clarifications or amendments subsequently posted in the relation to this RFP are fully incorporated. B. EXECUTION OF AGREEMENT The City and the selected Proposer will enter into an Agreement similar to that as shown in ATTACHMENT 2: STANDARD AGREEMENT in the Appendix of this RFP. If a Proposer is unwilling or unable to execute an Agreement within thirty (30) days after being notified of selection under this RFP, the City reserves the right to select the next most qualified Proposer or call for new Proposals, whichever the City deems most appropriate. C. PROPOSAL VALIDITY Services, pricing and warranties indicated in a respondent's Proposal must be valid for a period of 120 days after the submission of the Proposal. D. PRE -CONTRACTUAL EXPENSES Santa Ana shall not, in any event, be liable for any pre -contractual expenses incurred by Proposers in the preparation of its proposal. E. JOINT OFFERS/SUBCONTRACTORS Where two or more Proposers desire to submit a single Proposal in response to this RFP, they should do so on a prime sub -Contractor basis. The City intends to contract with a single firm and not with multiple firms doing business as a joint venture. Should the use of sub -Contractors be offered, the Proposer shall provide the same assurances of competence for the sub -Contractor plus the demonstrated ability to manage and supervise the subcontracted work. Sub -Contractors shall not be allowed to further subcontract with others for work under the Agreement. The provisions of the Agreement shall apply to all sub -Contractors in the same manner as the Proposer. City Council 30 — 8 8/20/2024 F. SAFETY PROGRAM REQUIREMENTS Work Site Safety shall be as defined by the Standard Specifications and these special provisions: The Proposer shall be solely responsible for ensuring that all work performed under the contract is performed in strict compliance with all applicable Federal, State and local occupational safety regulations. The Consultant/Contractor shall provide at its expense all safeguards, safety devices and protective equipment, and shall take any and all actions appropriate to providing a safe Project site. The following is required in addition to the requirements of the Standard Specification: a. The Proposer shall train all employees, or subcontractor personnel in the work practices necessary to safely perform his or her job. b. The Proposer shall identify all kno\n performed and train all employees and the potential hazards. i potential hazards related to the work subcontractor personnel on how to handle c. The Proposer, their employees and subcontractors shall follow all safety rules and safe work practices. d. The Proposer will immediately notify the City of any significant and/or unusual hazards found during the course of work. e. The Proposer shall submit copies of Safety Data Sheets (SDS) for all hazardous materials to be utilized on site in the performance of work. The Proposer is solely responsible for the legal disposal of hazardous waste generated in the performance of their work. Safety Indemnification: To the extent allowed by law, the Proposer agrees to defend, indemnify and hold harmless the City, its officers, employees and agents from and against any and all investigations, complaints, citations, liability, expense (including defense costs and legal fees), claims and/or causes of action for damages of any nature whatsoever, including but not limited to injury or death to employees of the Proposer, its subcontractors or City, attributable to any alleged act or omission of the Proposer or its subcontractors which is in violation of any Cal OSHA regulation. The obligation to defend, indemnify and hold harmless includes all investigations and proceedings associated with purported violations of Section 336.10 of Title 8 of the California Code of Regulations pertaining to multi -employer work sites. The City may deduct from any payment otherwise due the Proposer any costs incurred or anticipated to be incurred by the Agency, including legal fees and staff costs, associated with any investigation or enforcement proceedings brought by Cal OSHA arising out of the assigned work. City Council 30 — 9 8/20/2024 III. INSTRUCTIONS TO PROPOSERS A. CITY RESPONSIBILITIES The City will provide information in its possession relevant to preparation of required information in RFP. The City will provide only the staff assistance and documentation specifically referred to herein. B. PROPOSER RESPONSIBILITIES Point of Contact: The selected proposer will assume responsibility for all services in its proposal. The selected proposer shall identify a sole point of contact with the greatest knowledge in regard to the required service operations and contractual matters, including payment of any and all charges resulting from the Agreement. Evidence of Financial Capacity: Proposer may be requested to submit its most recent audited financial statement, evidencing proposer's financial capacity to fully perform the required services, including provision of equipment and personnel expenses over a ninety (90) day period. If said financial statement does not reflect full ninety (90) day operational capacity, proposer may include a letter of credit as evidence of supplemental capacity. C. REQUEST FOR INFORMATION OR CLARIFICATION All questions or requested clarifications shall be made in writing via PlanetBids portal by or before the "Deadline for Requests for Information" date noted on the cover page of this RFP. No verbal requests or responses will be accepted. Significant interpretations or clarifications will be addressed via addenda to this RFP, as indicated below in SUB- SECTION D "ADDENDA". D. ADDENDA Any changes in RFP from the date of release to date of submittal will result in an addendum or amendment. Notification of such addendum or amendment shall be posted on Plan etBids https://vendors.planetbids.com/portal/20137/portal-home. E. LICENSES & PERMITS The selected Proposer shall be required to obtain a City of Santa Ana Business license within ten (10) business days of selection and must provide a copy to the City Project Manager or designee prior to commencing any work in Santa Ana. Additionally, Proposer will be responsible for obtaining any licenses/permits required by the Scope of Work. F. INSURANCE The selected Proposer shall provide the required evidence of insurance coverage as set forth in the standard agreement within ten (10) business days after receipt of notice of award. City Council 30 — 10 8/20/2024 G. PAYMENT INFORMATION PACKET The selected Proposer shall return a completed payment information packet within ten (10) business days after the successful Proposer has received notice that the agreement has been awarded. The packet is available on the City's website: www.santa-ana.org/bids- rfps- H. CITY RIGHT TO REJECT The City reserves the right to reject any or all proposals submitted and no representation is made hereby that any agreement will be awarded pursuant to this RFP or otherwise. The City reserves the right to accept or reject the combined or separate components of this proposal in part or in its entirety or to waive any minor inconsistency, informality or technical defect in the proposal. The City reserves the right to reject, replace and approve any and all subcontractors. All subcontractor(s) shall be identified in the response to the RFP. Subcontractors shall be the responsibility of the successful Proposer and the City shall assume no liability of such subcontractors. I. PROTESTS Proposers with concerns or rebuttal of any staff determination of non -responsiveness or non -responsibility may submit, in writing within five (5) business days, to the Project Manager, any concerns regarding the RFP process or staff determination. Such writing shall be considered by the City Manager or his designated representative, and may be acted upon within five (5) business days. If no action is taken within such time, there shall be no change to the staff determination. The exercise by Proposer of its right to submit written concerns shall be a condition precedent to seeking judicial review of any award of a contract hereunder. IV. SUBMITTAL REQUIREMENTS A. GENERAL NUMBER OF COPIES AND SIGNATURE Refer to SECTION I "GENERAL" above. 2. DEADLINE Proposals are due, to the City of Santa Ana (via PlanetBids submittal), at the date and time set forth above in the Notice Inviting Proposals. City Council 30 —11 8/20/2024 B. PROPOSAL CONTENTS A responsive proposal shall contain the following documentation: 1. STATEMENT OF QUALIFICATIONS The Statement of Qualifications shall be limited to a MAXIMUM of (10) DOUBLE - SIDED PAGES (excluding front and back covers, section dividers and attachments such as resumes, forms). Font size shall be minimum 11-point Arial. Proposal exhibits shall be maximum 11" x 17". The Statement of Qualifications includes the following: a. Cover Letter Proposals shall include a letter signed by a principal or authorized representative who can make legally binding commitments for the entity. Include type of business entity. b. Agreement Statement Proposal shall include a statement outlining your concurrence or concerns with any and all provisions as contained in the standard agreement attached as ATTACHMENT 2: STANDARD AGREEMENT in the Appendix of this RFP. c. Firm and Team Experience Proposal shall include a profile of the firm's experience. At a minimum, this should include the project manager/principal agent, associates in charge when project manager/principal agent is unavailable, key personnel, firm size, and a description of the organization. The project manager/principal agent shall be the primary contact person to represent your firm. d. Understanding Scope of Services Proposal shall include an outline, which demonstrates the firm's understanding of the scope of services and relevant experience performing relative tasks. This outline should include anticipated approach, tasks necessary for successful completion, and suggestions or special concerns that the City should be made aware of. e. Relevant Project Experience Proposal shall include a list of relevant projects which your firm or personnel have completed within the last five (5) years, including significant work with public agencies. Project information should include project description, year completed, client name, along with a person to contact and their telephone number. f. References The Proposer shall include references for three public entities for which Proposer has performed similar work within the past five (5) years. City Council 30 — 12 8/20/2024 2. FEE SCHEDULE Proposer's fee schedule shall be submitted concurrently with the technical proposal, but in a separate submission to the PlanetBids system. This shall include the firm's Standard Hourly Fee Schedule as stated in the Appendix: Attachment 2: Fee Schedule. Where fees are NOT included as part of evaluation criteria, the fee proposal will not be opened until the proposals have been evaluated by the proposal selection committee. The City will select the Consultant based on qualifications, and then negotiate a contract price based on available funding. Where fees ARE included as part of the evaluation criteria, the fee proposal will be opened and reviewed concurrently with the proposal, and weighted per the percentage identified in SECTION I "GENERAL" above. 3. CERTIFICATIONS The following forms, included in ATTACHMENT 5: CERTIFICATIONS in the Appendix of this RFP, shall be signed and included as part of the proposal submittal package: • Non -Collusion Affidavit • Non -Lobbying Certification • Non -Discrimination Certification V. PROPOSAL REVIEW (CONTRACTOR SELECTION) A. EVALUATION AND RATING Refer to SECTION I "GENERAL" above. B. SELECTION The committee may interview the top-ranking proposers. The City will recommend award of the agreement to the proposers who will provide the best quality and value to the City. City reserves the right to begin negotiations and enter into an agreement without interview or further discussions. VI. AWARD OF AGREEMENT A. REQUEST FOR COUNCIL ACTION Following evaluation and rating by the proposal review committee, the Executive Director will recommend award of an agreement to the proposer providing the best quality and value to the City. B. EXECUTION OF AGREEMENT A sample standard agreement is included as ATTACHMENT 2: STANDARD AGREEMENT in the Appendix of this RFP. "Proposer" will hereinafter be referred to as City Council 30 — 13 8/20/2024 "Consultant" in standard agreement. The term of the agreement will begin after the agreement is fully executed, and all required bonds, insurance documents and contents of the payment information packet have been received and approved. VII. IMPLEMENTATION A. KICK-OFF MEETING A kick-off meeting will be held after award of contract. Consultant and its team will meet with City of Santa Ana staff to conduct introductions, discuss scope of services, and implementation process. B. NOTICE TO PROCEED Following the kick-off meeting, a formal Notice to Proceed (NTP) may be issued after the agreement is fully executed, and all insurance documents and contents of the Payment Information Packet have been received and approved. VIII. PUBLIC RECORDS All responses to the RFP shall become property of the City, and proposals will become public record after award of agreement. Proposer information identified as proprietary information shall be maintained confidential, to the extent allowed under the California Public Records Act. City Council 30 — 14 8/20/2024 Appendix ATTACHMENT 1: SCOPE OF WORK City of Santa Ana - RFP 24-085 AMI Implementation Support Services City Council Page 12 of3# - 15 8/20/2024 SCOPE OF WORK INTRODUCTION AND BACKGROUND The City of Santa Ana is located in the County of Orange in Southern California. The City encompasses 27.2 square miles and a population over 343,000 people. The City of Santa Ana Public Works Agency — Water Resources Division oversees and maintains the daily operations of the Water System and Sanitary Sewer System. The City of Santa Ana's water system has an average day demand of about 43 MG with approximately 45,500 metered service connections. The City is currently in the process of implementing Automated Metering Infrastructure (AMI) for all of its metered water service connections. Communications equipment has been installed and the installation of meters is ongoing. However, the City of Santa Ana Public Works Agency desires to engage professional firms to provide additional support for the project in the areas of project management, systems integration and data analysis, and quality assurance field inspection services. The primary emphasis will be assisting City staff with testing data and system functionality to validate that the delivered systems can support the City's daily business and user requirements. Specifications for the project can be found in the agreement with the project's prime contractor here: https://publicdocs.santa- ana.org/WebLink/DocView.aspx?id=125140&searchid=ac4e8f00-1 d6c-476a-ba09- cde533ca092c&dbid=1. Existing knowledge of the Sensus Regional Network Interface (RNI), enQuesta Customer Interface System (CIS), and SmartWorks Compass Meter Data Management (MDM) system is required. CONTRACTOR RESPONSIBILITIES The Consultant shall provide all labor, materials, services, and equipment necessary for the completion of the work entailed herein. All work shall be in accordance with applicable trade practices, workmanship, meet warranties and shall conform to all applicable laws, codes and regulations. Business hours are considered from 7:00 A.M. to 5:00 P.M. (Monday through Friday). Any time outside of business hours of operation may be considered after hours/weekends. All work will be scheduled upon confirmation of scope and cost and completed within the time agreed upon for each specific item of work. The Consultant may not begin work before receiving a written Notice to Proceed by the City's Project Manager. All services, equipment and materials provided by the Consultant must be in accordance with all applicable Federal, State and local regulations, laws, and codes. DESCRIPTION OF WORK The consultant will be expected to develop a work plan in order to provide support in the following areas: 1. Project Management. City of Santa Ana - RFP 24-085 AMI Implementation Support Services City Council Page 13 ofJq— 16 8/20/2024 a. Support City staff in managing overall scope of work by prime contractor and subcontractors to ensure that all project tasks are executed, and provide advice and recommendations on how to address project -specific issues that may arise; b. Conduct weekly status meetings with City staff and contractors/vendors for overall project and/or systems integration performance and progress. 2. System Testing. a. Coordinate with vendors to ensure configuration of systems are delivered and working to specifications; 3. Reporting. a. Review daily reports to ensure communication systems are responsive; b. Investigate and/or recommend actions for City or contractor to take to make corrections. 4. Validation of Reads. a. Review and analyze daily reporting data to ensure validity of reads received. 5. Quality Assurance and Field Inspection Services. a. Perform in -field installation quality audits of meter installations, including checking for post -installation leaks; b. Perform data quality audits using installation contractor's work order management software to verify meters are installed correctly. CITY RESPONSIBILITIES The City will provide access to the information in its possession and systems/software platforms relevant to the preparation of the required information in the RFP. Selected consultant is expected to perform a substantial review of the project's schedule and milestones to -date, and be familiar with all software platforms and data sources being utilized. SUBCONTRACTORS The use of Subcontractors is allowed, but will require approval by City prior to start of any assigned work. When a Subcontractor performs all or any part of the work, a markup shall be applied to the Subcontractor's actual cost of such work. The Contractor may add a markup of 10 percent on the first $5,000 of the subcontracted portion of the extra work and a markup of 5 percent on work added in excess of $5,000 of the subcontracted portion of the work may be added by the Contractor. ---End of SCOPE OF WORK Section.— City of Santa Ana - RFP 24-085 AMI Implementation Support Services City Council Page 14 of3# — 17 8/20/2024 Appendix ATTACHMENT 2: FEE SCHEDULE Certification - I certify that I have read, understand and agree to the terms and conditions of this Request for Proposals. I have examined the Scope of Services (Appendix: Attachment 1) and am familiar with the scope of work. I am familiar with all the existing conditions and limitation that may impact work requests. I understand and agree that I am responsible for reporting any errors, omissions or discrepancies to the City for clarification prior to the submission of my proposal. Proposer shall submit hourly rates schedule, which shall include but not limited to, direct and indirect costs for labor, for staff per job classification, material, equipment rates, overhead, incidental supplies, travel, mileage, and fuel. Any special materials will be purchased by the contractor only after discussed and authorized by the City projects manager or designee in writing. Prior to commencement of services, Consultant shall provide separate quotes, upon request by the City, which shall be approved by the City's Public Works Agency. Note: This contract is subject to prevailing wages. COMPLETE LEGAL NAME OF COMPANY TAXPAYER I.D. NO. BUSINESS ADDRESS STREET CITY/STATE ZIP CODE X SIGNATURE OF AUTHORIZED AGENT NAME (PRINT) TITLE EMAIL ADDRESS PHONE NUMBER CSLB NUMBER City of Santa Ana - RFP 24-085 AMI Implementation Support Services Page 15 of 32 DIR REGISTRATION NUMBER City Council 30 — 18 8/20/2024 Appendix ATTACHMENT 3: REFERENCES List and describe fully the contracts performed by your firm which demonstrate your ability to provide the supplies, equipment or services included in the scope of the proposal specifications. Attach additional pages if required. The City reserves the right to contact each of the references listed for additional information regarding your firm's qualifications. Reference Customer Name: Address: Contract Amount: Contact Individual: Phone Number: Facsimile Number: Year: Description of supplies, equipment, or services provided: Reference Customer Name: Address: Contract Amount: Contact Individual: Phone Number: Facsimile Number: Year: Description of supplies, equipment, or services provided: Reference Customer Name: Contact Individual: Address: Contract Amount: Phone Number: Facsimile Number: Year: Description of supplies, equipment, or services provided: THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. City of Santa Ana - RFP 24-085 AMI Implementation Support Services Page 16 of 32 City Council 30 — 19 8/20/2024 Appendix ATTACHMENT 4: STANDARD AGREEMENT (SAMPLE) City of Santa Ana - RFP 24-085 AMI Implementation Support Services Page 17 of 32 City Council 30 — 20 8/20/2024 CONSULTANT AGREEMENT (SAMPLE) CITY OF SANTA ANA THIS AGREEMENT is made and entered into this day of , 2024 by and between , ("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 City desires to retain a Consultant having special skill and knowledge in the field of professional planning and implementation services for Automated Metering Infrastructure. B. Consultant represents that Consultant is able and willing to provide such services to the City. C. In undertaking the performance of this Agreement, Consultant represents that it is knowledgeable in its field and that any services performed by Consultant 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 a. Consultant 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 Scope of Services - Exhibit A, attached hereto and incorporated by reference. 2. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services for City, the rates and charges identified in Compensation - Exhibit B. The total amount to be expended under this Agreement shall not exceed $XXX,XXX, during the term of this Agreement, including any extension periods exercised under Section 3. b. Payment by City shall be made within 45 days (forty-five) days following receipt of proper invoice evidencing work performed, subject to City accounting procedures. Payment need not be made for work which fails to meet the standards of performance set forth in the Recitals which may reasonably be City of Santa Ana - RFP 24-085 AMI Implementation Support Services Page 18 of 32 City Council 30 — 21 8/20/2024 expected by City. 3. TERM This Agreement shall commence on the date first written above for a three-year term with the option for the City to grant a single two-year renewal, exercisable by a writing by the City Manager and City Attorney, unless terminated earlier in accordance with Section 16, below. 4. PREVAILING WAGES Consultant 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, Consultant agrees to fully comply with such Prevailing Wage Laws. Consultant 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 Consultant 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 Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant 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 Consultant under City of Santa Ana - RFP 24-085 AMI Implementation Support Services Page 19 of 32 City Council 30 — 22 8/20/2024 this Agreement ("Documents & Data"). Consultant shall require all subcontractors to agree in writing that City is granted a non-exclusive and perpetual license for any Documents & Data the subcontractor prepares under this Agreement. Consultant represents and warrants that Consultant has the legal right to license any and all Documents & Data. Consultant makes no such representation and warranty in regard to Documents & Data which were provided to Consultant 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 Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Consultant shall maintain commercial general liability insurance naming the City, its officers, employees, agents, volunteers and representatives as additional insured(s) and shall include, but not be limited to protection against claims arising from bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of Consultant's operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $1,000,000 per occurrence, with $2,000,000 in the aggregate. Such insurance shall (a) name the City, its officers, employees, agents, and representatives as additional insured(s); (b) be primary and not contributory with respect to insurance or self-insurance programs maintained by the City; and (c) contain standard separation of insureds provisions. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. C. Worker's Compensation Insurance. In accordance with the provisions of Section 3700 of the Labor Code, Consultant, if Consultant has any employees, is required to be insured against liability for worker's compensation or to undertake self-insurance. Prior to commencing the performance of the work under this Agreement, Consultant agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. d. If Consultant is or employs a licensed professional such as an architect or engineer: Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim with $2,000,000 in the aggregate. City of Santa Ana - RFP 24-085 AMI Implementation Support Services Page 20 of 32 City Council 30 — 23 8/20/2024 e. The following requirements apply to the insurance to be provided by Consultant pursuant to this section: i. Consultant shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. ii. Certificates of insurance shall be furnished to the City upon execution of this Agreement and shall be approved by the City. iii. Certificates and policies shall state that the policies shall not be canceled or reduced in coverage or changed in any other material aspect without thirty (30) days prior written notice to the City. iv. Consultant shall supply City with a fully executed additional insured endorsement. If Consultant fails or refuses to produce or maintain the insurance required by this section or fails or refuses to furnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Such termination shall not affect Consultant's right to be paid for its time and materials expended prior to notification of termination. Consultant waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. 8. INDEMNIFICATION Consultant 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 Consultant, 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 Consultant 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 Consultant'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 Consultant. City of Santa Ana - RFP 24-085 AMI Implementation Support Services Page 21 of 32 City Council 30 — 24 8/20/2024 9. INTELLECTUAL PROPERTY INDEMNIFICATION Consultant 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 Consultant to the City pursuant to this Agreement. 10. RECORDS Consultant shall keep records and invoices in connection with the work to be performed under this Agreement. Consultant 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 Consultant under this Agreement. All such records and invoices shall be clearly identifiable. Consultant 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. Consultant 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 Consultant under this Agreement. 11. CONFIDENTIALITY If Consultant receives from the City information which due to the nature of such information is reasonably understood to be confidential and/or proprietary, Consultant 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 Consultant disclosed in a publicly available source; (c) is in rightful possession of the Consultant without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Consultant without reference to information disclosed by the City. 12. CONFLICT OF INTEREST CLAUSE Consultant 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 City of Santa Ana - RFP 24-085 AMI Implementation Support Services Page 22 of 32 City Council 30 — 25 8/20/2024 specified under this Agreement. 13. DISCRIMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 14. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Consultant, 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 Consultant. 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 Consultant 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 Consultant, Consultant 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 consultants retained by City. 16. TERMINATION This Agreement may be terminated by the City upon thirty (30) days written notice of termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant compensation for all services performed by Consultant 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 Consultant 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 City of Santa Ana - RFP 24-085 AMI Implementation Support Services Page 23 of 32 City Council 30 — 26 8/20/2024 unless prohibited by law, and Consultant 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. i1IV/ =11:7 No waiver of breach, failure of any condition, or any right or remedy contained in or granted by the provisions of this Agreement shall be effective unless it is in writing and signed by the party waiving the breach, failure, right or remedy. No waiver of any breach, failure or right, or remedy shall be deemed a waiver of any other breach, failure, right or remedy, whether or not similar, nor shall any waiver constitute a continuing waiver unless the writing so specifies. 18. JURISDICTION -VENUE This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement. 19. PROFESSIONAL LICENSES Consultant 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. Consultant 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. 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. 21. NOTICE City of Santa Ana - RFP 24-085 AMI Implementation Support Services Page 24 of 32 City Council 30 — 27 8/20/2024 Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by fax or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M-30) P.O. Box 1988 Santa Ana, CA 92702-1988 Fax: 714- 647-6956 With courtesy copies to: Nabil Saba, P.E. Executive Director, Public Works Agency City of Santa Ana 20 Civic Center Plaza (M-21) P.O. Box 1988 Santa Ana, California 92702 Fax: 714- 647-5635 To Consultant: First & Last Name Title Consultant Firm Name Address City, State, Zip Fax: Sonia R. Carvalho City Attorney City of Santa Ana 20 Civic Center Plaza (M-29) P.O. Box 1988 Santa Ana, California 92702 Fax: 714- 647-6515 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. City of Santa Ana - RFP 24-085 AMI Implementation Support Services Page 25 of 32 City Council 30 — 28 8/20/2024 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: Jennifer L. Hall City Clerk APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney Bv: City Attorney Name City Attorney (title) RECOMMENDED FOR APPROVAL: Nabil Saba, PE Executive Director Public Works Agency CITY OF SANTA ANA Alvaro Nunez Acting City Manager CONSULTANT: Name: Title: Tax I D# City of Santa Ana - RFP 24-085 AMI Implementation Support Services Page 26 of 32 City Council 30 — 29 8/20/2024 APPENDIX ATTACHMENT 5: CERTIFICATIONS City of Santa Ana - RFP 24-085 AKAI Imnlamantatinn Siinnnrt Sarvirac City Council Page 27 of317— 30 8/20/2024 NON -COLLUSION AFFIDAVIT (Title 23 United States Code Section 112 and Public Contract Code Section 7106) In conformance with Title 23 United States Code Section 112 and Public Contract Code 7106 the BIDDER declares that the bid is not made in the interest of, or on behalf of, any undisclosed person, partnership, company, association, organization, or corporation; that the bid is genuine and not collusive or sham; that the BIDDER has not directly or indirectly induced or solicited any other BIDDER to put in a false or sham bid, and has not directly or indirectly colluded, conspired, connived, or agreed with any BIDDER or anyone else to put in a sham bid, or that anyone shall refrain from bidding; that the BIDDER has not in any manner, directly or indirectly, sought by agreement, communication, or conference with anyone to fix the bid price of the BIDDER or any other BIDDER, or to fix any overhead, profit, or cost element of the bid price, or of that of any other BIDDER, or to secure any advantage against the public body awarding the contract of anyone interested in the proposed contract; that all statements contained in the bid are true; and, further, that the BIDDER has not, directly or indirectly, submitted his or her bid price or any breakdown thereof, or the contents thereof, or divulged information or data relative thereto, or paid, and will not pay, any fee to any corporation, partnership, company association, organization, bid depository, or to any member or agent thereof to effectuate a collusive or sham bid. Note: The above Non -collusion Affidavit is part of the Proposal. BIDDERS are cautioned that making a false certification may subject the certifier to criminal prosecution. Signed State of California County of Subscribed and sworn to (or affirmed) before me on this day of , 20_, by , proved to me on the basis of satisfactory evidence to be the person(s) who appeared before me Notary Public Signature Notary Public Seal rmtg of Santa Ana - RFP 94-Q,95 City Council AMI Implementation &80a t�rvices 8/20/2024 Page 27 of 32 CITY OF SANTA ANA RFP NO.: 24-085 AMI IMPLEMENTATION SUPPORT SERVICES NON -LOBBYING CERTIFICATION The prospective participant certifies, by signing and submitting this bid or proposal, to the best of his or her knowledge and belief, that: (1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any Federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. (2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any Federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure of Lobbying Activities," in conformance with its instructions. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by Section 1352, Title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. The prospective participant also agrees by submitting his or her bid or proposal that he or she shall require that the language of this certification be included in all lower tier subcontracts, which exceed $100,000 and that all such subrecipients shall certify and disclose accordingly. Signed: Title: Firm: Date: City of Santa Ana - RFP 24-085 AKAI Imnlamantatinn Siinnnrt Sarviras City Council Page 1 of 30 — 32 8/20/2024 CITY OF SANTA ANA RFP NO.: 24-085 AMI IMPLEMENTATION SUPPORT SERVICES NON-DISCRIMINATION CERTIFICATION The undersigned Consultant or corporate officer, during the performance of this contract, certifies as follows: The Consultant shall not discriminate against any employee or applicant for employment because of race, color, religion, sex, or national origin. The Consultant shall take affirmative action to ensure that applicants are employed, and that employees are treated during employment without, regard to their race, color, religion, sex, or national origin. Such action shall include, but not be limited to, the following: employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. The Consultant agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided setting forth the provisions of this nondiscrimination clause. 2. The Consultant shall, in all solicitations or advertisements for employees placed by or on behalf of the Consultant, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, or national origin. 3. The Consultant shall send to each labor union or representative of workers with which he/she has a collective bargaining agreement or other contract or understanding, a notice to be provided advising the said labor union or workers' representatives of the Consultant's commitments under this section, and shall post copies of the notice in conspicuous places available to employees and applicants for employment. 4. The Consultant shall comply with all provisions of Executive Order 11246 of September 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor. 5. The Consultant shall furnish all information and reports required by Executive Order 11246 of September 24, 1965, and by rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his/her books, records, and accounts by the administering agency and the Secretary of Labor for purposes of investigation, to ascertain compliance with such rules, regulations, and orders. 6. In the event of the Consultant's non-compliance with the nondiscrimination clauses of this contract or with any of the said rules, regulations, or orders, the contract may be canceled, terminated, or suspended in whole or in part and the Consultant may be declared ineligible for further Government contracts or federally assisted construction contracts in accordance with procedures authorized in Execution Order 11246 of September 24, 1965, and such other sanctions may be imposed and remedies invoked as provided in Executive Order 11246 of September 24, 1965, or by rule, regulations, or order of the Secretary of Labor, or as otherwise provided by law. City of Santa Ana - RFP 24-085 AKAI Imnlamantatinn Siinnnrt Sarviras City Council Page 29 OW— 33 8/20/2024 CITY OF SANTA ANA RFP NO.: 24-085 AMI IMPLEMENTATION SUPPORT SERVICES 7. The Consultant shall include the portion of the sentence immediately preceding paragraph (1) and the provisions of paragraphs (1) through (7) in every subcontract or purchase order unless exempted by rules, regulations, or orders of the Secretary of Labor issued pursuant to Section 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontract or purchase order as the administering agency may direct as means of enforcing such provisions, including sanctions for noncompliance; provided, however, that in the event the Consultant becomes involved in, or is threatened with, litigation with a Subcontractor or Consultant as a result of such direction by the administering agency, the Consultant may request that the United States enter into such litigation to protect the interests of the United States. 8. Pursuant to California Labor Code Section 1735, as added by Chapter 643 Stats. 1939, and as amended, no discrimination shall be made in the employment of persons upon public works because of race, religious creed, color, national origin, ancestry, physical handicaps, mental condition, marital status, or sex of such persons, except as provided in Section 1420, and any Contractor of public works violating this Section is subject to all the penalties imposed for a violation of the Chapter. Signed: Title: Firm: Date: City of Santa Ana - RFP 24-085 AKAI Imnlamantatinn Siinnnrt Sarviras City Council Page 30 oW— 34 8/20/2024 CITY OF SANTA ANA RFP NO.: 24-085 AMI IMPLEMENTATION SUPPORT SERVICES ---End of RFP NO 24-085 City of Santa Ana - RFP 24-085 AKAI Imnlamantatinn Siinnnrt Sarviras, City Council Page 31 OW— 35 8/20/2024 Docusign Envelope ID: 8DB22FEB-26C9-4AA8-92E8-033D22A87DE7 EXHIBIT 2 AGREEMENT -WITH E SOURCE COMPANIES, LLC TO PROVIDE AMI IMPLEMENTATION SUPPORT SERVICES FOR THE CITY OF SANTA ANA THIS AGREEMENT is made and entered into on this 20th day of August, 2024 by and between E Source Companies, LLC ("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. On June 25, 2024, the City issued Request for Proposals No. 24-085 ("RFP"), by which it sought a Consultant to provide Automated Metering Infrastructure (AMI) Implementation Support Services for the Public Works Agency Water Resources Division, including but not limited to project management, software integration, data management, and performance analysis. B. Consultant submitted a responsive proposal that was selected by the City. Consultant represents that it is able and willing to provide the services described in the scope of work that was included in the RFP. C. In undertaking the performance of this Agreement, Consultant represents that it is knowledgeable in its field and that any services performed by Consultant 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 Consultant shall perform the services described in the scope of work that was included in the RFP, and as more specifically delineated in Consultant's proposal, which are collectively attached as Exhibit A — Scope of Work and incorporated herein by reference. 2. COMPENSATION a. City neither warrants nor guarantees any minimum or maximum compensation to Consultant under this Agreement. Consultant shall be paid only for actual services performed under this Agreement at the rates and charges identified in Exhibit B Compensation. The total amount to be expended during the term of this Agreement under the RFP shall not exceed Four Hundred Fifty Thousand Dollars and Zero Cents ($450,000), including any extension periods exercised under Section 3. 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 Consultant agree that all payments due and owing under this Agreement shall be made City Council 30 — 36 IN/ DooUsign Envelope ID: 8DB22FEB-26C9-4AA8-92E8-033D22A87DE7 through Automated Clearing House (ACH) transfers. Consultant agrees to execute the 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 Consultant's accounts) 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 20th day of August, 2024 and terminate on December 31, 2027, with the option for the City to grant up to one 2-year extension (through December 31, 2029) exercisable by a writing by the City Manager and City Attorney, unless terminated earlier in accordance with Section 15, below. 4. INDEPENDENT CONTRACTOR Consultant shall, during the entire term of this Agreement, be construed to be an independent Consultant 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 Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant 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. 5. 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 Consultant under this Agreement ("Documents & Data"). Consultant shall require all subcontractors to agree in writing that City is granted a non-exclusive and Perpetual license for any Documents & Data the subcontractor prepares under this Agreement. Consultant represents and warrants that Consultant has the legal right to license any and all Documents & Data, Consultant makes no such representation and warranty in regard to Documents & Data which were provided to Consultant 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. 6. INSURANCE Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require any subcontractors to obtain and maintain insurance as described City Council 30 — 37 / R Docusign Envelope ID: 8DB22FEB-26C9-4AA8-92E8-033D22A87DE7 below for the entire Term of this Agreement against claims for injuries to persons or damage to property which may arise from or in connection with services, products and materials supplied to the City. Total cost of insurance shall be borne by Consultant. MINIMUM SCOPE AND LIMIT OF INSURANCE Coverage shall be at least as broad as: 1. Commercial General Liability (CGL): Insurance Services Office (ISO) 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 and $2,000,000 in the aggregate. Required policy limits can be met with primary and umbrella/excess insurance policies. 2. Automobile Liability: Insurance Services Office Form CA 00 01 covering Code 1 (any auto), with limits no less than $1,000,000 combined single limits. In the event Consultant does not maintain commercial automobile liability insurance, City will accept evidence of personal automobile insurance. 3. Workers' Compensation: insurance as required by the State of California, with statutory limits, and Employers' Liability insurance with a Iimit of no less than$1,000,000 per accident, policy or employee for bodily injury or disease. Coverage is not required if Consultant has no employees and signs request to waive such insurance. 4. Professional Liability Insurance: with limits no less than $1,000,000 per occurrence or claim, and $2,000,000 aggregate. If Consultant maintains broader coverage and/or higher limits than the minimum requirements for each line of coverage shown above, City requires and shall be entitled to the broader coverage and/or the higher limits maintained by Consultant. Any available insurance proceeds in excess of the specified minimum limits of insurance and coverage shall be made available to the City. Other Insurance Provisions The above required insurance policies are to contain, or be endorsed to contain, the following provisions: 1. City, its City Council, officers, officials, employees, agents, and volunteers are to be covered as additional insureds under Consultant's CGL, Professional Liability, and Automobile Liability policies with respect to any liability arising out of work or operations performed by or on behalf of Consultant including materials, parts, equipment, and personnel furnished in connection with such work or operations. 2. Consultant's Insurance company(ies) agrees to waive all rights of subrogation against the City, its City Council, its officers, officials, employees, agents, and volunteers for losses paid under the terms of any policy which arise from work performed by City Council 30 — 38 / Docusign Envelope ID: 8DB22FEB-28C9-4AA8-92E8-033D22A87DE7 Consultant under this Agreement. 3. For any claims related to this contract, ConsuItant'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. 4. A severability of interest provision must apply for all the additional insureds, enduring that Consultant'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, 5. Insurance policies 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 the City. Ton (10) days prior written notice shall be provided to the City for policy cancellation or non -renewal due to non-payment of premium. 6. Certificate Holder on each Evidence of Insurance certificate shall be: City of Santa Ana, Attention: Public Works Agency, Executive Director, 20 Civic Center Plaza, M-21, Santa Ana, CA 92701. The name and location of project must be indicated in the Description of Operations section of each certificate. Self -Insured Retentions Self insured retentions must be declared to and approved by City. The City may require the Consultant 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 Consultant 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 before work begins. However, failure to obtain the required documents prior to the work beginning shall not waive Consultant's obligation to provide them. 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 circumstances, 7. INDEMNIFICATION Consultant 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 City Council 30 — 39 / Me Docusign Envelope ID: 8DB22FEB-26C9-4AA8-92E8-033D22A87DE7 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 Consultant, 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 Consultant 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 Consultant'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 Consultant, 8. INTELLECTUAL PROPERTY INDEMNIFICATION Consultant 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 Consultant to the City pursuant to this Agreement. 9. RECORDS Consultant shall keep records and invoices in connection with the work to be performed under this Agreement. Consultant 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 Consultant under this Agreement. All such records and invoices shall be clearly identifiable. Consultant 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. Consultant 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 Consultant under this Agreement. 10. CONFIDENTIALITY If Consultant receives from the City information which due to the nature of such information is reasonably understood to be confidential and/or proprietary, Consultant 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 City Council 30 — 40 ) 6 3 Docusign Envelope ID: SDB22FEB-28C9-4AA8-92E8-033D22A87DE7 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 Consultant disclosed in a publicly available source; (c) is in rightful possession of the Consultant without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Consultant without reference to information disclosed by the City. 11. CONFLICT OF INTEREST CLAUSE Consultant 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. 12. NON-DISCRIMINATION Consultant 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. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 13. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Consultant, 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 Consultant. 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 Consultant 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. 14. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Contractor, Consultant 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 City Council 30 — 41 RAFOW Docusign Envelope ID: 8DB22FEB-26C9-4AA8-92E8-033D22A87DE7 Agreement performed by City personnel or by other Consultants retained by City. 15. TERMINATION This Agreement may be terminated by the City upon thirty (30) days written notice of termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant compensation for all services performed by Consultant 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 Consultant 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 Consultant 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. 16. 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. 17. 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. 18. PROFESSIONAL LICENSES Consultant 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. Consultant 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. 19. 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 City Council 30 — 42 / /T(9 Docusign Envelope 0: 8DB22FEB-26C9-4AA8-92E8-033D22A87DE7 first class or certified mail, postage prepaid, or sent by fax or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M-30) P.O. Box 1988 Santa Ana, CA 92702-1988 Fax: 714- 647-6956 With courtesy copies to: Executive Director, Public Works Agency City of Santa Ana 20 Civic Center Plaza (M-21) P.O. Box 1988 Santa Ana, California 92702 Fax: To Consultant: E Source Companies, LLC Attn: Dave Perotti CEO 3020 Carbon Place, Suite 300 Boulder, CO 80301 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. 20. 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. C. All Exhibits referenced herein and attached hereto shall be incorporated as if fully City Council 30 — 43 T/w/ro Docusign Envelope ID: 8DB22FEB-26C9-4AA8-92E8-033D22A87DF7 set forth in the body of this Agreement. IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: Jennifer L. Hall City Clerk APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney B a4 Andrea Garcia -Miller Assistant City Attorney RECOMMENDED FOR APPROVAL: C Digitally signed by Nabil laa N d b i I J a b s Date: 2024.08.05 12:41.47 -07'00' NabiI Saba, PE Executive Director Public Works Agency CITY OF SANTA ANA Alvaro Nunez Acting City Manager E Source Companies, LLC vaw' Pwrofft Name: Dave Perotti Title: CEO City Council 30 - 44 / �' Docusign Envelope ID: 8DB22FEB-26C9-4AAB-92EB-033D22A87DE7 EXHIBIT A SCOPE OF SERVICES City Council 30 — 45 8/20/2024 Docusign Envelope ID: 8DB22FEB-26C9-4AA8-92F8-033D22A87DE7 SCOPE OF WORK INTRODUCTION AND BACKGROUND The City of Santa Ana is located in the County of Orange in Southern California. The City encompasses 27.2 square miles and a population over 343,000 people. The City of Santa Ana Public Works Agency -- Water Resources Division oversees and maintains the daily operations of the Water System and Sanitary Sewer System. The City of Santa Ana's water system has an average day demand of about 43 MG with approximately 45,500 metered service connections. The City is currently in the process of implementing Automated Metering Infrastructure (AMI) for all of its metered water service connections. Communications equipment has been installed and the installation of meters is ongoing. However, the City of Santa Ana Public Works Agency desires to engage professional firms to provide additional support for the project in the areas of project management, systems integration and data analysis, and quality assurance field inspection services. The primary emphasis will be assisting City staff with testing data and system functionality to validate that the delivered systems can support the City's daily business and user requirements. Specifications for the project can be found in the agreement with the project's prime contractor here: htt s:// ublicdocs santa- ana.orgNVebLink/DocView.aspx?id=125140&searchid=ac4e8f00-1 d6c-476a-ba09- cde533ca092c&dbid=1. Existing knowledge of the Sensus Regional Network Interface (RNI), enQuesta Customer Interface System (CIS), and SmartWorks Compass Meter Data Management (MDM) system is required. CONTRACTOR RESPONSIBILITIES The Consultant shall provide all labor, materials, services, and equipment necessary for the completion of the work entailed herein. All work shall be in accordance with applicable trade practices, workmanship, meet warranties and shall conform to all applicable laws, codes and regulations. Business hours are considered from 7:00 A.M. to 5:00 P.M. (Monday through Friday). Any time outside of business hours of operation may be considered after hours/weekends. All work will be scheduled upon confirmation of scope and cost and completed within the time agreed upon for each specific item of work. The Consultant may not begin work before receiving a written Notice to Proceed by the City's Project Manager. All services, equipment and materials provided by the Consultant must be in accordance with all applicable Federal, State and local regulations, laws, and codes. DESCRIPTION OF WORK The consultant will be expected to develop a work plan in order to provide support in the following areas: 1. Project Management. City of Santa Ana - RFP 24-085 AN Implementation Support Services City Council age of 0 — 46 8/20/2024 Docusign Envelope ID! 8DB22FEB-28C9-4AA8-92E8-0331)22A87DE7 a. Support City staff in managing overall scope of work by prime contractor and subcontractors to ensure that all project tasks are executed, and provide advice and recommendations on how to address project -specific issues that may arise; b. Conduct weekly status meetings with City staff and contractors/vendors for overall project and/or systems integration performance and progress. 2. System Testing. a. Coordinate with vendors to ensure configuration of systems are delivered and working to specifications; 3. Reporting. a. Review daily reports to ensure communication systems are responsive; b. Investigate and/or recommend actions for City or contractor to take to make corrections. 4. Validation of Reads. a. Review and analyze daily reporting data to ensure validity of reads received. 5. Quality Assurance and Field Inspection Services. a. Perform in -field installation quality audits of meter installations, including checking for post -installation leaks; b. Perform data quality audits using installation contractor's work order management software to verify meters are installed correctly. CITY RESPONSIBILITIES The City will provide access to the information in its possession and systems/software platforms relevant to the preparation of the required information in the RFP. Selected consultant is expected to perform a substantial review of the project's schedule and milestones to -date, and be familiar with all software platforms and data sources being utilized. SUBCONTRACTORS The use of Subcontractors is allowed, but will require approval by City prior to start of any assigned work. When a Subcontractor performs all or any part of the work, a markup shall be applied to the Subcontractor's actual cost of such work. The Contractor may add a markup of 10 percent on the first $5,000 of the subcontracted portion of the extra work and a markup of 5 percent on work added in excess of $5,000 of the subcontracted portion of the work may be added by the Contractor. ---End of SCOPE OF WORK Section,— City of Santa Ana - RFP 24-085 AMI Implementation Support Services City Council age 14 ° 0 — 47 8/20/2024 Docusign Envelope ID: 8DB22FEB-26C9-4AA8-92E8-033D22A87DE7 ESOURCE PROPOSAL TO CITY OF SANTA ANA FOR AM I IMPLEMENTATION SUPPORT SERVICES Understanding of Scope of Services E Source has had the pleasure of working with the team at Santa Ana on your AMI project. We have supported your team on the tasks that you have requested in your RFP and that are outlined below in our scope of work. We have established a positive and productive working relationship with your vendor partners, including AquaMetric, Xylem (Sensus), Harris SmartWorks, Systems & Software, and Concord Utility Services (Concord). We have extensive working knowledge of Santa Ana's entire AN system, including RNI headend, Sensus Analytics, Compass MDMS, enQuesta CIS, and Peak Workflow Work Order Management system (WOMS). Task 1: Project Management One of the primary factors that distinguish successful AM] projects is the quality of the overall project management. In the E Source model, based on the Project Management Institute's (PMI's) PMBOKQ and Agile methodologies, our Project Manager (PM) works very closely with Santa Ana's PM and the project team using proven process, methodologies, and templates to produce a robust, flexible implementation approach. We are very experienced in helping a combined vendor and utility team execute successfully to the project baseline. Tara Turch, the E Source PM, will be responsible for supporting the activities listed in Table 1. Our PM will manage vendor performance, risk management, items of concern, and open action items. These items will be managed regularly and will be consistently tracked. Table I. E Source Project Management Activities Scope Ensure the project plans outline all of the work required to complete the project successfully and Management that the client and vendors avoid scope creep. Scope management consists of initiation, scope planning, scope definition, scope verification, and scope change control. Change i Ensure a formal change control process is in place to control changes to the baseline project plan Management and SOW throughout the project lifecycle. Cost Ensure the project is completed within the approved budget. Cost management consists of Management resource planning, cost estimating, cost budgeting, and cost control. Quality Ensure the project will satisfy the needs for which it was undertaken. Quality managementconsists Management . of quality planning, quality assurance, and quality control. Reporting Ensure timely & appropriate generation, collection, distribution, and storage of project information. Management Handle communications planning, performance reporting, and administrative closure. Schedule Ensure timely project completion. Time management consists of activity definition, sequencing, and Management duration estimating, as well as schedule development and control. Vendor Ensure vendors are completing their contractual scope of work on schedule and within budget. Management Coordinate with technical resources as necessary to ensure verification of technical deliverables. Resource Ensure qualified resources are available and properly prepared to perform each task. Identify Management project resourcing needs and coordinate with the appropriate organizations to meet them. Ensure risk is identified, analyzed, and responded to appropriately based on probability and impact Risk & Issue in accordance with the risk management plan. Once a risk is realized, transition it to a Management pre -defined issue tracking and resolution process. City Council 30 — 48 8/20/2 ❑ocusign Envelope ID: 8DB22FEB-26C9-4AA8-92E8-033D22A87DE7 E SOURCE PROPOSAL TO CITY OF SANTA ANA FOR AMI IMPLEMENTATION SUPPORT SERVICES The E Source PM will host a kickoff meeting with E Source and Santa Ana staff following award of the contract to conduct introductions, discuss the scope of services and the implementation process. The E Source PM will assist the City in managing the overall scope of work by the prime vendor and subcontractors to ensure that all tasks are executed and provide advisory support and recommendations on how to address project specific issues that may arise. We will conduct weekly status meetings with City staff and vendor partners to monitor overall project and systems integration and testing performance and progress. As part of our services, E Source will also closely monitor Santa Ana's readiness to take ownership of all tasks and activities to support the AMI system following system acceptance and stabilization. We will collaborate with the Santa Ana PM over the life of the project to assess and ensure that our level of support by task meets your needs. In the event that your needs change, we will work with you to adjust accordingly. DELIVERABLES — Weekly status meetings with City staff and contractors/vendors — Weekly integration and testing status reports — Maintain AMI implementation schedule Task 2: System Testing Support A graduated, thorough, and robust test program is needed for an AMI project, and E Source has implemented hundreds of successful integrated technology testing programs for our clients. Our testing approach minimizes your risk by providing early validation of the technologies in steps, so that any problems are identified early and corrected. All discovered defects are formally logged, managed, and resolved as appropriate until acceptance is achieved. We produce test plans that exercise the functionality of systems that must interface to meet business, technical, functional, integration, performance, and any other specified requirements. Should issues be identified during the testing process, we are ready and able to work with each vendor partner and development teams to resolve those issues. We follow a corrective action process that ensures the problem is documented, root -cause determined, corrective and preventive actions are taken, and retesting is performed to verify that the problem has been resolved. Understanding where Santa Ana is at in the testing process based on our previous experience working with your team, we will focus on finalizing the following testing element: User Acceptance and Business Process Testing — This testing verifies that the correct information flows through for a particular business process, including both automated and manual business processes. It is the final gate and ensures that the system functions and is aligned with requirements and processes that are used operationally. In this testing, a single trigger can initiate data transfers between multiple source and destination systems. It is the most comprehensive test of the complete set of business processes and maximizes to the extent possible the real -world use of Santa Ana's integrated systems. Test cases are executed by Santa Ana users of the systems on a day-by-day basis with direct support from E Source resources. L-_. E City Council 30 — 49 8/20/2 Docusign Envelope ID: 8DB22FEB-26C9-4AA8-92E8-033D22A87DE7 E SOURCE PROPOSAL TO CITY OF SANTA ANA FOR AMI IMPLEMENTATION SUPPORT SERVICES E Source will coordinate the testing effort between the team at Santa Ana and the vendors. The end result is to ensure configuration of systems are delivered and working to Santa Ana's requirements and specifications. DELIVERABLES — Weekly remote testing and troubleshooting meetings — On -demand troubleshooting support — Weekly integration meetings with vendor partners — Test plans and results documentation for all Santa Ana -owned tests Task 3: Reporting The high volume of data produced by an AMI system can greatly enhance overall utility operations, but only if that data is properly monitored, managed, and utilized. The AMI system introduces a new variety of data sets such as consumption data, events, alerts, and various system exceptions. From previous work that E Source has performed for Santa Ana, a plan to manage and utilize the data from these new systems has been developed to ensure accuracy and completeness for billing and all other reporting functions. New or updated reports and notifications generated from this plan will inform Santa Ana of possible leaks, tampering, backflow, CIS -to -field mismatches, etc., but the data must be interpreted and acted upon appropriately to realize the maximum benefits, E Source will review daily reports to ensure all communication systems are responsive and functioning within expected levels. Our team will investigate issues that arise, recommend actions to take, and work directly with City staff and/or vendor partner to address these issues through to resolution. In addition, E Source will continue to guide Santa Ana through the implementation of the data management plan and provide on-the-job coaching. E Source will provide focused, hands-on support for staff responsible for data quality management and exception handling. With this hands-on approach, Santa Ana staff will more quickly grow familiar with their respective duties and how to troubleshoot and remediate exceptions. After this period, E Source will work with the Santa Ana team to refine and tailor the data management plan and assist in the development of written materials that will become organizational process assets for current and new staff to leverage. DELIVERABLES — Data management coaching materials (*.doc or *.xlsx) — Updated Data Management Plan (*.xlsx) Task 4: Validation of Reads In conjunction with the activities detailed in Task 3: Reporting, E Source also will review and analyze daily reporting data to ensure the validity of meter reads received as system implementation continues. E Source will produce exception reports for investigation by Santa Ana and will assist Santa Ana and your vendor partners in troubleshooting and issue resolution. E Source will factor this activity into the updates to the data management plan, on-the-job coaching, and coaching materials detailed in Task 3. City Council 30-50 8/20/2 Docusign Envelope ID: 8DB22FEB-26C9-4AA8-92E8-033D22A87DE7 E SOURCE PROPOSAL TO CITY OF SANTA ANA FOR AMI IMPLEMENTATION SUPPORT SERVICES Task 5: Quality Assurance and Field Inspection Services The AMI project involves the installation of thousands of properly configured meters and meter interface units (MIUs) as well as the careful coordination of the materials, labor, and data. To accomplish this scope, E Source has expertise in deployment planning and oversight to ensure the AMI meters and communications equipment are installed correctly and efficiently with minimum disruption to existing Santa Ana systems and business processes. E Source personnel have decades of experience working closely with AM] and Meter Installation Vendor (MIV) contractors and utility crews through interactive workshops to present and refine the business processes, construction, and labor standards necessary for effective meter and MIU installation. We also have specific experience with meter installation at Santa Ana and understand the specific needs within your community. E Source presents industry best practices for the planning and installation of meters/MIUs and have worked with Santa Ana's project team to tailor these processes to the specific requirements and standards of the City. Additionally, this implementation and planning effort includes identifying and documenting installation, construction, and customer contact standards. E Source has and will continue to provide advice and consulting to the City to leverage lessons learned on similar scale meter and endpoint deployment projects in North America. E Source will: • Perform in -field installation quality audits of meter installations performed by Concord, including checking for post -installation leaks and overall workmanship. • Track and report to the City and Concord any meter and/or MIU related exceptions encountered during installation quality audits. • Perform data quality audits using Concord's Peak Workflow WOMS to verify meters and MI Us are installed correctly. • Review and advise the City on the progress of installations and volume of rework / Return to Utility (RTU). • Address any potential disagreements that may arise between vendor partners and/or the City on responsibility for issues identified. DELIVERABLES -- Inspection reports on verification of MIV work in the field E City Council 30 — 51 8/20/2 Docuslgn Envelope ID: 8D822FEB-26C9-4AA8-92E8-033D22A87DE7 EXHIBIT B COMPENSATION City Council 30 — 52 8/20/2024 Docusign Envelope ID: 8DB22FEB-26C9-4AA8-92E8-033D22A87DE7 E SOURCE FEE PROPOSAL TO CITY OF SANTA ANA FOR AMI IMPLEMENTATION SUPPORT SERVICES Fee Schedule E Source has developed the fee for services based on experience with several similar projects and understanding of the level of effort desired by Santa Ana. This fee includes all services and deliverables described herein. E Source will invoice Santa Ana monthly and will work with the Santa Ana project manager to establish an agreed upon payment schedule. Travel and incidentals will be billed monthly at actual cost. Table 1. AMI Implementation Support services Fee AM] Implementation Support Services Task ID Task Hours Fee Expenses Total Task 1 - Project Management 212 $ 59,760 $ 9,250 $ 69,010 Task 2 -Testing Support 80 $ 19,200 $ 3,700 $ 22,900 Task 3 - Reporting 432 $ 108,720 $ 3,700 $ 112,420 Task 4 - Validation of Reads 144 $ 36,240 $ - $ 36,240 - Task 5 Quality Assurance and Field Inspection Services 384 $ 96,000 $22,200 $ 118,200 Total 1,252 $ 319,920 $ 38,850 $ 358,770 Table 2. Hourly Rates Senior Vice President $300.00 Vice President Program Manager Project Manager jExecutive Consultant Principal Consultant Senior Consultant Consultant Associate Consultant $290.00 $280.00 $270.00 $280.00 $270.00 $260.00 $250.00 $210.00 E Source can adjust our proposed scope of work and our level of effort to provide more or less support to match the needs of Santa Ana. We will also collaborate with the Santa Ana PM over the life of the project to assess and ensure that our level of support by task meets the needs of Santa Ana, in the event that your needs change, we will work with you to adjust accordingly. E City Council 30-53 8/20/2 Docusign Envelope ID: 8DB22FEB-26C9-4AA8-92E8-033D22A87DE7 F SOURCE FEE PROPOSAL TO CITY OF SAMAANA FOR AM IMPLEMENTATION SUPPORT SERVICES Reimbursable Expenses Travel expenses will be submitted for reimbursement on an actual and reasonable basis. There is no markup on these direct costs, and E Source does not charge for time spent traveling. We will seek to minimize expenses using government contractor rates and teleconferences whenever possible. Assumptions The following assumptions apply to this proposal: 17, E Source's fee to implement this Scope of Work is based on the timely start and timely completion of each proposed task as outlined in the project schedule provided. If the duration for any proposed task exceeds the duration outlined in the proposed schedule, E Source may need to develop a change order in accordance with the additional services required to complete the task(s). d Deliverable documents will be in Microsoft office, including MS -Word, PowerPoint, Excel, MS - Project, Visio, or Adobe PDF. ® The Utility's management will coordinate and consolidate all Utility comments on draft document deliverables to provide a single redline for E Source to make updates to the final document deliverables. P3 The Utility will provide E Source with working space, network connections, infrastructure, administrative support, and other services and materials reasonably required to perform Project work while onsite at City offices, if requested. ® Utility personnel will support workshops and meetings as needed. Taxes These rates and estimates are exclusive of taxes. The taxes relating to applicable services are the sole responsibility of the City of Santa Ana. Billing and Payment Terms E Source will invoice the utility on a monthly basis for actual labor and expenses incurred on the required tasks. Payment terms are net thirty (30) days. Unless otherwise agreed to, E Source reserves the right to charge one and one-half (1.5%) percent per month, or the maximum rate permitted by law, whichever is greater, on any balance remaining unpaid after thirty (30) days. Proposal Terms and Conditions Terms of this proposal remain valid for 90 days from date of submittal. E Source reserves the right to negotiate any terms and conditions of the written agreement relating to this SOW. City Council 30 — 54 8/20/2 Public Works Agency www.santa-ana.org/public-works Item # 31 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report August 20, 2024 TOPIC: License Agreement for the Use of City -Owned Parcels AGENDA TITLE License Agreement with K&C Logistics, LLC for their use of City -Owned East and West Alton Avenue/SR-55 Freeway Parcel RECOMMENDED ACTION Authorize the City Manager to execute a license agreement with K&C Logistics, LLC for use of real property owned by the City at the western terminus of Alton Avenue between Standard Avenue and the SR-55 Freeway and at the eastern terminus of Alton Avenue between Daimler Street and the SR-55 Freeway, for a three-year term beginning August 20, 2024 and expiring August 19, 2027, automatically entering into a month -to -month renewal thereafter for an additional two years, for a total revenue amount of $1,590,640 (Agreement No. A-20024-XXX). GOVERNMENT CODE §84308 APPLIES: Yes DISCUSSION The Public Works Agency (PWA) owns and manages two vacant lots for the purpose of a future freeway overpass bridge. In the meantime, the City leases these lots to various commercial users. On December 1, 2020, the City Council approved an exclusive license agreement with K&C Logistics to utilize the City property located at the western terminus of Alton Avenue and the SR-55 Freeway (Exhibit 1) in the amount of $4,400 per month for the use of the City -owned vacant lot. The property is 49,330 square feet, with approximately 31,700 square feet net usable land area. The City plans to construct a new overpass at the SR-55, linking the cities of Santa Ana and Irvine at Alton Avenue. The subject property is included within the overpass project area. However, construction is not expected to begin for another three to five years. Thus, the property is expected to be available for uninterrupted use by the licensee until construction commences. To allow for maximum scheduling flexibility, the agreement includes a 60-day cancellation notice option. Recently, the lot located in the eastern terminus of East Alton Avenue between Standard Avenue and the SR-55 became vacant. City staff reached out to K&C Logistics regarding the vacancy, whereby K&C Logistics expressed their interest in City Council 31 —1 8/20/2024 License Agreement for the Use of City -Owned Parcels August 20, 2024 Page 2 utilizing the eastern terminus (Exhibit 1) for additional storage of shipping equipment. The property is 86,626 gross square feet, with approximately 66,546 net usable square feet. In agreement with K&C Logistics, the City is moving forward with entering into a new license agreement to include both the eastern and western terminus lots, aggregating to approximately 98,246 square feet. The City took the opportunity to update the annual lease and update to the current market rate, generating an increase in revenue to a new monthly rate of $24,967. Staff recommends approval of the recommended actions to award the license agreement to K&C Logistics, LLC, generating an estimated revenue in the amount of $1,590,640 over the period of three years (Exhibit 2). Revenue generated will be utilized for maintenance and upkeep of vacant City parcels. ENVIRONMENTAL IMPACT There is no environmental impact associated with the action. FISCAL IMPACT This agreement will result in revenue of $24,967 per month into the Select Street Construction, Rental of Property revenue account (No. 05917002-57960). The agreement will commence on August 20, 2024 and expire August 19, 2027. The agreement will automatically renew each month thereafter for an additional two years unless a notice to vacate the premises is provided by the City or Licensee. Accounting Fund Accounting Unit Fiscal Year Unit - Account Description Amount # Account Description Select Street 2024-25 05917002-57960 Select Street Construction, Rental $299,604 (Sept- Aug) Construction Of Property Select Street 2025-26 05917002-57960 Select Street Construction, Rental $308,593 (Sept- Aug) Construction Of Property Select Street 2026-27 05917002-57960 Select Street Construction, Rental $317,850 (Sept- Aug) Construction Of Property Optional Extensions: Select Street 2027-28 05917002-57960 Select Street Construction, Rental $327,385 (Sept- Aug) Construction Of Property City Council 31 —2 8/20/2024 License Agreement for the Use of City -Owned Parcels August 20, 2024 Page 3 Accounting Fund Accounting Unit, Fiscal Year Unit - Account Description Amount Account Description # Select Street 2028-29 05917002-57960 Select Street Construction, Rental $337,208 (Sept- Aug) Construction Of Property Total Contract Amount: $1,590,640 EXHIBIT(S) 1. Location Map-West/East Alton Lot 2. License Agreement Submitted By: Nabil Saba, P.E., Executive Director — Public Works Agency Approved By: Alvaro Nunez, City Manager City Council 31 — 3 8/20/2024 EXHIBIT 2 LICENSE AGREEMENT This LICENSE AGREEMENT ("Agreement") is dated as of August 20, 2024 ("Effective Date"), and entered into by and between the CITY OF SANTA ANA, a charter city and municipal corporation existing under the Constitution and laws of the State of California ("City"), and K&C Logistics, LLC ("Licensee"). RECITALS A. The City owns real property at the western and eastern terminus of Alton Avenue between Standard Avenue and the SR-55 Freeway in the City of Santa Ana, as particularly described in Exhibit A, attached hereto and incorporated by reference (collectively, the "License Area"). B. The License Area is part of a planned road improvement project to be constructed by the City where such construction is anticipated to begin within three to five years of the date of this Agreement. C. Licensee is a logistical and transportation services company that desires to use and access the License Area for parking of its vehicles. City desires to allow Licensee the exclusive use of and access to the Property for this purpose alone ("Permitted Uses"). D. The City has agreed to grant Licensee a license to use the License Area, on the terms and conditions set forth in this Agreement. NOW THEREFORE, for and in consideration of the mutual covenants and agreements herein contained and for other good and valuable consideration, the receipt and sufficiency of which is hereby acknowledged, the parties hereto agree as follows: 1. License. The City hereby grants to Licensee an exclusive license for the right to enter and use the License Area on the date first written above, for the Permitted Uses described in Recital C, upon the terms and conditions set forth herein ("License"), subject to Licensee's performance of all of its obligations under this Agreement. This License shall remain in effect for a three (3) year term from the Effective Date. Upon the expiration of the three (3) year term, this Agreement shall continue on a month - to -month basis. The License may be terminated by the City or Licensee at any time upon sixty (60) days written notice. In no case shall the maximum term of this Agreement exceed five years without the prior written consent of the City. This Agreement is intended and shall be construed only as a revocable license to use the License Area and not as a lease or grant of any possessory or other interest. 2. Compliance with Laws. Licensee shall cause all activities of Licensee under this Agreement and all activities on the License Area to be performed in compliance with all applicable federal, state, and local laws, ordinances, and regulations, and permits. 3. Best Management Practices and Clean Up. At its sole cost, Licensee shall clean up and install, implement, and maintain Best Management Practices (BMPs) to reduce stormwater pollution from the License Area as outlined below. Within seven (7) days of occupying the License Area, the Licensee shall: (a) Remove old and/or damaged sediment control BMPs from the License Area and install new sediment control BMPs along the entire perimeter of the License Area. Appropriate sediment control BMPs include straw wattle, gravel bag berm, or silt fence. Licensee shall install sediment control BMPs per the SE-5, SE-6, or SE-1 details Page 1 of 6 City Council 31 — 5 8/20/2024 provided in the California Stormwater Quality Association (CASQA) Stormwater BMP Handbook for Construction. (b) Install tracking control BMPs at the vehicle access point to the License Area. Licensee shall install tracking control BMPs per the TC-1 detail provided in the California Stormwater Quality Association (CASQA) Stormwater BMP Handbook for Construction. (c) Install a fence, if required, and Green Screen. Throughout the duration of the License Agreement, the Licensee shall: a) Cover all stockpiles that are not actively being used or scheduled to be used within a seven (7) day period. Additionally, all stockpiles shall be covered prior to the onset of precipitation. Licensee shall ensure that stockpile coverings are installed securely to protect from wind and rain. Stockpiles shall not be taller than the property's fence height. b) Maintain effective Tracking control BMPs to prevent sediment tracking off -site from the License Area. c) Maintain effective Sediment control BMPs along the entire perimeter of the License Area, at all adjacent storm drain inlets, and on all non -active slopes, as appropriate. d) Sweep the street, sidewalk, and parkway adjacent to the License Area as -needed so the public right-of-way remains clean and free of dirt. e) Use a dumpster or appropriate waste receptacle to discard of all trash and debris. Dumpsters and waste receptacles shall be covered prior to the onset of precipitation. f) Implement Wind Erosion Control BMPs (dust control), as appropriate, per the WE-1 detail provided in the California Stormwater Quality Association (CASQA) Stormwater BMP Handbook for Construction. g) Remove graffiti on the fence or green screen within one (1) day of notification by the City. h) Repair vandalism to fence or green screen within one (1) day of notification by the City. Remove weeds or vegetation growing within License Area or around perimeter within seven (7) days of notification by the City. Within fourteen (14) days of vacating the License Area, the Licensee shall clean up the License Area as outlined below: a) Remove all trash, debris, sediment, stockpiles, and construction materials from the License Area. b) Remove old and/or damaged sediment control BMPs from the License Area and install new sediment control BMPs along the entire perimeter of the License Area. Appropriate sediment control BMPs include straw wattle, gravel bag berm, or silt fence. Licensee shall install sediment control BMPs per the SE-5, SE-6, or SE-1 details provided in the California Stormwater Quality Association (CASQA) Stormwater BMP Handbook for Construction. c) Remove Tracking Control BMPs from the License Area. d) Cover the surface of the entire License Area with two (2) inches of three-quarter (3/4) inch diameter gravel. License Area clean up shall be completed to the sole satisfaction of the City no later than the times specified in the License as stated in paragraph 1 above, and the License shall be extended to such time for the limited purpose of allowing the clean up to be completed. Page 2 of 6 City Council 31 — 6 8/20/2024 4. Damage. In the event that Licensee damages any portion of the License Area or the improvements or equipment therein, Licensee shall immediately repair the damage at Licensee's sole cost. Alternatively, the City may, at its election, repair the damage in which case Licensee shall reimburse the City for its cost within fifteen (15) days of receipt of written demand from City. 5. Licensee Parties. Licensee, together with its employees, subcontractors, agents, representatives, and all persons entering the License Area, by or through or at the direction of Licensee, are collectively referred to herein as the "Licensee Parties." Licensee shall be responsible for the Licensee Parties and shall cause the Licensee Parties to comply with the terms of this Agreement. 6. Fee. As consideration for this Agreement, Licensee shall pay City a monthly license fee of $24,967.03. License fees for any partial month shall be pro -rated. Payment shall be made payable to the City of Santa Ana, in advance for each month, no later than the 101 of the prior month, at the following address: Public Works Agency, City of Santa Ana M-21, Administrative Services Manager, 20 Civic Center Plaza, PO Box 1988, Santa Ana, CA 92702. A late charge of ten percent (10%) shall be applied to any payment hereunder due but unpaid after the 101}i of the month. The consideration for this License shall be subject to a CPI adjustment annually utilizing the most recently published annual average, on the anniversary of the Effective Date during the term hereof. 7. AS -IS Condition. City makes no representation or warranty of any kind as to the condition of the License Area or any other matter relating to Licensee's use of the License Area. Licensee hereby disclaims and waives any and all objections to the physical and other characteristics and conditions of the License Area. Licensee acknowledges and agrees that the use of the License Area will be on the basis of Licensee's own investigation of the condition of the License Area. The license to use the License Area shall be granted on an "AS -IS," "WITH ALL FAULTS" basis, without representation or warranty expressed or implied by City, or by operation of law. City expressly disclaims, which Licensee hereby acknowledges and accepts, any implied warranty of condition or fitness for a particular purpose or use. Licensee's use of the License Area shall be subject to the License Area being in a usable and safe condition at the time of Licensee's use and Licensee shall be responsible for determining whether the License Area is in such condition. In connection therewith, in the event that the License Area or access thereto is damaged or obstructed or the use by Licensee is otherwise impaired, prevented or limited, City shall have no obligation or duty to repair the damage or rectify the condition to make the License Area usable or safe. Insurance. 8.1 Licensee shall maintain commercial general liability insurance which shall include, but not be limited to, protection against claims arising from bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of Licensee's use of the Property, including, without limitation, acts involving vehicles. 8.2 The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $2,000,000 per occurrence and $5,000,000 in the aggregate. Such insurance shall (a) name the City, its City Council, its officers, employees, agents, volunteers and representatives as additional insured(s); (b) be primary and not contributory with respect to insurance or self-insurance programs maintained by the City; and (c) contain standard separation of insureds provisions. 8.3 Licensee shall maintain business automobile liability insurance, or equivalent form, with a combined single limit of not less than $5,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. Page 3 of 6 City Council 31 — 7 8/20/2024 8.4 Pursuant to state law, Licensee is required to be insured against liability for worker's compensation or to undertake self-insurance. Prior to commencing the performance of services under this Agreement, Licensee agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. 8.5 Certificates of Insurance: Additional Insured Endorsements. Prior to execution of this Agreement, Licensee shall furnish to City certificates of insurance and, if applicable, additional insured endorsements to each of Licensee's insurance policies, evidencing the foregoing insurance coverages as required by this Agreement. These certificates shall: a. provide the name and policy number of each carrier and policy; b. shall state that the policy is currently in force; and c. shall promise to provide that such policies will not be canceled, suspended, voided, reduced in coverage or in limits, or modified without thirty (30) days prior written notice of City. Licensee shall maintain the foregoing insurance coverages in force throughout the term of this Agreement. City or its representatives shall at all times have the right to demand the original or a copy of all these policies of insurance, which Licensee shall provide within five (5) days of City's request. 9. Indemni1y. Licensee shall indemnify, defend, and hold harmless City, and its respective agents, representatives, employees, subsidiaries and affiliates ("Covered Parties") from and against any and all actions, suits, claims, demands, judgments, losses, expenses, or liabilities, injuries and damages to persons and property, including death, arising out of or related to Licensee's use of the License Area, the entry by any Licensee Party on the License Area or surrounding property, or Licensee's breach or default in the performance of any of its obligations under this Agreement; provided, however, that Licensee will not be obligated to indemnify the Covered Parties from any claims arising solely from the gross negligence or willful misconduct of a Covered Party. If any action or proceeding is brought against any Covered Party by reason of any such claim, Licensee, upon receipt of written notice from Covered Party, shall defend the same at Licensee's expense with legal counsel reasonably acceptable to Covered Party. Payment shall not be a condition precedent to recovery under any indemnification in this Agreement, and a finding of liability or an obligation to indemnify shall not be a condition precedent to the duty to defend. The provisions of this Section 10 shall survive the termination or expiration of this Agreement. 10. Miscellaneous. 10.1 Entire Agreement, Waiver and Amendments. This Agreement incorporates all of the terms and conditions mentioned herein, or incidental hereto, and supersedes all negotiations and previous agreements between the parties with respect to the subject matter of this Agreement. All waivers of the provisions of this Agreement must be in writing and signed by the appropriate authorities of the party to be charged. Any amendment or modification to this Agreement must be in writing and executed by the appropriate authorities of the City and Licensee. 10.2 Severability. If any term, provision, covenant, or condition of this Agreement is held by a court of competent jurisdiction to be invalid, void, or unenforceable, the remaining provisions of the Agreement shall continue in full force and effect, unless and to the extent the rights and obligations of one or both parties has been materially altered or abridged by such holding. 10.3 No Assignment. Licensee shall not assign or transfer or otherwise convey any interest in this Agreement to any party without the express prior written consent of City, which consent may be withheld in City's sole and absolute discretion. Page 4 of 6 City Council 31 — 8 8/20/2024 10.4 Applicable Law. This Agreement shall be construed and enforced in accordance with the internal laws of the State of California. 10.5 Litigation Expenses. If either party to this Agreement commences an action against the other party to this Agreement arising out of or in connection with this Agreement, the prevailing party shall be entitled to recover reasonable attorneys' fees, expert witness fees, costs of investigation, and costs of suit from the losing party. 10.6 Authority. The persons executing this Agreement on behalf of the parties hereto represent and warrant to the other party that they are duly authorized to execute and deliver this Agreement on behalf of such party, and by so executing this Agreement, said party is formally bound to the provisions of this Agreement. 10.7 Notices. Any notices, requests, or approvals given under this Agreement from one party to another shall be in writing and shall be personally delivered or deposited with the United States Postal Service for mailing, postage prepaid, by certified mail, return receipt requested, to the addresses of the other party as stated in this section, and shall be deemed to have been received at the time of personal delivery or three (3) days after the deposit for mailing. Notices shall be sent to: If to Licensor: K&C Logistics, LLC If to City: Clerk of the City Council Attn: Kadir Koc - President City of Santa Ana 1700 E. Garry Avenue, Suite 214 20 Civic Center Plaza (M-30) Santa Ana, CA 92705 P.O. Box 1988 Santa Ana, CA 92702-1988 11. Execution in Counterpart. This Agreement may be executed in several counterparts, and all so executed shall constitute one agreement binding on both of the parties hereto, notwithstanding that both parties are not signatories to the original or the same counterpart. [Signatures on the following page] [This space intentionally left blank] Page 5 of 6 City Council 31 — 9 8/20/2024 IN WITNESS WHEREOF, City and Licensee have entered into this Agreement as of the day and year lust written above. CITY OF SANTA ANA Alvaro Nunez Acting City Manager APPROVED AS TO FORM Sonia R. Carvalho City Attorney ��c r;ia JUse Montoya Assistant City Attorney RECOMMENDED FOR APPROVAL C 1y-� Digitally signed by Nabil Nabil ✓ a N a Dabte 2024.08.06 13:45:46 -07'00' Nabil Saba Executive Director Public Works Agency Jennifer L. Hall City Clerk LICENSEE 13y: A�� Kadir Koc President Page 6 of 6 City Council 31 — 10 8/20/2024 44 may•' 2r'b� 5 r /f E Alton Ave 3201 Ail bf - ��• a; �Oh �' � � fir r s' ^ .. y�, r a ►r� City Council Item https://www.santa-ana.org/city-council Item # 32 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report August 20, 2024 TOPIC: Affirm Approval of City Manager Employment Agreement AGENDA TITLE Affirm Approval of City Manager Employment Agreement RECOMMENDED ACTION Direct and authorize the Mayor to execute the attached City Manager Employment Agreement with Alvaro Nunez. GOVERNMENT CODE 484308 APPLIES: No DISCUSSION Section 500 of the City Charter of the City of Santa Ana authorizes the City Council to appoint a City Manager. The City Manager is the chief administrative officer of the City who, under the direction of the City Council, is responsible for the proper administration of all affairs of the City. The proposed Employment Agreement, a copy of which is attached as Exhibit A, is an Agreement negotiated between the candidate and the City Council. The City Council announced the appointment of the City Manager on August 6, 2024 and the approval of the terms of the Agreement which shall be deemed effective as of that date. The Agreement provides for all of the following: *Term: The agreement is for a term of three (3) years. The Agreement contains a renewal option for two, one-year extensions, unless notice is provided by the Council. The renewal options are necessary to accommodate the 12-month severance provision, however, the Council may provide notice to limit the term to three years as negotiated. *Salary: The agreement provides an annual salary of $315,000. *457 Plan Contribution: The agreement provides for the maximum contribution provided by the IRS Code and is the same as was provided to previous employees holding this position. *Benefits: The agreement provides for the same benefits that Executive Directors are provided pursuant to the Resolution adopted by Council and as that may be revised from time -to -time, except as expressly provided for in the agreement. City Council 32 — 1 8/20/2024 City Manager Employment Agreement August 20, 2024 Page 2 *Termination: The agreement provides for at -will employment, a severance provision of 12 months if terminated without cause, and an election cooling period in which termination may not occur six months prior to or after a municipal election at which officers are elected. ENVIRONMENTAL IMPACT The consideration and approval of the agreement does not constitute a project under the California Environmental Quality Act. FISCAL IMPACT The City Council approved the budget for the City Manager's Office for Fiscal Year 2024- 25. The budget assumptions for City Manager salary and benefits exceed the fiscal impact of the negotiated terms of the Agreement, thus there are more than sufficient funds in the City Manager's Office account budget to fund this Agreement. EXHIBIT(S) 1. City Manager Employment Agreement Submitted By: City Council Consultant Jacob Green and Associates City Council 32 — 2 8/20/2024 EMPLOYMENT AGREEMENT BETWEEN THE CITY OF SANTA ANA AND ALVARO NUNEZ THIS EMPLOYMENT AGREEMENT ("Agreement") is made and entered into effective as of the 6th day of August 2024, by and between the CITY OF SANTA ANA, a general law city and municipal corporation ("City"), and ALVARO NUNEZ, an individual ("Nunez") and collectively with the City, the "Parties"), both of whom understand as follows: RECITALS A. City desires to engage the services of Nunez, and Nunez desires to accept employment, as City Manager of the City of Santa Ana, as provided by the provisions of Section 500 of the City Charter of the City of Santa Ana; B. It is the desire of the City Council to (1) secure and retain the services of Nunez and to provide inducement for him to remain in such employment, (2) to make possible full work productivity by assuring Nunez's morale and peace of mind with respect to future security, and (3) to provide a means of terminating Nunez's services if City so desires to terminate his employment; C. Nunez desires to accept employment, on an at -will basis, as the City Manager of the City; and D. The Parties further desire to establish certain benefits and certain conditions of Nunez's employment. NOW, THEREFORE, in consideration of the mutual covenants herein contained, the Parties agree as follows: 1. Employment. a. Duties. The City hereby agrees to employ Nunez as City Manager of the City to perform the functions and duties specified in City's Charter and Municipal Code, and Nunez agrees to accept such employment. Nunez shall perform all duties and responsibilities imposed by law and industry standards, and such legally permissible further and proper duties and functions as the City Council may from time to time assign. Nunez shall hold office at the pleasure Of the City Council and shall be the chief administrative officer and head of the administrative branch of the government of 553 City Council 32 — 3 8/20/2024 the City under the direction and control of the City Council except as otherwise provided in the Municipal Code. b. Work Efforts and Schedule. Nunez shall devote such time, interest, and effort to the performance of his duties as may be reasonably necessary to fulfill the requirements set forth in Section 1.a. Nunez agrees to perform such services to the best of his ability, in an efficient and competent manner consistent with the standards of the profession. Due to the nature of the City Manager position, it is understood that flexibility is required for Nunez's work schedule, including without limitation the need for remote work and to modify his schedule within reason to adjust for attendance at meetings at night and during other times outside of ordinary business hours, at Nunez's reasonable discretion. Without limiting the generality of the foregoing, Nunez understands and agrees that the position is an exempt, salaried, full-time position that may involve expenditures of time in excess of forty (40) hours per week, and will also include time outside normal office hours, such as attendance at City Council and other community and public agency meetings. Nunez shall be exempt from paid overtime compensation and from Fair Labor Standard Act work hours restrictions. For purposes of this Section, "normal office hours" shall refer to work at City Hall when it is open for business, as determined by the City Council. C. Outside Professional Activities. Due to the nature of the City Manager position, it is understood Nunez shall not consult or engage in other non -City connected business or employment (aside from community volunteer activities) without the prior knowledge and express approval of the City Council. Nunez may, however, undertake limited outside activities, including (a) volunteer professional development activities, including activities on behalf of organizations like the League of California Cities and City Manager associations; (b) volunteer activities; (c) teaching, subject to City Council approval; and/or (d) other related activities, provided that such activities do not in any way interfere, conflict with, or adversely affect his employment as City Manager or the performance of his duties as provided herein. 55370 ity Council 32 — 4 8/20/2024 2. Term. a. Commencement and Term. This Agreement shall be effective as of August 6, 2024, which is the commencement date of Nunez's service as City Manager (August 6 shall hereinafter be referred to as the "Anniversary Date") and continued without interruption through August 5, 2027 ("Term"), unless terminated as provided in Section 3 herein. b. Renewal. On each of the Anniversary Dates in 2026, 2027 and 2028, respectively, this Agreement shall automatically renew for one (1) additional year (each automatic one (1)-year renewal shall be considered an extension of the Term), unless prior thereto, either (i) the Parties agree to enter into a formal, written amendment to mutually extend the Term of this Agreement for greater than a one (1)-year period, or (ii) the City Council notifies Nunez of its intent not to extend the Agreement for one additional year; provided, however, that in the event the City Council desires not to allow the automatic renewal of the Term of the Agreement, the City shall inform Nunez, in writing, no less than six (6) months prior to the end of the Term, as may have been from time to time extended in accordance with this Section. For the avoidance of doubt, this Section 3.b allows for two separate one-year renewals. 3. Termination, Resignation, and Severance Pay. a. At -Will. Nuhez's employment with the City is on an at -will basis. Nothing in this Agreement shall prevent, limit or otherwise interfere with the right of the City Council to terminate, by at least two-thirds (%) membership vote of the City Council, the services of Nunez without cause, at any time and without notice other than a duly -noticed City Council meeting agenda, and complying with Section 3A of this Agreement and the Santa Ana City Charter Section .500, as may from time to time be amended, unless waived in writing by Nunez. Notwithstanding the foregoing, Nunez may not be terminated under this provision for at -will termination by the City before or within a period of six (6) months following a municipal election (general, special, recall) or appointment at which one or more Council seats are contested on the ballot of such election (the "Election Cool -off Period"). For the avoidance of doubt, the City Council's decision during the Election Cool -off Period or otherwise to either (i) not renew, or provide notice of non -renewal of, the Agreement, as set forth in Section 2.b, above, or (ii) 553 City Council 32 — 5 8/20/2024 terminate "for cause," as set forth in Section 3.c, below, does not constitute a termination for purposes of this Section 3.a. b. Resignation. ation. Nothing in this Agreement shall prevent, limit, or otherwise interfere with the right of Nunez to resign from his position, subject only to Nunez providing sixty (60) days' prior written notice to the City. Nunez's resignation shall be deemed accepted upon delivery of a written resignation to the City Council. Notwithstanding the foregoing, Nunez hereby expresses his intent to remain as City Manager for a period of not less than three (3) years from the date of execution of this Agreement. C. For Cause Termination. Notwithstanding the provisions of Section 3.a, City may terminate this Agreement "for cause" as defined below. In the event Nunez is terminated by the City for "cause" (i.e., a "For Cause Termination") then City may terminate this Agreement immediately and Nunez shall not be entitled to severance and will only be entitled to the compensation accrued up to the date of such For Cause Termination. For Cause Termination shall be defined for purposes of this Agreement to only mean any of the following: (1) conviction of any felony; (2) conviction of a misdemeanor arising directly out of the City Manager's duties pursuant to this Agreement involving a willful and intentional violation of law; (3) conviction of a crime of moral turpitude; (4) removal from office by the Grand Jury; (5) willful abandonment of duties; (6) malfeasance; (7) gross negligence; (8) fraud; or (9) serious misconduct, substantiated through an independent investigation (e.g., sexual harassment, discrimination), which would constitute a violation of City policy, or state or federal law. (Conviction for purposes of this Agreement includes a judgment entered after a trial, plea of guilty, or plea of nolo contendere.) d. Severance. In the event Nunez is terminated by the City Council at any time that Nunez is still willing and able to perform the duties of City Manager, and the termination is not a For Cause Termination (i.e., it is instead an "At Will Termination"), as defined in Section 3.a, above, then, subject to the limitations set forth in Government Code Section 53260, the City shall pay Nunez a lump sum cash payment settlement equal to twelve (12) months' base pay (as defined in Section 5, below) ("Severance"), exclusive of incentive or bonus pay, benefits and other non -cash 553 City Council 32 — 6 8/20/2024 remuneration, except health benefits which will be continued, at the same level of City contribution provided Department head level employees (and at the same coverage election as at the time of termination), for the same period as the severance or until Nunez begins other employment, whichever occurs first. To receive Severance, Nunez must execute and deliver to the City a Settlement Agreement and General Release, in a form satisfactory to the City, within twenty-one (21) days of the date of notice of the At Will Termination and given by at least two-thirds (%) membership of the City Council. In the event Nunez elects not to sign the Settlement Agreement and General Release, Nunez will not be entitled to Severance. The term At Will Termination shall include Nunez's resignation, but only if it is preceded by a formal request by at least two-thirds (%) of the of the membership of the City Council that he resign and is outside of the termination period specified in Section 2.b. The term At Will Termination does not include any of the following circumstances, for which Nunez will not be entitled to Severance: (1) his employment is terminated by the Council at any time for cause (i.e., a For Cause Termination); (2) Nunez resigns or retires, except for a resignation as referenced in the immediately preceding sentence; (3) in the event of death, or due to a medical condition or disability, even with reasonable accommodations, Nunez cannot perform the essential functions of the employment position; or (4) his Agreement is not renewed and Nunez has received notice of non -renewal at least six (6) months' prior to the expiration of the Term, per Section 2.b. e. Effect of Payment of Severance/Release. i. It is understood and agreed by the Parties that Nunez is employed at will, and that upon commencement of the City's payment of Severance to Nunez, any right of Nunez to continued employment with City is terminated. The promise and tender of payment to Nunez, of any Severance payable herein, is in lieu of any damages which Nunez might claim arising out of the At Will Termination of the employment relationship between the Parties, including lost wages, breach of contract, express or implied, breach of covenant of good faith and fair dealing, emotional distress and anxiety, or any similar contractual and personal injury claims. ii. This Section does not otherwise affect, waive, nor release any other rights Nunez may have under this Agreement or applicable law. 553 ity Council 32 — 7 8/20/2024 f. Abuse of Office. Pursuant to Government Code sections 53243 et seq., if Nunez is convicted of a crime involving an abuse of his office or position, as defined below, all of the following shall apply upon final conviction: (1) if Nunez is provided with administrative leave pay pending an investigation, he shall be required to fully reimburse such amounts paid; (2) if the City, in its discretion, pays for the criminal legal defense of Nunez, in his official capacity, Nunez shall be required to fully reimburse such amounts paid; and (3) if this Agreement is terminated, any cash settlement related to the termination that Nunez may receive from the City shall be fully reimbursed to City. For purposes of this Section, "abuse of office or position" means either: (1) an abuse of public authority, including waste, fraud, and violation of the law under color of authority as those crimes are specifically defined under specific provision of California statute; or (2) a crime against public justice, including a crime described in Title 7 commencing with section 92 of the Penal Code or as specifically defined under separate provision of California statute. g. Public Communications. The City and Nunez agree that neither the City nor Nunez, shall make any written, oral or electronic statement to any member of the public, the press, or any City employee concerning Nunez's separation from the City, except in the form of a joint press release, the content of which is mutually agreeable to the City and Nunez. Consent of either Party to such joint press release shall not unreasonably be withheld. Either party may verbally repeat the substance of the joint press release or statement in response to any inquiry. This Section 3.g shall not apply in the event of a For Cause Termination. h. Survival. This Section will survive termination of the Agreement. 4. Revolving Door. Nunez must comply with Government Code Section 87406.3 for a period of one year after separating from service with City. This Section will survive termination of this Agreement. 5. Compensation. a. Base Salary. The City agrees to pay Nunez for the services required by this Agreement a base annual salary of three -hundred and fifteen -thousand Dollars ($315,000.00), payable in equal installments at the same time as other employees 553 City Council 32 — 8 8/20/2024 of the City are paid and subject to customary withholding for taxes and other required deductions. b. Other Salary Adjustments. On his Anniversary Date starting in 2025, the City may consider potential increases to Nunez's salary and/or any other benefits Nunez receives, and to make modifications in such amounts and to such extent (whether in the nature of a merit -based base salary increase, other compensation enhancement, or otherwise) based on performance, comparative salaries, and the finances of the City, as the City Council in its discretion may determine that it is desirable to do so, to take effect upon City Council approval. The City Council may, in its discretion, also determine to give Nunez exceptional performance recognition in the form of a one- time check for exceptional performance during the prior year, to take effect upon City Council approval. Any modifications to Nunez's compensation or benefits as contemplated in this Section 5.c require written amendment of this Agreement, approved by the City Council at a regular meeting. G. Automobile. The City agrees that upon proof of insurance coverage in an amount acceptable to the City, the City shall provide Nunez a City -owned vehicle for Nunez's exclusive use. The City will be responsible for paying for liability, property damage, and comprehensive liability insurance for the purchase, operation, maintenance, repair, and regular replacement of said vehicle. At Nunez's discretion, in lieu of electing to utilize a City -owned vehicle, he may elect to receive a monthly vehicle allowance of Five Hundred Dollars ($500.00) per month, which shall be paid in equal installments in each pay period. The vehicle allowance is intended to reimburse Nunez for mileage costs and the use of his private vehicle for City business. If Nunez elects the allowance he must provide his own automobile for his use in performing his duties and is responsible for all maintenance, repair, fuel and insurance expenses for said vehicle. Nunez agrees to adhere to all laws, regulations, and City policies applicable to vehicles, driving, or traffic when operating any vehicle on City -related business. 7. Cell Phone/Technolo /E uii ment. The City agrees to provide Nunez a cell phone, laptop computer in addition to a desktop computer, and a mobile device such as an Pad for purposes of conducting official City business. Nunez agrees 553 City Council 32 — 9 8/20/2024 the use of such equipment shall be for conducting City business only and shall not be used for personal purposes. 8. Leaves, Vacation, and Holidays. a. Sick Leave. Sick leave shall accrue and be capped at the same amount of hours per year as provided to the unrepresented Executive Management Group. Sick leave accrues and is accounted for on a prorated basis in each pay period. As an existing employee of City, Nunez has a bank of sick leave hours which he shall be entitled to retain. Sick leave may be used for personal illness, illness of a spouse or dependent, and doctor and dentist appointments or as otherwise provided under California law. Sick leave earned can be cashed in (into the City's Retirement Health Savings ("RHS") Plan) and/or CAPERS Service Credit at the rate of one hundred percent (100%) of its value upon death, retirement for disability or from service, or resignation. Accrued sick leave may also be converted to service credit under the "Credit for Unused Sick Leave" option of the Public Employees' Retirement System per Government Code section 20965. Any annual accrual over the maximum sick leave hours will be converted into Nunez's RHS Plan account during the first full pay period in January of each year. Nunez upon termination of employment with the City, shall be entitled to the amount of unused sick leave benefits credited to his RHS and/or CalPERS Service Credit account upon the effective date of separation. b. Vacation Leave. Nunez shall earn of the same amount of vacation hours per year as provided to the unrepresented Executive Management Group. Vacation leave accrues and is accounted for on a prorated basis in each pay period. As an employee of City, Nunez has a bank of vacation leave hours that he shall be entitled to maintain. Nunez shall accrue vacation leave at his existing normal rate. Nunez may use vacation as it accrues. Vacation accrued by Nunez and not taken shall be cashed out or paid to Nunez when separating from City service, calculated at Nunez's then -current base hourly rate in accordance with the same rules that apply to the unrepresented Executive Management Group; it shall not be necessary to carry Nunez on the payroll for the vacation period available at time of separation. In the event separation from the City 553 City Council 32 — 10 8/20/2024 is caused by Nunez's death, payment shall be made to Nunez's designated beneficiary or in accordance with the law. Vacation is transferable from one year to the next. C. Management Vacation (Administrative Leave . Management vacation leave shall accrue and be capped at the same amount of hours per year as provided to the unrepresented Executive Management Group for Nunez to be taken at his discretion, which shall be deemed earned on January 1 of each year. As a current employee of the City, Nuriez has a bank of management vacation leave hours that he shall be entitled to maintain. The highest leave accrual, maximum accrual, and cash -out provisions provided to any represented employee's unit, will also be offered to Nunez. Such cash option may be eliminated or modified to the extent it is construed as overtime under Department of Labor Guidelines implementing provisions of the Fair Labor Standards Act. d. Holidays. Nunez shall be entitled to the same number of paid holidays per year as provided to other City unrepresented Executive Management Group employees. 9. Retirement Insurance and Other Benefits. a. CaIPERS Retirement. The City agrees to execute all necessary agreements to enroll Nunez in the California Public Employees Retirement System ("CaIPERS") commensurate with the standard City employee retirement benefits program, as that program may be changed from time to time. During the term of this Agreement, City shall contribute to the employer's portion and as a Classic member under CAPERS, Nunez will continue to be enrolled in the 2.7% at 55 Service Retirement Benefit formula. Nunez shall pay eight percent (8%) of CaIPERS reportable compensation toward the employer cost of the 2.7% at 55 enhanced retirement formula. This payment shall be implemented as cost -sharing pursuant to Government Code section 20516(f). b. Pre -Taxable Benefit. To the extent permitted by CaIPERS and Internal Revenue Service regulations, this eight percent (8%) employee contribution shall be implemented through payroll deductions on a pre-tax basis. 553 City Council 32 —11 8/20/2024 In addition, Nunez shall further contribute to the costs of his retirement benefits in such amounts, if any, hereafter approved by the City and applied to City general management employees prior to the expiration date of this Agreement. The City does not participate in Social Security for employees enrolled in CaIPERS. Notwithstanding the foregoing, in the event CaIPERS determines Nunez to be a classic member, Nunez and the City shall each pay the normal contribution in accordance with City policy. Nunez shall complete CaIPERS's "Reciprocal Self -Certification Form" and submit the form to the City within 10 business days after employment has commenced. C. Medical and Other Insurance. i. Medical. (a) City Contribution. The City shall provide health (medical, dental and vision) insurance benefits to Nunez as commensurate with the standard unrepresented Executive Management Group employee health benefits. The City shall pay one hundred percent (100%) of the premium coverage for Nunez, and ninety percent (90%) of the premium coverage for all dependent care. Nunez shall be responsible for the remaining dependent care premium coverage, as well as all co -pays, charges, out-of-pocket expenses, and other costs required by the insurance provider or for any such co -pays, charges, out-of-pocket expenses, and other costs not covered by insurance. (b) In -Lieu Benefit. In lieu of selecting to use the City -provided above -referenced health benefit coverage, Nunez may elect a cash as commensurate with the standard unrepresented Executive Management Group employee health benefits. ii. Life Insurance and Long Term Disability. City shall provide Nunez with a term life insurance policy in the amount of five hundred thousand dollars ($500,000) and Nunez shall name the beneficiary of the policy. City shall further pay the premium for long-term disability insurance, as provided to unrepresented Executive Management Group. iii. Deferred Compensation (457 Plan). City agrees to provide Nunez an annual deferred compensation pursuant to section 457 of the Internal 553 City Council 32 — 12 8/20/2024 Revenue Code in an amount equal to the maximum contribution allowed by law. Payments shall be deposited by City into his 457 plan account each month. d. Other Insurance. City shall provide and pay for all other insurance mandated by State law. 10. Wellness Stipend. Nunez shall be entitled to reimbursement for expenses related to wellness (e.g., uninsured medical expenses, chiropractic visits, elective dental work, fitness memberships, etc.), upon submission of receipts to the City, up to a gross amount of one thousand Dollars ($1,000) per calendar year. 11. Professional Development. The City hereby agrees to budget for and pay travel and subsistence expenses of Nunez for professional travel, official travel, meetings necessary to pursue official and other functions for the City and to continue professional development of Nunez, to the extent deemed reasonable by the City Council. The City also agrees to pay for the travel and subsistence expenses of Nunez for short courses, institutes and seminars that are necessary for his professional development and for the good of the City. 12. Memberships. The City agrees to pay Nunez's membership dues and subscriptions in the Orange County City Manager's Association, the International City/County Management Association ("ICMA"), League of California Cities, California City Managers Foundation, and other similar organizations to which the City is a member, at City expense with prior City approval. Nunez shall have a reasonable right to attend meetings of such organizations. 13. General Expenses. The City recognizes that certain extraordinary expenses of a non -personal and job -affiliated nature may be incurred by Nunez, such as a business -related lunch or certain expenses incurred at a conference of a professional organization of which Nunez is a member. The City agrees to reimburse Nunez for reasonable expenses which are submitted to the City Council within thirty (30) days of occurrence for approval and which are supported by expense receipts, statements or personal affidavits, and an audit thereof in like manner as other demands against the City. For the avoidance of doubt, this paragraph is intended to apply to business expenses that Nunez himself directly incurs in performance of his job duties. 553 City Council 32 — 13 8/20/2024 14. Performance Evaluation. The City Council shall conduct a "mini" review and evaluate the performance of Nunez at the first regular meeting that is at least 120 days following the commencement of his job as City Manager. At least annually thereafter, the City Council shall conduct a review and evaluate the performance of Nunez in his role as City Manager in accordance with the City Charter. At the election of either Nunez or the City Council, the format of such evaluation shall be a facilitated evaluation conducted by a third -party facilitator that is mutually agreeable to both the City Council and Nunez, at the City Council's expense. If neither the City Council nor Nunez elect for a facilitated evaluation, the format of the evaluation shall be as determined by the City Council. The City Council shall provide Nunez with an evaluation of his performance based on criteria established by the City Council with the assistance of Nunez and/or the facilitator, if so elected. Nunez shall be provided an adequate opportunity to discuss his evaluation with the City Council. The annual evaluations are expected to take place within one month before or after the Anniversary Date, or at any other time as requested by Nunez. Notwithstanding the foregoing, the City Council may evaluate Nunez at any time. 16. Indemnification. In accordance with and consistent with applicable law, the City shall provide Nunez with a defense and indemnification, and shall hold Nunez harmless from and against any and all claims, actions, or causes of action of any kind for which Nunez may be held liable and which arise out of or relate to Nunez's performance of his job duties at City, in accordance with the requirements of the California Government Code. In addition and in accordance with and consistent with applicable law, the City shall defend, at the City's expense and with counsel of the City's choosing, any action, claim, or proceeding in which Nunez is named and which alleges actions on the part of Nunez, or failures to act, within the scope of the above -referenced indemnity obligation. Notwithstanding the foregoing, any funds provided for the legal criminal defense of Nunez, if such were authorized, shall be fully reimbursed to the City if Nunez is convicted of a crime involving an abuse of his office or position, in accordance with Government Code section 53243.1. This Section will survive the termination of the Agreement. 16. Bonding. The City shall bear the full cost of any fidelity or other bonds required of Nunez, acting as City Manager of the City, under any law or ordinance. 553 City Council 32 — 14 8/20/2024 17. Other Terms and Conditions of Employment. The City Council may by resolution or contract amendment from time to time fix other terms and conditions of Nunez's employment as the City may determine relating to the performance of his duties as City Manager, provided that such terms and conditions are not inconsistent or in conflict with the provisions of this Agreement, the City's Municipal Code, and all applicable laws. 18. Notices. Notices given under this Agreement shall be in writing and shall be served personally or sent by Federal Express or some equivalent private overnight delivery service. Notices shall be deemed received at the earlier of actual receipt or two (2) days following transmission to an overnight carrier. City Attn: City Council City of Santa Ana 20 Civic Center Plaza Santa Ana, CA 92701 Nunez With a copy to: Santa Ana City Attorney City of Santa Ana 20 Civic Center Plaza Santa Ana, CA 92701 To the address on file with the City's Human Resource Department 19. Arbitration. Any controversy or claim arising out of the interpretation or performance of this Agreement, or otherwise pertaining to this Agreement or Nunez's appointment and service as the City Manager, shall be resolved by binding arbitration in Orange County, California, in accordance with the rules of the Judicial Arbitration and Mediation Services, Inc., or such other arbitration service that the City and Nunez may mutually select; and the arbitration award may be enforced as provided by California law. 553 City Council 32 — 15 8/20/2024 The City shall be solely responsible for the costs of administration and the costs of the arbitrator. 20. Assignment. This Agreement is not assignable by either the City or Nunez. The City and Nunez acknowledge that this Agreement is a personal services agreement for the personal services of the City Manager. 21. General Provisions a. The text herein shall constitute the entire agreement between the Parties. No representations have been made or relied upon except as set forth herein. The Agreement is deemed to have been prepared by all of the Parties hereto, and any uncertainty or ambiguity herein shall not be interpreted against the drafter, but rather, if such ambiguity or uncertainty exists, shall be interpreted according to the applicable rules of interpretation of contracts under the law of the State of California. The use of section headings in this Agreement is provided for convenience only and will not have any impact on the interpretation of particular provisions. b. If Nunez dies or becomes incapacitated during the Term of this Agreement, any accrued and unpaid wages provided by the terms of this Agreement shall be paid by City to Nunez's spouse or if no spouse, to Nunez's dependents. The Agreement shall be binding upon, or shall inure to the benefit of, the respective heirs, executors, administrators, successors and assigns of the Parties; provided, however, that Nunez may not assign Nunez's obligations hereunder. C. If any provision or portion hereof contained in this Agreement is held to be unconstitutional, invalid, or unenforceable, the remainder of this Agreement or portion thereof shall be deemed severable and shall not be affected and shall remain in full force and effect. d. This Agreement represents the entire understanding of the City and Nunez as to those matters contained herein, and no prior oral or written understanding shall be of any force or effect with respect to those matters covered by this Agreement. Except as specifically authorized by this Agreement, this Agreement may not be modified, altered or amended, except in writing approved by the City Council at a regular public meeting and Nunez, and signed by the Mayor and Nunez. 553 City Council 32 — 16 8/20/2024 e. Nunez is expected to conform to the ICMA Code of Ethics. Nunez shall not engage in any business or transaction, or have a financial or other personal interest or association, direct or indirect, that is in conflict with the proper discharge of his official duties or that would tend to impair the independence of his judgment or action in the performance of his official duties. Nunez shall also be subject to the conflict of interest provisions of the Government Code of the State of California, the City's Municipal Code, and any other conflict of interest regulations applicable to Nunez's employment with the City. f. This Agreement shall be construed in accordance with the laws of the State of California and the parties agree that venue shall be in the state court in the County of Orange, California. g. Nunez acknowledges that he has had the opportunity to consult legal counsel in regard to this Agreement, that he has read and understands this Agreement, that he is fully aware of its legal effect, and that he has entered into it freely and voluntarily and based on his own judgment and not on any representations or promises other than those contained in the Agreement. IN WITNESS WHEREOF, the City and Nunez have executed this Agreement as of the day and year first above written. NUNEZ ALVARO N U N EZ CITY OF SANTA ANA VALERIE AMEZCUA, MAYOR 553 City Council 32 = 17 8/20/2024 ATTEST: JENNIFER L. HALL, CITY CLERK APPROVED AS TO FORM: f U SONIA CARVALHO, CITY ATTORNEY 553 City Council 32 — 18 8/20/2024 Human Resources Department www.santa-ana.org/human-resources Item # 33 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report August 20, 2024 TOPIC: Staff Development Resources for City of Santa Ana Employees AGENDA TITLE Agreement with Franklin Covey Client Sales, Inc. for Training Resources for Citywide Staff Development (General Fund) RECOMMENDED ACTION Authorize the City Manager to execute a sole source agreement with Franklin Covey Client Sales, Inc. to provide staff development resources for City of Santa Ana employees, for a term beginning July 15, 2024 and expiring July 14, 2027, for an aggregate amount not to exceed $90,960 (Agreement No. A-2024-XXX). GOVERNMENT CODE §84308 APPLIES: Yes DISCUSSION The Human Resources Department utilized training resources provided by FranklinCovey over the past year to efficiently offer leadership courses to staff. These resources have included training curriculum, course materials, web -based training platform, etc., via their All Access Pass subscription. The Human Resources Department has dedicated one full-time Organizational Development and Training Manager to provide training with the assistance of other staff. By utilizing this subscription for the curriculum and course materials, this manager was able to bring new courses to the City without spending time developing the materials internally. The Human Resources Department requests to renew the FranklinCovey All Access Pass program for a three-year period. Santa Ana City Ordinance No. NS-3041 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 researched available procurement options and product offerings in the market and determined that the training and staff development resources offered by Franklin Covey Client Sales, Inc. meets the City's needs. FranklinCovey training curriculum, materials, and related offerings are proprietary and cannot be sourced through any other supplier. Additionally, over the past year, staff experience with FranklinCovey has been exceptionally positive; staff has worked with the supplier to develop custom solutions for the City, and training City Council 33 — 1 8/20/2024 Staff Development Resources for City of Santa Ana Employees August 20, 2024 Page 2 participants have reported that their experience has been excellent. FranklinCovey provides cost efficient and proven leadership and management training programs which include instructor certification. Their breadth of high quality courses is greater than other vendors. To obtain access to a similar catalog of materials, agreements with several vendors would be needed, multiplying the cost. Their comprehensive package, which includes access to a wide range of resources and support services, represents a cost- effective solution compared to piecemeal offerings from multiple providers. Employees have reported tangible improvements in their leadership capabilities, productivity, and job satisfaction as a direct result of participating in FranklinCovey training sessions. By continuing our partnership with FranklinCovey, we gain access to their proprietary methodologies, tools, and frameworks, which are not readily available from other vendors. The proposed agreement includes subscription to the All Access Pass and funds for purchase of training materials as needed. ENVIRONMENTAL IMPACT The consideration and approval of the proposed action do not constitute a project under the California Environmental Quality Act. FISCAL IMPACT Funding is available in the current FY 2024-25 budget and funding for subsequent fiscal years will be included in the proposed budget for City Council consideration. Fiscal Year Accounting Unit- Fund Accounting Amount Account # Description Unit, Account Description 24-25 01109050-62120 General Fund Human $30,320 Resources Training, Transportation, Meeting 25-26 01109050-62120 General Fund Human $30,320 Resources Training, Transportation, Meeting 26-27 01109050-62120 General Fund Human $30,320 Resources Training, Transportation, Meeting Total $90,960 City Council 33 — 2 8/20/2024 Staff Development Resources for City of Santa Ana Employees August 20, 2024 Page 3 EXHIBIT(S) 1. Agreement Submitted By: Lori Schnaider, Executive Director of Human Resources Approved By: Alvaro Nunez, City Manager City Council 33 — 3 8/20/2024 . Franklin Covey Client Sales, Inc. FranklinCovey 2200 West Parkway Boulevard go- Salt Lake City, Utah 84119 FRANKLIN COVEY ALL ACCESS PASS° LICENSE AGREEMENT This License Agreement (the "Agreement") is entered into between Franklin Covey Client Sales, Inc. ("FranklinCovey"), and the following organization (hereinafter referred to as "Client") and allows certain Client employees ("Passholders") access to the FranklinCovey Solutions (described below). Client Organization: Contact Person: Address: Telephone: Email: License Information ili One-time Discount FranklinCovey Solutions City of Santa Ana - CA Sofia Style 20 Civic Center Plz Santa Ana, California 92701-4058 714-647-5400 sstyle@santa-ana.org Building Business AcumenTM Change: How to Turn Uncertainty Into Opportunity FranklinCovey Exercises FranklinCovey Modules FranklinCovey Microlearning Fundamental Beliefs of Trust & Inspire Leaders Inclusive Leadership: Practical Ways to Cultivate Inclusion and Build a Better TeamrM Inclusive Hiring and Advancement Leading at the Speed of Trust® Leading Customer Loyalty® Meeting Advantage TM Multipliers®: How the Best Leaders Ignite Everyone's Intelligence Navigating Difficult ConversationsrM Optional Passholder-Only Products/Services Presentation Advantage® Project Management for the Unofficial Project ManagerTM The 4 Essential Roles Leadership Series The 4 Essential Roles of LeadershipTM The 5 Choices to Extraordinary Productivity® The 6 Critical Practices for Leading a TeamrM The 7 Habits for Managers® The 7 Habits of Highly Effective People® Foundations The 7 Habits of Highly Effective People® Signature Program The 7 Habits® Leader Implementation Unconscious Bias: Understanding Bias to Unleash PotentialTM Working at the Speed of Trust® Writing Advantage® City Council 33 — 4 8/20/2024 Page 1 of 4 AAP License Agreement/Revised 6-2024 Client may contact FranklinCovey via email to request additional licenses or optional products and/or services. For some products and services where additional terms are necessary, an order form will be issued. If this Agreement is executed by Client after the License Start Date above, FranklinCovey may adjust the License Start and End Date based on the date FranklinCovey activates the License and provided the License Term does not change. Such change shall not affect the License Fee. Terms and Conditions A. Grant of Rights. FranklinCovey grants Client a limited, non-exclusive, non -transferable, revocable license for the Passholders, for whom fees have been paid, to (a) print or download from FranklinCovey's web -based platforms, the participant and facilitator Materials as they exist (collectively "Materials'); and (b) create "Compilations," which means a Passholder's right to take portions of the downloadable Materials and use them in accordance with the terms of this Agreement and specifically in accordance with the Guidelines attached hereto as Exhibit A. B. Limitations to Grant of Rights. Client agrees not to make, or allow its employees to make, Derivative Works (defined by U.S. Copyright Law, 17 U.S.C. §101, as amended). Client will effectively communicate to its Passholders that the Materials are copyright -protected and the proprietary property of FranklinCovey, and that neither Client nor its employees shall file share, distribute to a third party, or publicly post (Slide Share, YouTube, etc.) any of the Materials except as provided for herein. Client acknowledges and agrees that it will take commercially practicable means as technologically feasible, to prevent the Materials from being used or accessed without proper authorization. Materials designated as "Facilitator Materials" are intended for use by Passholders certified to deliver the FranklinCovey Solutions. Non-Passholders are not eligible for Passholder pricing. Training must be delivered and participant Materials consumed during the License Term. C. Term. This Agreement shall commence on the License Start Date and continue as indicated in the table above (all terms in the table are collectively referred to as the "Initial Term") and is non -cancelable except for a material breach as described in "Termination and Events of Termination" below. D. Termination and Events of Termination. Either party may terminate this Agreement with 30 days written notice of a material breach of this Agreement only, if uncured within such 30 day period. Upon termination of each Passholder license, such Passholders shall immediately (a) discontinue all use of the FranklinCovey Solutions; (b) discontinue all use of Compilations; and (c) remove all FranklinCovey content from Compilations which were blended with Client content. Notwithstanding the foregoing, Passholders who received the Participant materials prior to termination may continue to use them for their personal use to apply the concepts learned from a FranklinCovey Solution. E. Fees and Payment Terms. Client agrees to pay FranklinCovey the non-refundable non-prorateable fees described above at the beginning of each license term and within 45 days of the receipt of an invoice. Additional Products and/or Services ordered under this Agreement shall be payable when delivered. Pricing does not include applicable sales and use taxes, shipping & handling fees, or travel expenses, which are the responsibility of the Client. Interest shall accrue on all delinquent accounts at the rate of 1.5% per month. Pricing for License Fees is fixed during the Initial Term and is subject to an increase annually thereafter. Pricing for Services and Products is subject to an increase upon sixty (60) days' notice. F. Returning Participant Materials. Participant materials shipped from and delivered to locations in the U.S. and Canada are eligible for refund if returned unused to FranklinCovey within thirty (30) days of purchase. Customized products and electronic participant materials are not accepted for return or exchange. Participant materials shipped from and delivered to locations outside the U.S. and Canada are not eligible for a refund. G. Administrative Services. Administrative Services include uploading participants to the portal, providing standard usage reports, turning content on and off, sending login details to passholders, setting up teams within the pass, exporting user lists, and providing spreadsheets. H. Single Sign On (SSO). In the event Client utilizes SSO integration, FranklinCovey shall provide Passholders with SSO access to the platform utilizing SAML 2.0 technology. Activation is contingent on successful compatibility and testing. User authentication is controlled by Client's SSO system and responsibility for password complexity and length are the sole responsibility of Client's SSO system following activation. I. Third Party Restrictions. The facilitator videos, Microlearning (formerly known as Jhana), exercises, and modules may not be modified or edited in any way. Certain facilitator program videos may not be embedded into the facilitator PowerPoint. Digital access is not available with certain ancillary participant materials. These program videos and materials, including, but not limited to Creative Juicers, FranklinCovey Style Guide, Managing Essentials, Leadership Essentials, and Leadership Foundations Handbook, may be purchased separately, upon request. J. Copyright. Client acknowledges that FranklinCovey or its licensors exclusively own all proprietary rights and copyrights to the FranklinCovey Solutions, Materials, and training sessions, including, but not limited to, any related documentation, images, animation, sound, music, and text, and Client shall communicate the same to Participants. Any unauthorized use, reuse, copying, reproduction, recording, transmittal, modification, or revision of the FranklinCovey Solutions, Materials, or training sessions is expressly prohibited and will constitute a breach ofthis Agreement and/or copyright laws. K. Insurance. FranklinCovey will procure and maintain, at its sole expense, the minimum insurance requirements set forth in Exhibit B to this License Agreement. City Council 33 — 5 8/20/2024 Page 2 of 4 AAP License Agreement/Revised 6-2024 1. Limitation of Liability. FranklinCovey does not make any warranty, guarantee, or representation, either express or implied (1) regarding the merchantability or fitness for a particular purpose of the FranklinCovey Solutions, or (2) that certain results may be obtained in connection with the use of the FranklinCovey Solutions. FranklinCovey does not assume any responsibility for any damage or loss caused by the misuse of the FranklinCovey Solutions, the misuse of software, hardware or systems of any third -party or Client. FranklinCovey shall not be liable for any consequential or incidental arising from this Agreement or the FranklinCovey Solutions provided hereunder. FranklinCovey's aggregate liability to Client in relation to any claims arising under this Agreement shall not exceed three times the total amount due to FranklinCovey under this Agreement. M. Force Majeure. Neither Client nor FranklinCovey shall be required to perform anyterm, condition, or covenant of this agreement so long as such performance is delayed or prevented by acts of God, material or labor restriction by any governmental authority, civil riot, floods, hurricanes, or other natural disasters, or any other cause not reasonably within the control of Client or FranklinCovey. N. Data Privacy. During the course of this Agreement, FranklinCovey will process Personal Data (defined herein) on behalf of Client. FranklinCovey agrees to comply with all laws and regulations as prescribed by the European Union GDPR, California Consumer Privacy Act (CPPA), and the Freedom of Information and Protection of Privacy Act (FIPPA). If Client requires the parties enter into a Data Processing Addendum, FranklinCovey will send such addendum for Client to fill in and sign. As used in this Agreement "Personal Data" means all data that is defined as 'personal data' under EU Data Protection Laws and to which EU Data Protection Laws apply, and to which CCPA and FIPPA laws apply, and which is provided by Client to FranklinCovey, and accessed, stored or otherwise processed by FranklinCovey. O. Confidentiality Between FranklinCovey and Client. Each party may disclose information to the other Party, or otherwise learn such information, that is designated as confidential orthat reasonably should be understood to be confidential ("Confidential Information"). Each Party agrees to only use the other Party's Confidential Information for its intended purpose and agrees to maintain the confidentiality of Confidential Information during the term of this Agreement and for a period of one (1) year following termination of this Agreement. Each Party shall provide prompt notification to the other Party of any unauthorized access to or disclosure of the other Party's Confidential Information. The term "Confidential Information" shall not include any information that is or becomes publicly and widely known through no wrongful act of the Parties, nor shall it include information that was independently developed by a Party without use of the other Party's Confidential Information. P. Entire Agreement. This Agreement represents the entire understanding between the parties and supersedes all prior agreements, whether written or oral, relating to the subject matter hereof. In the event any terms contained in any subsequent purchase order (or similar document) sent or received in connection with this Agreement are inconsistent with the terms of this Agreement, the terms of this Agreement shall prevail. This Agreement may only be modified or amended in writing signed by a duly authorized representative of each party. Q. Affirmative Action/Equal Opportunity Employer. FranklinCovey complies with the EEO clause of EO 11246, as amended and the provisions of 41 CFR Section 60-300.5(a); 41 CFR Section 60-741.5(a); 41 CFR Section 60-1-4(a) and (c); 41 CFR Section 60-1.7(a); 48 CFR Section 52.222-54(e); and 29 CFR Part 471, Appendix A to Subpart A with respect to affirmative action program and posting requirements. 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 Acting City Manager APPROVED AS TO FORM CONSVLTAN-T SONIA R. CARZiALHO City Attorney By onathan T. Martinez By: Assistant City Attorney Title: FOR APPROVAL: h2l� Vi&14 �' L W Schuaider Executive Director Human Resources Page 3 of City Council 33 — 6 AAP Lice ns enrr2b eyised 6-20M Franklin Covey CW Sales, Inc. City of Santa Ana - CA Signature: Signature: By: Kimberly Neville By: Title: Legal Director Title: Effective Date: Exhibit A GUIDELINES FOR ALL ACCESS PASSHOLDERS FOR CREATING COMPILATIONS As a FranklinCovey Passholder, you are allowed to combine segments from the FranklinCovey content included in your pass, even with your own content, for use for the population included in your All Access Pass agreement subject to the guidelines provided herein. Consider this example: Your organization requires help with communication and trust. Using the listening skills from Habit 5 of The 7 Habits of Highly Effective People® Signature program and the 13 Trust Behaviors from Speed of Trust® Foundations, combine them to create a single training designed to improve these specific skills and behaviors. Or, perhaps you have your own internal content on effective communication skills that reinforces your company's values, and you would like to combine it with related FranklinCovey content. As long as the FranklinCovey content is properly attributed, you can do this, as well, adding your own examples or application exercises to the FranklinCovey solution. If you would like help designing custom solutions, your organization is eligible for discounted FranklinCovey Passholder pricing for our customization services. The following guidelines are provided to ensure that FranklinCovey's intellectual property, as well as the intellectual property of our partners and other third parties, is respected as you work with our content. What you can do: • You are allowed to use FranklinCovey ideas, models, or concepts in combination with other FranklinCovey content included in your pass, or your own content for the Passholder population only identified in your All Access Pass, as long as they are properly attributed. The following statement is an example of proper attribution: ©FranklinCovey Co. All rights reserved. Used herein with permission under an existing license agreement. • You are required to include specific trademark notations (® or TM) found in our content. For example, The 7 Habits of Highly Effective People® What you can't do: • You are not allowed to use FranklinCovey ideas, models, or concepts outside of the Passholder population covered by your FranklinCovey All Access Pass agreement. • You are not permitted to use FranklinCovey ideas, models or concepts without proper copyright attribution. • You are not allowed to edit or disassemble quotes, videos, or extract music, images, or other media elements for use in a way that is separate from our content. We realize they may add professional appeal, but they are licensed materials limited for use, as is, within the FranklinCovey Solutions. • You can't change the names, titles, or terminology of our content, or otherwise create "derivative works' as defined by U.S. copyright laws. For example, you aren't allowed to change, adapt, or modify the name of one of the 7 Habits® or change, adapt, or modify the shape of a model or diagram. You must use our content as it exists. • You cannot sell, relicense, repackage, or otherwise give FranklinCovey content to others. • You cannot do anything that compromises FranklinCovey's ownership of its intellectual property or its rights. • You cannot use FranklinCovey intellectual property in a way that disparages its brand or tarnishes its image. FranklinCovey is proud of its content and wants it to be presented in the best possible way. As long as you have a current FranklinCovey All Access Pass agreement, you can continue to use our content as outlined above. If, for some reason, you choose not to renew your All Access Pass license, you must discontinue use of all FranklinCovey intellectual property including content, ideas, models, videos, nization. City Council 33 — 8/2 /2024 Page 4 of 4 AAP License Agreement/Revised 6-2024 Exhibit B - Insurance Requirements Prior to undertaking performance of work under this Agreement, FranklinCovey shall procure and maintain for the duration of the contract insurance against claims for injuries to persons or damages to property that may arise from or in connection with the performance of the work hereunder and the results of that work by FranklinCovey, their agents, representatives, employees or subcontractors. a. Minimum Scope and Limit of Insurance 1. Commercial General Liability (CGL): Insurance Services Office Form CG 00 01 covering CGL on an "occurrence" basis, including products and completed operations, property damage, bodily injury and personal & advertising injury with limits no less than $1,000,000 per occurrence. If a general aggregate limit applies, either the general aggregatelimit shall apply separately to this project/location (ISO CG 25 03 or 25 04) or the general aggregate limit shall be twice the required occurrence limit. 2. Workers' Compensation: 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. 3. Professional Liability (Errors and Omissions): insurance appropriate to FranklinCovey's profession with a limit no less than $1,000,000 per occurrence or claim, $2,000,000 aggregate. 4. Broader Coverage: if FranklinCovey maintains broader coverage and/or higher limits than the minimums shown above, the City requires and shall be entitled to the broader coverage and/or the higher limits maintained by FranklinCovey. Any available insurance proceeds in excess of the specified minimum limits of insurance and coverage shall be available to the City. b. Other Insurance Provisions 1. 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 FranklinCovey including materials, parts, or equipment furnished in connectionwith such work or operations. General liability coverage can be provided in the form of an endorsement to FranklinCovey's insurance (at least as broad as ISO Form CG 20 10 11 85 or if not available, through the addition of both CG 20 10, CG 20 26, CG 20 33, or CG 20 38; and CG 2037 if a later edition is used). 2. Primary Coverage: For any claims related to this contract, FranklinCovey's insurance coverage shall be primary coverage at least as broad as ISO CG 20 0104 13 as respects the City, its officers, officials, employees, and volunteers. Any insurance or self - City Council 33 — 8 8/20/2024 insurance maintained by the City, its officers, officials, employees, or volunteers shall be excess of FranklinCovey's insurance and shall not contribute with it. 3. Notice of Cancellation: Each insurance policy required above shall provide that coverage shall not be canceled, except with notice to the City. 4. Waiver of Subrogation: FranklinCovey hereby grants to City a waiver of any right to subrogation that any insurer of FranklinCovey may acquire against the City by virtue of the payment of any loss under such insurance. FranklinCovey 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. 5. Self -Insured Retentions: Self -insured retentions must be declared to and approved by the City. The City may require the FranklinCovey to purchase coverage with a lower retention or provide proof of ability to pay losses and related investigations, claim administration, and defense expenses within the retention. The policy language shall provide, or be endorsed to provide, that the self -insured retention may be satisfied by either the named insured or City. 6. 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. 7. Claims Made Policies: If any of the required policies provide claims -made coverage: i. The Retroactive Date must be shown, and must be before the date of the contract or the beginning of contract work. ii. Insurance must be maintained and evidence of insurance must be provided for at least five (S) years after completion of the contract of work. iii. 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, FranklinCovey must purchase "extended reporting" coverage for a minimum of five (S) years after completion of work. 8. Verification of Coverage: FranklinCovey shall furnish the City with original Certificates of Insurance including all required amendatory endorsements (or copies of the applicable policy language effecting coverage requiredby this clause) and a copy of the Declarations and Endorsement Page of the CGL policy listing all policy endorsements to City before work begins. However, failure to obtain the required documents prior to the work beginning shall not waive FranklinCovey's obligation to provide them. City Council 33 — 9 8/20/2024 The City reserves the right to require complete, certified copies of all required insurance policies,including endorsements required by these specifications, at any time. 9. Subcontractors: FranklinCovey shall require and verify that all subcontractors maintain insurance meeting all the requirements stated herein, and FranklinCovey shall ensure that City is an additional insured on insurance required from subcontractors. 10. Special Risks or Circumstances: City reserves the right to modify these requirements, including limits, based on the nature of therisk, prior experience, insurer, coverage, or other special circumstances. City Council 33 — 10 8/20/2024 Human Resources www.santa-ana.org/human-resources Item # 34 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report August 20, 2024 TOPIC: Adoption of an Extension and First Amendment to the Memorandum of Understanding ("MOU") by the Service Employees International Union Local 721 Part - Time Civil Service Employees Unit ("SEIU-PTCS") TITLE Adoption of an Extension and First Amendment to the Memorandum of Understanding ("MOU") by the Service Employees International Union Local 721 Part -Time Civil Service Employees Unit ("SEIU-PTCS") RECOMMENDED ACTION Authorize the City Manager to execute an extension and first amendment to the existing Memorandum of Understanding with SEIU-PTCS regarding wages, hours, and other terms and conditions of employment effective through June 30, 2025, and authorize non -substantive changes, which may be necessary to implement the agreement (Agreement No. A-2024-XXX). GOVERNMENT CODE §84308 APPLIES: No DISCUSSION The City and SEIU-PTCS agreed upon an extension of the existing MOU along with certain amendments regarding salary increases and city holidays. The extension and amendment provide the following: 1. Term: The original term of the contract was from July 1, 2019 through June 30, 2022. The extension would lengthen the term through June 30, 2025. 2. Salary: a. A base salary increase of six (6) salary rate ranges, which is approximately three percent (3%) effective July 1, 2022. b. Three percent (3%) wage increase effective the first full pay period after July 1, 2023. c. Three percent (3%) wage increase effective the first full pay period after July 1, 2024. City Council 34 — 1 8/20/2024 Adoption of an Extension and First Amendment to the Memorandum of Understanding ("MOU") by the Service Employees International Union Local 721 Part -Time Civil Service Employees Unit ("SEIU-PTCS") August 20, 2024 Page 2 3. City Holidays: Beginning in 2024, the addition of Cesar Chavez Holiday (March 31). The provisions of this MOU are consistent with the wage increases and benefits provided to the SEIU full-time unit. ENVIRONMENTAL IMPACT There is no environmental impact associated with these actions. FISCAL IMPACT The estimated cost of the agreement during the additional three (3)-year period is $6,586 to the General Fund. EXHIBIT First Amendment and Extension to the Memorandum of Understanding between the City of Santa Ana and Part -Time Civil Service Employees Unit Service Employees International Union Local 721 Submitted By: Lori Schnaider, Executive Director of Human Resources Approved By: Alvaro Nunez, City Manager City Council 34 — 2 8/20/2024 FIRST AMENDMENT AND EXTENSION TO THE MEMORANDUM OF UNDERSTANDING BETWEEN THE CITY OF SANTA ANA AND PART-TIME CIVIL SERVICE EMPLOYEES UNIT SERVICE EMPLOYEES INTERNATIONAL UNION LOCAL 721 This Extension and First Amendment to the Memorandum of Understanding ("MOU") is entered into on August 20, 2024, by and between the City of Santa Ana, a charter City and municipal corporation organized and existing under the Constitution and the laws of the State of California ("City") and the part-time civil service employees unit Service Employees International Union Local 721 ("SEIU" or "Union") a recognized employee bargaining unit (collectively "Parties" or singularly a "Party.) RF('ITAI WHEREAS, the Parties entered into an MOU with a term of July 1, 2019 to June 30, 2022; and WHEREAS, the Parties have met and agreed to extend the term of the MOU through June 2025; and WHEREAS, the Parties have met and agreed to certain amendments to the MOU regarding salary increases and city holidays. THE PARTIES THEREFORE AGREE as follows (additions are in bold and deletions are stricken): 1. Exhibit "A" to the MOU will be amended to substitute the attached Exhibit A for the previous Exhibit A to reflect the current list of represented part-time civil service classifications. 2. Section 4.3, Salaries, is amended to add the following- D. A base salary increase of six (6) salary rate ranges, which is approximately three percent (3%) effective July 1, 2022, E. Three percent (3%) wage increase effective the first full pay period after July 1, 2023. F. Three percent (3%) wage increase effective the first full pay period after July 1, 2024. City Council 34 — 3 8/20/2024 3. Section 7.1,City Holidays, is amended to read as follows: A. City paid holidays observed by the City are as follows: o January 1 - New Year's Day. o Third (3rd) Monday in January - In observance of Martin Luther King, Jr.'s Birthday. o Third (3rd) Monday in February - In observance of President's Day. o March 31 - In commemoration of Cesar Chavez Day (effective the first holiday after January 1, 2024). o Last Monday in May - In commemoration of Memorial Day. o July 4 - In observance of Independence Day. o First (1st) Monday in September - In observance of Labor Day. o November 11 - In observance of Veteran's Day. o Fourth (4th) Thursday in November - In observance of Thanksgiving Day. o The Friday immediately following Thanksgiving Day. o Last working day before Christmas Day, unless Christmas Day falls on Thursday, in which instance, the day following Christmas Day shall be observed in lieu thereof. o December 25 - In observance of Christmas Day. o One (1) Floating Holiday - Any workday selected by the employee with prior permission of the employee's supervisor. o Every day proclaimed by the Mayor of the City as a holiday for City employees. o Any holiday which falls on a Sunday will be observed on the following Monday. City Council 34 — 4 8/20/2024 o Any holiday which falls on a Saturday will be observed on the Friday preceding the holiday. Each employee shall receive no less than a total of seventy-two (72) hours of paid holidays per calendar year. Effective January 1, 2024 each employee shall receive no less than a total of seventy-eight (78) hours of paid holidays per calendar year. 4. Section 22.1, TERM OF MOU, will be amended to read as follows: The term of this MOU shall be from July 1, 2019 through June -39,z92-2 June 30, 2025 5. Section 20.4 entitled No New Membership is added to Article XX as follows: 20.4 No New Membershi Upon approval of this First Amendment and Extension, the City and the Union agree that no new employees will be added to this unit. [This section intentionally left blank] City Council 34 — 5 8/20/2024 EXECUTION OF THE FIRST AMENDMENT AND EXTENSION OF AGREEMENT This First Amendment and Extension was ratified by a simple majority vote of unit employees who are in part-time civil service classifications represented by the Union. This MOU was approved by a vote of the City Council of the City of Santa Ana. Following its execution by the parties hereto, the City Council shall implement its terms and conditions by appropriate lawful action. In witness thereof, the parties have caused this agreement to be executed this ATTEST: day of , 2024. PARTIES TO THE AGREEMENT SEW Local 721 Robert Feria, Chief Negotiator SEIU Local 721 Jennifer Hall, City Clerk City of Santa Ana Valerie Amezcua Mayor Alvaro Nunez Acting City Manager Lori �Schn�aider Executive Director of Human Resources APPROVED AS TO FORM: iaw�o. 4. Laura Rossini Chief Assistant City Attorney City Council 34 — 6 8/20/2024 EXHIBIT A SEIU PART-TIME CIVIL SERVICE REVISED AUGUST 20, 2024 HOURLY WAGE RATE SCHEDULE EFFECTIVE DULY 1, 2022 TO DULY 1, 2023 JOB TITLE JOB CODE AA A B C D E Assistant Buyer 09030 29.86 31.35 32.92 34.57 36.29 38.11 Office Assistant 09761 21.40 22.48 23.60 24.79 26.03 27.35 Park Maintenance Aide July 1, 2022 to December 31, 2022 09299 13.08 13.74 14.42 15.15 15.91 16.71 Park Maintenance Aide January 1, 2023 to July 1, 2023 09299 16.77 17.61 18.49 19.41 20.38 21.40 Secretary 09762 26.68 28.03 29.43 30.90 32.44 34.07 Senior Community Development Analyst 09920 44.78 47.01 49.37 51.84 54.43 57.15 HOURLY WAGE RATE SCHEDULE EFFECTIVE JULY 2, 2023 TO JULY 13, 2024 JOB TITLE JOB CODE AA A B C D E Assistant Buyer 09030 30.76 32.29 33.91 35.61 37.39 39.25 Office Assistant 09761 22.04 23.15 24.31 25.53 26.80 28.17 Park Maintenance Aide 09299 17.27 18.14 19.04 20.00 20.99 22.04 Secretary 09762 27.48 28.87 30.31 31.83 33.42 35.09 Senior Community Development Analyst 09920 46.12 48.42 50.85 53.40 56.06 58.86 HOURLY WAGE RATE SCHEDULE EFFECTIVE DULY 14, 2024 JOB TITLE JOB CODE AA A B C D E Assistant Buyer 09030 31.68 33.26 34.92 36.68 38.50 40.43 Office Assistant 09761 22.71 23.84 25.04 26.30 27.61 29.01 Park Maintenance Aide 09299 17.79 18.68 19.62 20.60 21.62 22.71 Secretary 09762 28.30 29.74 31.22 32.79 34.42 36.14 Senior Community Development Analyst 09920 47.50 49.88 52.37 55.00 57.75 60.63 City Council 34 - 7 8/20/2024 Human Resources www.santa-ana.org/human-resources Item # 35 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report August 20, 2024 TOPIC: Resolution to Effect Certain Changes to the City's Basic Classification and Compensation Plan for Service Employee International Union (SEIU) Represented Employees AGENDA TITLE Resolution to Effect Certain Changes to the City's Basic Classification and Compensation Plan for Service Employee International Union (SEIU) Represented Employees RECOMMENDED ACTION Adopt a Resolution to effect certain changes to the City's basic classification and compensation plan for Service Employee International Union (SEIU) Represented Employees. RESOLUTION NO. 2024-XXXX entitled A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA TO EFFECT CERTAIN CHANGES TO THE CITY'S CLASSIFICATION AND COMPENSATION PLAN GOVERNMENT CODE §84308 APPLIES: No DISCUSSION Each year, the Classification and Compensation Resolution is presented to City Council to: • Update job classifications to reflect current standards; • Add new job classifications as requested by departments to meet their operational needs; • Remove job classifications that are no longer in use, not filled by employees, and not budgeted; and • Establish the FY 2024-25 Salary Schedule to reflect wage increases set forth in the Memorandums of Understanding (MOUs) negotiated with the employee bargaining groups. Staff has met and conferred with SEIU, and discussed each of the job classification changes in the proposed resolution. SEIU was provided with the changes on May 13, 2024, and management met and conferred with SEIU on June 4, June 11, June 25, July 2, and August 5 to obtain agreement for the recommended removal of certain job City Council 35 — 1 8/20/2024 Resolution to Effect Certain Changes to the City's Basic Classification and Compensation Plan for Service Employee International Union (SEIU) Represented Employees August 20, 2024 Page 2 classifications that are no longer in use and update job classifications. The removal of the job classifications has no impact on City employees or the budget. SEIU has stated that they are in agreement with all of the proposed changes. ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT The approved FY 2024-25 Budget includes enough funds for pay increases reflected in this document. EXHIBIT(S) 1. Classification and Compensation Employees Plan Resolution for SEIU Represented Submitted By: Lori Schnaider, Executive Director of Human Resources Approved By: Alvaro Nunez, City Manager City Council 35 — 2 8/20/2024 RESOLUTION NO. 2024-XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA TO EFFECT CERTAIN CHANGES TO THE CITY'S CLASSIFICATION AND COMPENSATION PLAN 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. Section 1004 of the City Charter requires the City Manager to prepare, install, and maintain a position classification and pay plan subject to civil service rules and regulations and the approval of the City Council. B. It is the City's practice to assign job titles that reflect the duties and responsibilities of classifications and are consistent with other classifications within the City's organizational structure, as well as comparable job titles in the labor market, while maintaining internal pay equity relationships and attracting and retaining qualified candidates. C. The City Council regularly amends the City's classification and compensation plan for all full-time and part-time classifications of officers and employees of the City. D. It is now desired to amend the City's classification and compensation plan as listed herein. Section 2. The Santa Ana City Council hereby amends the City's classification and compensation plan as follows: A. Create the following classifications: UNIT SEIU FT TITLE Site Director STEPS 7 MIN $5,438 MAX $7,287 SEIU FT Site Teacher 7 $4,696 $6,295 SEIU FT Tax Compliance Officer 7 $5,683 $7,613 SEIU FT Teacher's Aide 7 $3,678 $4,931 Resolution 2024-XXX 16 City Council 35 — 3 8/ 0 UNIT TITLE STEPS MIN MAX SEIU PT Lifeguard (Part -Time) 5 $18.99 $23.13 SEIU PT Parking Meter Technician 5 $27.50 $33.43 1 (Part -Time) SEIU PT Permit Services 5 $38.31 $46.57 Technician (Part -Time) SEIU PT Pool Manager (Part- 5 $23.37 $28.41 Time) SEIU PT Senior Lifeguard (Part- 5 $21.20 $25.77 Time) SEIU PT Substitute Teacher (Part- 5 $29.88 $36.32 Time) B. Delete the following classifications: UNIT SEIU FT TITLE DNA Coordinator STEPS 7 MIN $4,718 MAX $6,326 SEIU FT Police Fiscal Officer 7 $7,613 $10,211 SEIU PT Special Events Leader 1 5 $17.02 $20.69 SEIU PT Special Events Leader II 5 $20.77 $25.25 Resolution 2024-XXX City Council 35 — 4 8/ 0Vf 16 C. Change the compensation of the following classifications: FROM UNIT TITLE STEPS MIN MAX SEIU FT Construction Inspector 7 $6,326 $8,476 SEIU FT Senior Construction 7 $7,180 $9,625 Inspector SEIU PT Senior Special Employment Counselor 5 $17.22 $20.93 TO UNIT TITLE STEPS MIN MAX SEIU FT Construction Inspector 7 $6,974 $9,345 SEIU FT Senior Construction 7 $7,688 $10,313 Inspector SEIU PT Senior Special Employment Counselor 5 $22.39 $27.22 Resolution 2024-XXX City Council 35 — 5 8/ 0 16 D. Change the title of the following classifications: 2 3 4 5 2 3 4 5 FROM UNIT SEIU FT TITLE Recreation Leader STEPS 7 MIN $3,503 MAX $4,696 SEIU PT Clerk Typist 5 $22.27 $27.07 SEIU PT Community Center Aide 5 $22.26 $27.06 SEIU PT Program Coordinator 5 $20.19 $24.54 SEIU PT Program Leader 5 $16.61 $20.19 TO UNIT TITLE STEPS MIN MAX SEIU FT Recreation Specialist 7 $3,503 $4,696 SEIU PT Senior Office Assistant 5 $22.27 $27.07 (Part -Time) SEIU PT Community Center Aide 5 $22.26 $27.06 (Part -Time) SEIU PT Senior Program Leader 5 $20.19 $24.54 (Part -Time) SEIU PT Program Leader I (Part- 5 $16.61 $20.19 Time) Resolution 2024-XXX City Council 35 — 6 8/ 0 16 E. Change the title of the following classifications and make them Terminal (T): 2 2 FROM TO UNIT TITLE STEPS MIN MAX SEIU FT Senior Engineer (T) 7 $10,883 $14,585 SEIU PT Maintenance Attendant 5 $16.54 $19.78 (Part -Time) (T) F. Change the compensation and title of the following classifications: 2 3 2 3 FROM UNIT TITLE STEPS MIN MAX SEIU FT Building Technician 7 $5,029 $6,740 SEIU FT Combination Building 7 $6,514 $8,730 Inspector SEIU FT Senior Combination 7 $7,180 $9,625 Building Inspector TO SEIU FT Building Inspector 7 $6,610 $8,857 SEIU FT Senior Building Inspector 7 $7,287 $9,765 SEIU FT Building Inspector 7 $8,032 $10,775 Supervisor Resolution 2024-XXX rq City Council 35 — 7 818 16 G. Merge and change the compensation and/or title of the following classifications: FROM UNIT TITLE STEPS MIN MAX SEIU PT Recreation Facility 5 $18.09 $22.03 Attendant SEIU PT Senior Program Leader 5 $17.44 $21.20 TO Section 3. Compensation rates listed herein are inclusive of applicable Memorandum of Understanding salary increase provisions. Section 4. The Santa Ana City Council hereby approves the updated Salary Schedules for the Service Employees International Union Full -Time (SEIU FT) and Service Employees International Union Part -Time (SEIU PT) units, attached to this resolution as Exhibit A, reflecting classification and compensation amendments per this and previously approved City Council resolutions, and grouped by employee unit, as recommended by CalPERS, and in compliance with CalPERS California Code of Regulations section 570.5. Section 5. That except as amended by this resolution, all other provisions of the City's classification and compensation plan shall remain in full force and effect. Section 6. This resolution is effective August 25, 2024, which is the start date of the first full pay period after adoption of this resolution. ADOPTED this 20t" day of August 2024. Valerie Amezcua Mayor Resolution 2024-XXX 16 City Council 35 — 8 8/ 0 APPROVED AS TO FORM: Sonia R. Carvalho City Attorney Laura A. Rossini Chief Assistant City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers CERTIFICATE OF ATTESTATION AND ORIGINALITY I, Jennifer Hall, City Clerk, do hereby attest to and certify the attached Resolution No. 2024- to be the original resolution adopted by the City Council of the City of Santa Ana on August 20, 2024. Date: Jennifer L. Hall City Clerk City of Santa Ana Resolution 2024-XXX 16 City Council 35 — 9 8/ 0 EXHIBIT A SERVICE EMPLOYEES INTERNATIONAL UNION FULL-TIME (SEIU FT) MONTHLY WAGE RATE SCHEDULE EFFECTIVE AUGUST 25, 2024 REVISED AUGUST 20, 2024 JOB TITLE JOB CODE STEP AAA STEP AA STEP A STEP B STEP C STEP D STEP E Accountant I 01140 6,053 6,357 6,674 7,008 7,359 7,726 8,112 Accountant 11 01150 6,974 7,323 7,688 8,072 8,476 8,900 9,345 Accounting Assistant 07010 4,718 4,955 5,205 5,465 5,737 6,023 6,326 Accounting Assistant / Systems Technician 07015 4,718 4,955 5,205 5,465 5,737 6,023 6,326 Accounts Payable Supervisor 07009 8,032 8,436 8,857 9,301 9,765 10,262 10,775 Accounts Payable Technician 01345 4,718 4,955 5,205 5,465 5,737 6,023 6,326 Active Transportation Coordinator 01295 7,540 7,918 8,314 8,730 9,167 9,625 10,109 Arts and Culture Specialist 02845 6,053 6,357 6,674 7,008 7,359 7,726 8,112 Assistant Buyer 00270 5,230 5,491 5,765 6,053 6,357 6,674 7,008 Assistant Community Planner 07611 6,326 6,641 6,974 7,323 7,688 8,072 8,476 Assistant Engineer 01601 6,641 6,974 7,323 7,688 8,072 8,476 8,900 Assistant Fleet Services Technician 00530 4,626 4,857 5,103 5,359 5,627 5,908 6,203 Assistant Instrument Technician 04125 5,412 5,683 5,966 6,264 6,578 6,906 7,251 Assistant Librarian 05180 4,931 5,179 5,438 5,709 5,995 6,295 6,610 Assistant Park and Landscape Planner 00280 6,357 6,674 7,008 7,359 7,726 8,112 8,518 Assistant Plan Check Engineer 01410 9,033 9,485 9,960 10,458 10,981 11,530 12,106 Assistant Planner 1 00040 6,326 6,641 6,974 7,323 7,688 8,072 8,476 Assistant Planner 11 02440 6,974 7,323 7,688 8,072 8,476 8,900 9,345 Assistant Traffic Operations Engineer 02155 9,078 9,533 10,009 10,509 11,034 11,588 12,166 Associate Community Planner 02455 8,072 8,476 8,900 9,345 9,814 10,313 10,828 Associate Engineer 02100 9,033 9,485 9,960 10,458 10,981 11,530 12,106 Associate Park and Landscape Planner 01040 8,112 8,518 8,945 9,393 9,862 10,365 10,883 Associate Plan Check Engineer 02280 9,719 10,211 10,720 11,257 11,820 12,412 13,033 Associate Planner 02450 8,072 8,476 8,900 9,345 9,814 10,313 10,828 Bibliographic Technician 05150 4,696 4,931 5,179 5,438 5,709 5,995 6,295 Building Inspector 02230 6,610 6,940 7,287 7,650 8,032 8,436 8,857 Building Inspector Supervisor 06431 8,032 8,436 8,857 9,301 9,765 10,262 10,775 Building Maintenance Aide 04315 4,237 4,450 4,672 4,906 5,154 5,412 5,683 Building Maintenance Supervisor 04310 6,641 6,974 7,323 7,688 8,072 8,476 8,900 Building Maintenance Technician 04140 5,154 5,412 5,683 5,966 6,264 6,578 6,906 Business Tax Collector / Inspector 01240 5,307 5,572 5,850 6,143 6,450 6,773 7,110 Buyer 01350 6,450 6,773 7,110 7,468 7,841 8,234 8,645 Central Services Supervisor 07030 5,332 5,599 5,879 6,173 6,482 6,805 7,145 Civil Engineer 02132 9,719 10,211 10,720 11,257 11,820 12,412 13,033 Code Enforcement Associate 02780 5,154 5,412 5,683 5,966 6,264 6,578 6,906 Code Enforcement Officer 02740 6,388 6,707 7,042 7,395 7,765 8,153 8,560 Resolution 2024-XXX City Council 35 - 10 8/ 5xf 16 EXHIBIT A SERVICE EMPLOYEES INTERNATIONAL UNION FULL-TIME (SEIU FT) MONTHLY WAGE RATE SCHEDULE EFFECTIVE AUGUST 25, 2024 REVISED AUGUST 20, 2024 JOB TITLE JOB CODE STEP AAA STEP AA STEP A STEP B STEP C STEP D STEP E Code Enforcement Supervisor 00070 7,180 7,540 7,918 8,314 8,730 9,167 9,625 Community Development Analyst 07585 6,805 7,145 7,504 7,880 8,274 8,688 9,123 Community Development Commission Secretary 07321 4,648 4,881 5,128 5,385 5,655 5,937 6,234 Community Liaison 05000 7,008 7,359 7,726 8,112 8,518 8,945 9,393 Community Planning Assistant 00055 5,737 6,023 6,326 6,641 6,974 7,323 7,688 Construction Inspector 02240 6,974 7,323 7,688 8,072 8,476 8,900 9,345 Corporate Yard Maintenance Attendant 04070 3,900 4,096 4,301 4,517 4,742 4,980 5,230 Correctional Records Specialist 07630 4,096 4,301 4,517 4,742 4,980 5,230 5,491 Correctional Records Supervisor 07629 5,683 5,966 6,264 6,578 6,906 7,251 7,613 Custodial Aide / Porter 04005 3,238 3,400 3,570 3,748 3,936 4,133 4,340 Custodian 04000 3,748 3,936 4,133 4,340 4,558 4,785 5,029 Custodian Supervisor 04090 4,931 5,179 5,438 5,709 5,995 6,295 6,610 Customer Service Representative 01220 4,906 5,154 5,412 5,683 5,966 6,264 6,578 Data Entry Office Assistant 04200 4,237 4,450 4,672 4,906 5,154 5,412 5,683 Deputy City Clerk 07050 5,205 5,465 5,737 6,023 6,326 6,641 6,974 Economic Development Specialist 1 00560 7,008 7,359 7,726 8,112 8,518 8,945 9,393 Economic Development Specialist II 00550 8,072 8,476 8,900 9,345 9,814 10,313 10,828 Economic Development Specialist III 00350 9,345 9,814 10,313 10,828 11,370 11,940 12,535 Engineering Aide 02030 5,054 5,307 5,572 5,850 6,143 6,450 6,773 Engineering Technician 02035 5,307 5,572 5,850 6,143 6,450 6,773 7,110 Equipment Operator 00440 5,205 5,465 5,737 6,023 6,326 6,641 6,974 Equipment Operator - Water Services 04215 5,307 5,572 5,850 6,143 6,450 6,773 7,110 Facilities Supervisor 04370 6,641 6,974 7,323 7,688 8,072 8,476 8,900 Fleet Parts Specialist 00500 5,599 5,879 6,173 6,482 6,805 7,145 7,504 Fleet Services Supervisor 04770 7,110 7,468 7,841 8,234 8,645 9,078 9,533 Fleet Services Technician 1 04720 5,332 5,599 5,879 6,173 6,482 6,805 7,145 Fleet Services Technician II 04730 5,879 6,173 6,482 6,805 7,145 7,504 7,880 Fleet Services Technician 111 00450 6,326 6,641 6,974 7,323 7,688 8,072 8,476 General Maintenance Assistant 00740 3,767 3,955 4,153 4,361 4,580 4,809 5,054 General Maintenance Leader 04190 5,709 5,995 6,295 6,610 6,940 7,287 7,650 General Maintenance Supervisor 01010 6,641 6,974 7,323 7,688 8,072 8,476 8,900 General Maintenance Worker 04180 5,154 5,412 5,683 5,966 6,264 6,578 6,906 GIS Administrator 02190 7,880 8,274 8,688 9,123 9,579 10,059 10,562 GIS Systems Analyst / Programmer 02192 7,215 7,576 7,956 8,354 8,773 9,211 9,673 GIS Technician 02193 5,599 5,879 6,173 6,482 6,805 7,145 7,504 Resolution 2024-XXX 16 City Council 35 -11 8/ 0 EXHIBIT A SERVICE EMPLOYEES INTERNATIONAL UNION FULL-TIME (SEIU FT) MONTHLY WAGE RATE SCHEDULE EFFECTIVE AUGUST 25, 2024 REVISED AUGUST 20, 2024 JOB TITLE JOB CODE STEP AAA STEP AA STEP A STEP B STEP C STEP D STEP E Graphics Designer I 01500 5,230 5,491 5,765 6,053 6,357 6,674 7,008 Graphics Designer II 02400 5,765 6,053 6,357 6,674 7,008 7,359 7,726 Housing Authority Analyst 01885 6,906 7,251 7,613 7,994 8,395 8,815 9,257 Housing Authority Coordinator 07640 9,393 9,862 10,365 10,883 11,427 11,998 12,598 Housing Authority Operations Supervisor 02720 7,650 8,032 8,436 8,857 9,301 9,765 10,262 Housing Programs Aide 07580 4,494 4,718 4,955 5,205 5,465 5,737 6,023 Housing Programs Analyst 01840 7,650 8,032 8,436 8,857 9,301 9,765 10,262 Housing Programs Coordinator 00520 9,393 9,862 10,365 10,883 11,427 11,998 12,598 Housing Specialist I 01890 4,785 5,029 5,281 5,544 5,823 6,113 6,419 Housing Specialist II 01900 5,307 5,572 5,850 6,143 6,450 6,773 7,110 Information Services Representative 02670 5,054 5,307 5,572 5,850 6,143 6,450 6,773 Information Technology Support Supervisor 06470 8,274 8,688 9,123 9,579 10,059 10,562 11,090 Information Technology Support Technician I 00021 5,079 5,332 5,599 5,879 6,173 6,482 6,805 Information Technology Support Technician II 00020 5,599 5,879 6,173 6,482 6,805 7,145 7,504 Instrument Technician 04130 5,908 6,203 6,514 6,838 7,180 7,540 7,918 Lead Accounting Assistant 07090 5,572 5,850 6,143 6,450 6,773 7,110 7,468 Lead Correctional Records Specialist 07628 5,029 5,281 5,544 5,823 6,113 6,419 6,740 Lead Police Records Specialist 07110 5,029 5,281 5,544 5,823 6,113 6,419 6,740 Librarian 05110 5,995 6,295 6,610 6,940 7,287 7,650 8,032 Library Services Assistant 05050 3,714 3,900 4,096 4,301 4,517 4,742 4,980 Library Technician 05076 4,471 4,696 4,931 5,179 5,438 5,709 5,995 Loan Specialist 07000 6,053 6,357 6,674 7,008 7,359 7,726 8,112 Mail Clerk / Messenger 07170 3,387 3,557 3,734 3,920 4,116 4,322 4,538 Maintenance Worker I 04050 4,153 4,361 4,580 4,809 5,054 5,307 5,572 Maintenance Worker II 04060 4,696 4,931 5,179 5,438 5,709 5,995 6,295 Meter Reader Collector 01210 4,696 4,931 5,179 5,438 5,709 5,995 6,295 Network Engineer 06450 9,123 9,579 10,059 10,562 11,090 11,644 12,227 Network Specialist / WAN Systems Administrator 06460 7,504 7,880 8,274 8,688 9,123 9,579 10,059 NPDES Manager 06440 8,518 8,945 9,393 9,862 10,365 10,883 11,427 Office Assistant 07180 3,748 3,936 4,133 4,340 4,558 4,785 5,029 Office Specialist 07190 3,320 3,486 3,659 3,843 4,035 4,237 4,450 Park Ranger 03610 5,709 5,995 6,295 6,610 6,940 7,287 7,650 Park Services Inspection Supervisor 04320 6,674 7,008 7,359 7,726 8,112 8,518 8,945 Park Services Inspector I 04105 4,258 4,471 4,696 4,931 5,179 5,438 5,709 Resolution 2024-XXX City Council 35 - 12 16 EXHIBIT A SERVICE EMPLOYEES INTERNATIONAL UNION FULL-TIME (SEIU FT) MONTHLY WAGE RATE SCHEDULE EFFECTIVE AUGUST 25, 2024 REVISED AUGUST 20, 2024 JOB TITLE JOB CODE STEP AAA STEP AA STEP A STEP B STEP C STEP D STEP E Park Services Inspector II 04106 5,281 5,544 5,823 6,113 6,419 6,740 7,076 Parking Meter Operations Supervisor 02890 5,655 5,937 6,234 6,546 6,872 7,215 7,576 Parking Meter Technician I 07160 4,322 4,538 4,767 5,006 5,256 5,518 5,794 Parking Meter Technician II 00080 5,006 5,256 5,518 5,794 6,083 6,388 6,707 Permit Services Processor 07200 4,672 4,906 5,154 5,412 5,683 5,966 6,264 Permit Services Supervisor 02590 7,180 7,540 7,918 8,314 8,730 9,167 9,625 Permit Services Technician 02580 6,023 6,326 6,641 6,974 7,323 7,688 8,072 Planning Assistant 00050 5,737 6,023 6,326 6,641 6,974 7,323 7,688 Planning Commission Secretary 07320 5,230 5,491 5,765 6,053 6,357 6,674 7,008 Planning Technician 00641 4,955 5,205 5,465 5,737 6,023 6,326 6,641 Plans Examiner 02271 8,153 8,560 8,989 9,439 9,911 10,417 10,937 Police Fiscal Services Supervisor 06295 6,546 6,872 7,215 7,576 7,956 8,354 8,773 Police Records Specialist 07220 4,096 4,301 4,517 4,742 4,980 5,230 5,491 Police Records Supervisor 07230 5,683 5,966 6,264 6,578 6,906 7,251 7,613 Police Systems Support Analyst 06475 8,518 8,945 9,393 9,862 10,365 10,883 11,427 Principal Librarian 05115 6,707 7,042 7,395 7,765 8,153 8,560 8,989 Principal Programmer Analyst 02630 9,123 9,579 10,059 10,562 11,090 11,644 12,227 Programmer Analyst 01460 7,504 7,880 8,274 8,688 9,123 9,579 10,059 Property Control Specialist 07250 4,696 4,931 5,179 5,438 5,709 5,995 6,295 Public Works Contracts Administrator 01850 6,514 6,838 7,180 7,540 7,918 8,314 8,730 Public Works Crew Leader 04040 5,709 5,995 6,295 6,610 6,940 7,287 7,650 Public Works Dispatcher 04519 4,384 4,603 4,834 5,079 5,332 5,599 5,879 Public Works Projects Manager 06140 8,476 8,900 9,345 9,814 10,313 10,828 11,370 Public Works Projects Specialist 04340 7,042 7,395 7,765 8,153 8,560 8,989 9,439 Public Works Safety Assistant 05031 4,450 4,672 4,906 5,154 5,412 5,683 5,966 Public Works Safety Coordinator 05030 6,906 7,251 7,613 7,994 8,395 8,815 9,257 Purchasing Supervisor 01340 8,032 8,436 8,857 9,301 9,765 10,262 10,775 Receptionist 00060 4,015 4,216 4,427 4,648 4,881 5,128 5,385 Records Specialist 07430 4,580 4,809 5,054 5,307 5,572 5,850 6,143 Recreation and Community Services Supervisor 01940 7,688 8,072 8,476 8,900 9,345 9,814 10,313 Recreation Program Coordinator 05330 5,179 5,438 5,709 5,995 6,295 6,610 6,940 Recreation Specialist 05310 3,503 3,678 3,861 4,055 4,258 4,471 4,696 Reprographic Equipment Operator 07260 3,900 4,096 4,301 4,517 4,742 4,980 5,230 Residential Construction Specialist 02710 6,326 6,641 6,974 7,323 7,688 8,072 8,476 Revenue Supervisor 01090 1 6,203 6,514 6,838 7,180 7,540 7,918 8,314 Resolution 2024-XXX 16 City Council 35 - 13 8/ EXHIBIT A SERVICE EMPLOYEES INTERNATIONAL UNION FULL-TIME (SEIU FT) MONTHLY WAGE RATE SCHEDULE EFFECTIVE AUGUST 25, 2024 REVISED AUGUST 20, 2024 JOB TITLE JOB CODE STEP AAA STEP AA STEP A STEP B STEP C STEP D STEP E Right -of -Way Coordinator 00118 4,471 4,696 4,931 5,179 5,438 5,709 5,995 Sanitation Inspector I 02200 4,955 5,205 5,465 5,737 6,023 6,326 6,641 Sanitation Inspector II 02210 6,053 6,357 6,674 7,008 7,359 7,726 8,112 Secretary 07270 4,672 4,906 5,154 5,412 5,683 5,966 6,264 Security Electronics Technician 01055 6,773 7,110 7,468 7,841 8,234 8,645 9,078 Senior Accountant 07490 7,613 7,994 8,395 8,815 9,257 9,719 10,211 Senior Accounting Assistant 07280 5,079 5,332 5,599 5,879 6,173 6,482 6,805 Senior Accounting Assistant / Systems Technician 07016 5,079 5,332 5,599 5,879 6,173 6,482 6,805 Senior Building Inspector 06430 7,287 7,650 8,032 8,436 8,857 9,301 9,765 Senior Buyer 00275 7,042 7,395 7,765 8,153 8,560 8,989 9,439 Senior Civil Engineer 02131 10,883 11,427 11,998 12,598 13,228 13,891 14,585 Senior Community Development Analyst 07584 7,841 8,234 8,645 9,078 9,533 10,009 10,509 Senior Community Planner 07610 8,900 9,345 9,814 10,313 10,828 11,370 11,940 Senior Construction Inspector 02239 7,688 8,072 8,476 8,900 9,345 9,814 10,313 Senior Correctional Records Specialist 07650 4,672 4,906 5,154 5,412 5,683 5,966 6,264 Senior Deputy City Clerk 07290 6,113 6,419 6,740 7,076 7,431 7,803 8,194 Senior Engineer (T) 02111 10,883 11,427 11,998 12,598 13,228 13,891 14,585 Senior Fleet Services Supervisor 00840 7,841 8,234 8,645 9,078 9,533 10,009 10,509 Senior Housing Specialist 01860 6,546 6,872 7,215 7,576 7,956 8,354 8,773 Senior Librarian 05109 6,173 6,482 6,805 7,145 7,504 7,880 8,274 Senior Library Technician 05075 4,931 5,179 5,438 5,709 5,995 6,295 6,610 Senior Office Assistant 07330 4,237 4,450 4,672 4,906 5,154 5,412 5,683 Senior Office Specialist 07360 3,748 3,936 4,133 4,340 4,558 4,785 5,029 Senior Park Services Inspection Supervisor 06330 7,841 8,234 8,645 9,078 9,533 10,009 10,509 Senior Permit Services Technician 02581 6,450 6,773 7,110 7,468 7,841 8,234 8,645 Senior Plan Check Engineer 00330 10,883 11,427 11,998 12,598 13,228 13,891 14,585 Senior Planner 02470 9,167 9,625 10,109 10,614 11,146 11,703 12,288 Senior Police Records Specialist 07370 4,672 4,906 5,154 5,412 5,683 5,966 6,264 Senior Programmer Analyst 01470 8,274 8,688 9,123 9,579 10,059 10,562 11,090 Senior Residential Construction Specialist 02700 6,974 7,323 7,688 8,072 8,476 8,900 9,345 Senior Systems Administrator 00990 7,251 7,613 7,994 8,395 8,815 9,257 9,719 Senior Transportation Analyst 01290 10,883 11,427 11,998 12,598 13,228 13,891 14,585 Senior Water Services Supervisor 07776 7,880 8,274 8,688 9,123 9,579 10,059 10,562 Senior Water Systems Operator 06240 6,514 6,838 7,180 7,540 7,918 8,314 8,730 Site Director 05316 5,438 5,709 5,995 6,295 6,610 6,940 7,287 Resolution 2024-XXX 16 City Council 35 - 14 8/ EXHIBIT A SERVICE EMPLOYEES INTERNATIONAL UNION FULL-TIME (SEIU FT) MONTHLY WAGE RATE SCHEDULE EFFECTIVE AUGUST 25, 2024 REVISED AUGUST 20, 2024 JOB TITLE JOB CODE STEP AAA STEP AA STEP A STEP B STEP C STEP D STEP E Site Teacher 05317 4,696 4,931 5,179 5,438 5,709 5,995 6,295 Solid Waste Enforcement Officer 02741 6,388 6,707 7,042 7,395 7,765 8,153 8,560 Stock Clerk 01310 4,580 4,809 5,054 5,307 5,572 5,850 6,143 Storekeeper 01320 5,438 5,709 5,995 6,295 6,610 6,940 7,287 Stores and City Yard Property Specialist 01315 5,438 5,709 5,995 6,295 6,610 6,940 7,287 Stormwater Coordinator 00115 7,359 7,726 8,112 8,518 8,945 9,393 9,862 Street Lighting Maintenance Worker 04280 5,599 5,879 6,173 6,482 6,805 7,145 7,504 Street Maintenance Supervisor 04360 6,674 7,008 7,359 7,726 8,112 8,518 8,945 Street Painter 04160 5,029 5,281 5,544 5,823 6,113 6,419 6,740 Supervising Accountant 07500 8,476 8,900 9,345 9,814 10,313 10,828 11,370 Supervising Library Services Assistant 05055 4,340 4,558 4,785 5,029 5,281 5,544 5,823 Supervising Park Ranger 07470 6,450 6,773 7,110 7,468 7,841 8,234 8,645 Systems Administrator 00120 6,203 6,514 6,838 7,180 7,540 7,918 8,314 Systems Technician 01060 4,626 4,857 5,103 5,359 5,627 5,908 6,203 Tax Compliance Officer 01245 5,683 5,966 6,264 6,578 6,906 7,251 7,613 Teacher's Aide 05318 3,678 3,861 4,055 4,258 4,471 4,696 4,931 Telecommunications Coordinator 00710 7,576 7,956 8,354 8,773 9,211 9,673 10,160 Telecommunications Customer Service Representative 07140 4,931 5,179 5,438 5,709 5,995 6,295 6,610 Transportation Driver 01081 4,301 4,517 4,742 4,980 5,230 5,491 5,765 Treasury Services Specialist 01165 5,465 5,737 1 6,023 6,326 1 6,641 6,974 1 7,323 Treasury Services Supervisor 07020 6,143 6,450 6,773 7,110 7,468 7,841 8,234 Tree Maintenance Supervisor 04330 6,674 7,008 7,359 7,726 8,112 8,518 8,945 Tree Trimmer 04170 5,029 5,281 5,544 5,823 6,113 6,419 6,740 Utilities Billing / Systems Technician 01215 4,906 5,154 5,412 5,683 5,966 6,264 6,578 Utilities Customer Service Supervisor 01219 6,203 6,514 6,838 7,180 7,540 7,918 8,314 Video Technician 06320 6,234 6,546 6,872 7,215 7,576 7,956 8,354 Water Conservation Specialist 07740 6,173 6,482 6,805 7,145 7,504 7,880 8,274 Water Services Crew Leader 07750 5,879 6,173 6,482 6,805 1 7,145 7,504 7,880 Water Services Meter Repairer I 07755 4,809 5,054 5,307 5,572 5,850 6,143 6,450 Water Services Meter Repairer II 07756 5,281 5,544 5,823 6,113 6,419 6,740 7,076 Water Services Production Supervisor 07795 6,805 7,145 7,504 7,880 8,274 8,688 9,123 Water Services Quality Coordinator 07760 7,540 7,918 8,314 8,730 9,167 9,625 10,109 Water Services Quality Inspector 07765 6,173 6,482 6,805 7,145 7,504 7,880 8,274 Water Services Quality Supervisor 07770 6,940 7,287 7,650 8,032 8,436 8,857 9,301 Water Services Supervisor 07775 6,940 7,287 7,650 8,032 8,436 8,857 9,301 Resolution 2024-XXX 16 City Council 35 - 15 8/ EXHIBIT A SERVICE EMPLOYEES INTERNATIONAL UNION FULL-TIME (SEIU FT) MONTHLY WAGE RATE SCHEDULE EFFECTIVE AUGUST 25, 2024 REVISED AUGUST 20, 2024 JOB TITLE JOB CODE STEP AAA STEP AA STEP A STEP B STEP C STEP D STEP E Water Services Utility Inspector 07780 6,173 6,482 6,805 7,145 7,504 7,880 8,274 Water Services Worker I 07785 4,258 4,471 4,696 4,931 5,179 5,438 5,709 Water Services Worker II 07790 4,809 5,054 5,307 5,572 5,850 6,143 6,450 Water Systems Electrician 04540 6,514 6,838 7,180 7,540 7,918 8,314 8,730 Water Systems Operator I 00880 4,881 5,128 5,385 5,655 5,937 6,234 6,546 Water Systems Operator II 00920 5,385 5,655 5,937 6,234 6,546 6,872 7,215 Water Systems Operator III 04530 5,765 6,053 6,357 6,674 7,008 7,359 7,726 Web Systems Technician 01006 4,626 4,857 5,103 5,359 5,627 5,908 6,203 Website Entry Specialist 01005 4,055 4,258 4,471 4,696 4,931 5,179 5,438 Work Center Coordinator 02390 9,345 9,814 10,313 10,828 11,370 11,940 12,535 Workforce Specialist I 08371 4,626 4,857 5,103 5,359 5,627 5,908 6,203 Workforce Specialist II 08372 5,205 5,465 5,737 6,023 6,326 6,641 6,974 Workforce Specialist III 08373 5,737 6,023 6,326 6,641 6,974 7,323 7,688 Workforce Specialist IV 08374 7,504 7,880 8,274 8,688 9,123 9,579 10,059 Youth Services Technician 05313 4,471 4,696 4,931 5,179 5,438 5,709 5,995 Zoo Curator 05430 6,053 6,357 6,674 7,008 7,359 7,726 8,112 Zoo Curator of Education 05450 6,173 6,482 6,805 7,145 7,504 7,880 8,274 Zoo Curator of Health 05451 5,966 6,264 6,578 6,906 7,251 7,613 7,994 Zoo Education Specialist 00930 4,857 5,103 5,359 5,627 5,908 6,203 6,514 Zoo Keeper I 05420 4,096 4,301 4,517 4,742 4,980 5,230 5,491 Zoo Keeper II 05410 4,742 4,980 5,230 5,491 5,765 6,053 6,357 Zoo Operations Coordinator 05485 5,332 5,599 5,879 6,173 6,482 6,805 7,145 The (T) designates a terminal classification. A position classification that has been designated as terminal by formal City Council action will be deleted from the City's Classification and Compensation Plan when vacated by its last remaining incumbent. No new appointments may be made to a classification that has been so assigned. Resolution 2024-XXX 16 City Council 35 - 16 8/ EXHIBIT A SERVICE EMPLOYEES INTERNATIONAL UNION PART-TIME (SEIU PT) HOURLY WAGE RATE SCHEDULE EFFECTIVE AUGUST 25, 2024 REVISED AUGUST 20, 2024 JOB TITLE JOB CODE STEP A STEP B STEP C STEP D STEP E Account Clerk I 09041 21.50 22.54 23.67 24.86 26.09 Account Clerk II 09042 23.78 24.96 26.24 27.52 28.90 Administrative Aide 09770 27.26 28.62 30.04 31.55 33.13 Animal Keeper 09000 17.13 17.99 18.89 19.83 20.82 Building Maintenance Assistant 09215 23.43 24.59 25.82 27.14 28.46 Cashier 09040 16.65 17.48 18.35 19.27 20.23 Clerical Aide 09060 16.98 17.84 18.69 19.62 20.60 Combination Inspector 09800 33.30 34.93 36.72 38.54 40.49 Community Center Aide (Part -Time) 09100 22.26 23.37 24.54 25.77 27.06 Computer Technician 09690 21.66 22.74 23.89 25.10 26.37 Customer Service Clerk 09780 22.32 23.43 24.60 25.83 27.14 Data Entry Clerk 09120 18.51 19.45 20.45 21.45 22.53 Engineering Apprentice 09471 22.90 24.05 25.25 26.51 27.84 Equipment Service Attendant 09140 20.84 21.85 22.98 24.09 25.33 General Maintenance Assistant (Part -Time) 09300 18.09 19.01 19.97 20.97 22.03 Information Desk Clerk 09755 18.69 19.62 20.60 21.63 22.71 Janitor 09170 17.07 17.92 18.82 19.76 20.77 Library Associate 09271 20.91 21.96 23.05 24.21 25.43 Library Clerk I 09200 17.42 18.27 19.19 20.18 21.16 Library Clerk II 09210 19.30 20.25 21.24 22.32 23.43 Lifeguard (Part -Time) 05311 18.99 19.96 20.97 22.02 23.13 Maintenance Attendant (Part -Time) (T) 09230 16.54 17.37 17.94 18.84 19.78 Mobile Library Clerk 09280 21.22 22.32 23.40 24.59 25.82 Municipal Utility Reader / Collector 09775 21.36 22.43 23.53 24.72 25.96 Page 09290 16.54 17.37 17.94 18.84 19.78 Park Ranger (Part -Time) 03615 30.03 31.54 33.11 34.79 36.54 Parking Meter Technician I (Part -Time) 07161 27.50 28.88 30.32 31.84 33.43 Permit Parking Aide 09505 23.05 24.20 25.43 26.68 28.01 Permit Services Technician (Part -Time) 02579 38.31 40.24 42.25 44.35 46.57 Tanning Technician (Part -Time) 09135 27.38 28.74 30.19 31.70 33.30 Police Records Clerk 09330 20.24 21.22 22.32 23.40 24.59 Police Supply Clerk 09340 20.30 21.32 22.39 23.51 24.69 Pool Manager (Part -Time) 05315 23.37 24.54 25.77 27.06 28.41 Program Leader I (Part -Time) 09360 16.61 17.44 18.31 19.23 20.19 Program Leader II (Part -Time) 09395 18.09 19.01 19.97 20.97 22.03 Purchasing Clerk 09720 21.41 22.48 23.63 24.79 11 26.02 Resolution 2024-XXX City Council 35 - 17 16 EXHIBIT A SERVICE EMPLOYEES INTERNATIONAL UNION PART-TIME (SEIU PT) HOURLY WAGE RATE SCHEDULE EFFECTIVE AUGUST 25, 2024 REVISED AUGUST 20, 2024 JOB TITLE JOB CODE STEP A STEP B STEP C STEP D STEP E Right -of -Way Technician 09900 17.22 18.09 19.03 19.96 20.93 Senior Clerical Aide 09070 18.69 19.62 20.60 21.63 22.71 Senior Library Associate 09270 22.20 23.30 24.44 25.69 26.96 Senior Lifeguard (Part -Time) 05314 21.20 22.26 23.37 24.54 25.77 Senior Maintenance Aide 09250 16.67 17.49 18.36 19.30 20.27 Senior Maintenance Worker 09260 20.27 21.28 22.34 23.46 24.63 Senior Office Assistant (Part -Time) 09090 22.27 23.38 24.55 25.78 27.07 Senior Program Leader (Part -Time) 08160 20.19 21.20 22.26 23.37 24.54 Senior Special Employment Counselor 08370 22.39 23.51 24.69 25.92 27.22 Stores Aide 09460 19.88 20.88 21.89 23.01 24.13 Substitute Teacher (Part -Time) 05319 29.88 31.37 32.94 34.59 36.32 Tutor 08420 17.22 18.08 18.98 19.93 20.93 Water Conservation Representative 09960 17.59 18.46 19.37 20.34 21.40 The (T) designates a terminal classification. A position classification that has been designated as terminal by formal City Council action will be deleted from the City's Classification and Compensation Plan when vacated by its last remaining incumbent. No new appointments may be made to a classification that has been so assigned. Resolution 2024-XXX 16 City Council 35 - 18 8/ Police Department www.santa-ana.org/pol ice Item # 36 or City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report August 20, 2024 TOPIC: FY 2023 Emergency Management Performance Grant AGENDA TITLE Resolution, Agreement, and Appropriation Adjustment Accepting the FY 2023 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. 2024-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 2023 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, 2023 through June 30, 2025, for the FY 2023 Emergency Management Performance Grant in an amount not to exceed $46,342 (Agreement No. 2024-XXX). 3. Approve an appropriation adjustment recognizing $46,342 in Law Enforcement Grants revenue account and appropriating same to the Emergency Management Performance Grant expenditure account. (Requires five affirmative votes) GOVERNMENT CODE 484308 APPLIES: Yes 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 City Council 36 — 1 8/20/2024 FY 2023 Emergency Management Performance Grant August 20, 2024 Page 2 Emergency Services. The EMPG grant is designed to assist state and local emergency management and disaster preparedness programs with employment and development of emergency management staff, development of emergency plans and procedures, and preparing cities for disaster response. The EMPG grant is distributed by population to counties and cities that maintain emergency management staff and meet training, exercising, and reporting requirements. The County of Orange, Sheriff -Coroner Department is the lead agency for the County. In March 2023, the Police Department submitted an initial application for the FY 2023 EMPG Grant and has been awarded $46,342. The Police Department will utilize this funding to purchase and install two security video cameras on Bristol Street to enhance public safety. The grant requires a dollar -for -dollar match. Existing Police Department funding of the Emergency Operations Coordinator position fulfills the requirement for matching funds. ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT The appropriation adjustment will recognize $46,342 in Law Enforcement Grants, Federal Grant -Indirect revenue account (no. 12814002-52001), and appropriate same to FY23 EMPG Grant expenditure account (no. 12814414-66400) as follows: Fiscal Year Accounting Unit _ Account No. Fund Description Accounting Unit, Account Description Amount FY 24-25 12814414-66400 Law Enforcement EMPG Grant, Machinery $46,342 Grants & Equipment Total $46,342 EXHIBIT(S) 1. Resolution 2. FY 2023 EMPG Transfer Agreement with County of Orange Submitted By: Robert Rodriguez, Acting Police Chief Approved By: Alvaro Nunez, City Manager City Council 36 — 2 8/20/2024 RESOLUTION NO. 2024-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 2023 EMERGENCY MANAGEMENT PERFORMANCE GRANT FUNDS THROUGH THE COUNTY OF ORANGE BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The City Council of the City of Santa Ana hereby finds, determines and declares as follows: A. The State of California Office of Emergency 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 2023 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 $46,342 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 $46,342. 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 2023 Emergency Management Resolution No. 2024-XXX Pa ec e 1 of 2 City Council 36 — 3 8/20/2024 Performance Grant in the amount of $46,342 and appropriates same in the FY 2023 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 )2024. 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 NOT PRESENT: Councilmembers CERTIFICATE OF ATTESTATION AND ORIGINALITY I, JENNIFER L. HALL, City Clerk, do hereby attest to and certify the attached Resolution No. 2024-XXX to be the original resolution adopted by the City Council of the City of Santa Ana on , 2024. Date: City Clerk City of Santa Ana Resolution No. 2024-XXX Pa ee22of2 City Council 36 — 4 8/20/2024 Exhibit 2 AGREEMENT TO TRANSFER FUNDS FOR 2023 EMERGENCY MANAGEMENT PERFORMANCE GRANT PROGRAM THIS AGREEMENT is entered into this day of 20 , which date is enumerated for purposes of reference only, by and between the COUNTY OF ORANGE, a political subdivision of the State of California, hereinafter referred to as "COUNTY," and City of Santa Ana , a municipal corporation, hereinafter referred to as "SUBRECIPIENT." WHEREAS, COUNTY, acting through its Sheriff -Coroner Department, hereinafter referred to as SHERIFF, in its capacity as the lead agency for the Operational Area, has applied for, received and accepted the Emergency Management Performance Grant (hereinafter referred to as "the grant") from the California Office of Emergency Services ("CalOES"). WHEREAS, the purpose of the grant is to support comprehensive emergency management at the state, tribal and local levels and to encourage the improvement of prevention, protection, mitigation, response and recovery capabilities for all hazards, as set forth in Attachment A hereto (FEMA Preparedness Grants Manual), which is attached hereto and incorporated herein by reference. NOW, THEREFORE, IT IS MUTUALLY AGREED AS FOLLOWS: 1 COUNTY shall transfer to SUBRECIPIENT grant fiends, in arrears, as necessary to reimburse SUBRECIPIENT for reasonable and permissible expenditures for the grant purposes. In order to obtain grant funds, SUBRECIPIENT shall comply with the instructions and submit to SHERIFF all required information and documentation, as set forth in Attachment B (FY2023 EMPG Financial Management Forms Workbook), which is attached hereto and incorporated herein by reference. 2. Throughout their useful life, grant property and equipment shall be used by SUBRECIPIENT only for grant purposes in accordance with Attachment A hereto. 3. SUBRECIPIENT shall exercise due care to preserve and safeguard grant property and equipment from damage or destruction and shall provide regular maintenance and such repairs for grant property and equipment as are necessary, in order to keep said grant property and equipment continually in good working order. CFDA: 97.042 Emerp �(VIv�au6-affCl��r(o�man�e Grant 36 — 5 8/20/2024 pepartme�n�ioi�}[on,cl�la�idsauriry Pagel o14 4. If grant property or equipment becomes obsolete, SUBRECIPIENT shall dispose of it only in accordance with the instructions of COUNTY or the agency from which COUNTY received the grant funds. S. SUBRECIPIENT shall submit to the COUNTY grant program reporting documents and information in accordance with requirements set out in the Attachment C (FY2023 Emergency Management Performance Grant Program- California Supplement to the FEMA Preparedness Grants Manual; or, The State Guidance), which is attached hereto and incorporated herein by reference. 6. By executing this Agreement, SUBRECIPIENT agrees to comply with and be fully bound by this Agreement and all applicable provisions of Attachments A, B, C, and D (Standard Assurances for all CaIOES Federal Grant Programs) hereto. SUBRECIPIENT shall notify COUNTY immediately upon discovery that it has not abided or no longer will abide by any applicable provision of this Agreement or Attachments A, B, C, or D hereto. 7. SUBRECIPIENT agrees to indemnify, defend and save harmless COUNTY and the agency from which COUNTY received grant funds, and their elected and appointed officials, officers, agents and employees from any and all claims and losses accruing or resulting to any and all contractors, subcontractors, laborers, and any other person, firm or corporation furnishing or supplying work, services, materials or supplies in connection with SUBRECIPIENT's performance of this Agreement, including Attachments A, B, C, and D hereto, and from any and all claims and losses accruing or resulting to any person, firm, or corporation who may be injured or damaged by SUBRECIPIENT in the performance of this Agreement, including Attachments A, B, C, and D hereto. 8. No alteration or variation of the terms of this Agreement shall be valid unless made in writing and signed by duly authorized representatives of the parties hereto, and no oral understanding or agreement not incorporated herein shall be binding on any of the parties hereto. 9. SUBRECIPIENT may not assign this Agreement in whole or in part without the express written consent of COUNTY. 10. SUBRECIPIENT shall provide to COUNTY all records and information requested by COUNTY for inclusion in quarterly reports and such other reports or records as COUNTY may be CFDA: 97.042 Emerfl(VIv�au6-affCl��r(o�man�e Grant 36 — 6 8/20/2024 pepartmcn of}[onula�id Sauriry Page 2 of required to provide to the agency from which COUNTY received grant funds or other persons or agencies. IL . For a period of three years after the final Federal Financial Report hereunder or until all claims related to this Agreement are finally settled, whichever is later, SUBRECIPIENT shall preserve and maintain all documents, papers and records relevant to the work performed or property or equipment acquired in accordance with this Agreement, including Attachments A, B, C, and D hereto. For the same time period, SUBRECIPIENT shall make said documents, papers and records available to COUNTY and the agency from which COUNTY received the grant funds or their duly authorized representative(s), for examination, copying, or mechanical reproduction on or off the premises of SUBRECIPIENT, upon request, during usual working hours. 12. SUBRECIPIENT and COUNTY shall be subject to examination and audit by the State Auditor General with respect to this Agreement for a period of three years after the final Federal Financial Report hereunder. 13. COUNTY may terminate this Agreement and be relieved of the payment of any consideration to SUBRECIPIENT if a) SUBRECIPIENT fails to perform any of the covenants contained in this Agreement, including the applicable terms of Attachments A, B, C, and D hereto, at the time and in the manner herein provided, or b) COUNTY loses filnding under the grant. In the event of termination, COUNTY may proceed with the work in any manner deemed proper by COUNTY. 14. SUBRECIPIENT and its agents and employees shall act in an independent capacity in the performance of this Agreement, including Attachments A, B, C, and D hereto, and shall not be considered officers, agents or employees of COUNTY or SHERIFF or of the agency from which COUNTY received grant funds. 15. By signing this Agreement, SUBRECEIPIENT understands and agrees that: a. Failure to follow grant guidance, including those detailed below, will result in ineligibility for any reimbursement under the FY23 EMPG: b. A SUBRECIPIENT representative must attend half of the Orange County Emergency Managers Organization meetings held from July 1, 2023 through June 30, 2025; CFDA: 97.042 Emerp �(VIv�au6-affCl��r(o�man�e Grant 36 — 7 8/20/2024 Departmen of I lonuland Security Pig 3 of 4 c. SUBRECIPIENT must maintain National Incident Management System (NIMS) compliance; d. For any personnel whose salary is charged to the grant, that specific individual must meet the training and exercise requirements set forth in the grant guidance; e. Only those expenditures specifically detailed in the Financial Management Forms Workbook are approved for fiinding, any changes must be pre -approved by the California Office of Emergency Services; IN WITNESS WHEREOF, the parties have executed this Agreement in the County of Orange, State of California. APPROVED AS TO FORM COUNTY COUNSEL 'r'Docu//SigneendAAby: WN*A f'F� t4 By Wendy J. Phillips, Senior Deputy DATED: ATTEST DATED: 6/17/2024 .20 (See attached Signature Page) City Clerk COUNTY OF ORANGE, a political subdivision of the State of California Sheriff -Coroner "COUNTY" DATED: , 20 SUBRECIPIENT City of Santa Ana By Title: 20 DATED: 20 CFDA: 97.042 Emerp �(VIv�au�.��z1�Cl��r(o�man�e Grant 36 — 8 8/20/2024 pepartm��n�i oi�}[on,d�la�id sauriry Page 4 of IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: JENNIFER L. HALL City Clerk APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: TAMARA BOGOSIAN Senior Assistant City Attorney CITY OF SANTA ANA ALVARO NUNEZ Acting City Manager RECOMMENDED FOR APPROVAL: ET ROBERT RODRIGIF Acting Chief of Police City Council 36 — 9 8/20/2024 �s 4 Fiscal Year 2023 Preparedness Grants Manual FEMA Grant Programs Directorate FEMA Manual (FM) 207-22-0001 Version 4, 2023 OtieAy y. r Table of Contents Table of Contents 1 About the Federal Emergency Management Agency (FEMA) 6 Overview of FEMA 6 Overview of Preparedness Grant Programs 6 Homeland Security Grant Program (HSGP) 6 Tribal Homeland Security Grant Program (THSGP) 7 Nonprofit Security Grant Program (NSGP) 7 Transit Security Grant Program (TSGP) 7 Intercity Bus Security Grant Program (IBSGP) 7 Intercity Passenger Rail (IPR) Program — Amtrak 7 Port Security Grant Program (PSGP) 7 Emergency Management Performance Grant (EMPG) Program 7 Foreword 8 The National Preparedness Goal 8 Pre -Award Application and Submission 9 Pre -Submission Information 9 Agreeing to Terms and Conditions of the Award 9 Address to Request Application Package 10 Steps Required to Obtain a Unique Entity Identifier, Register in the System for Award Management (SAM), and Submit an Application 10 Electronic Delivery 11 How to Register to Apply through Grants.gov 11 How to Submit an Initial Application to DHS/FEMA via Grants.gov 13 Submitting the Final Application in ND Grants 14 Timely Receipt Requirements and Proof of Timely Submission 15 Standard Required Application Forms and Information 15 Intergovernmental Review 16 Funding Restrictions and Allowable Costs 16 Management and Administration (M&A) 18 Procedures for Establishing Indirect Cost Rates 19 Award Determination and Obligation 20 Allocations 20 Risk Methodology 20 Application Evaluation Criteria 20 Supplemental Financial Integrity Review 21 Review and Selection Process 21 Federal Award Administration Information 21 1 City Council 36 —11 8/20/2024 Notice of Award 21 Pass -Through Requirements 22 Administrative and National Policy Requirements 22 Post -Award Management and Implementation 27 Reporting 27 Federal Financial Reporting Requirements 27 Federal Financial Report (FFR) 27 Financial Reporting Periods and Due Dates 27 Program Performance Reporting Requirements 27 Performance Progress Report (PPR) 27 Program Performance Reporting Periods and Due Dates 28 Additional Programmatic Reporting Requirements and Information 28 Biannual Strategy Implementation Report (BSIR) 28 Closeout Reporting Requirements 28 Administrative Closeout 29 Disclosing Information per 2 C.F.R. § 180.335 30 Reporting of Matters Related to Recipient Integrity and Performance 30 Single Audit Report 30 Additional Information 31 Monitoring and Oversight 31 Overview 31 Financial Monitoring Overview and Approach 32 Programmatic Monitoring Overview and Approach 34 Case Studies and Use of Grant -Funded Resources During Real -World Incident Operations 35 Termination Provisions 35 Period of Performance (POP) Extensions 35 Disability Integration 36 Conflicts of Interest in the Administration of Federal Awards or Subawards 37 Procurement Integrity 38 Important Changes to Procurement Standards in 2 C.F.R Part 200 38 Competition and Conflicts of Interest 39 Supply Schedules and Purchasing Programs 40 Financial Assistance Programs for Infrastructure 42 Build America, Buy America Act 42 Waivers 42 Definitions 42 Records Retention 43 Actions to Address Noncompliance 44 Audits 45 Payment Information 46 National Campaigns and Programs 47 FEMA Strategic Plan 47 Whole Community Preparedness 47 2 City Council 36 — 12 8/20/2024 Active Shooter Preparedness 48 Soft Targets and Crowded Places 48 Community Lifelines 49 Strategic Framework for Countering Terrorism and Targeted Violence 50 Countering Violent Extremism (CVE) Training 50 Program AADendix A: Homeland Securitv Grant Program (HSGP) 1 Alignment of HSGP to the National Preparedness System 1 HSGP Funding Guidelines 2 Reporting on the Implementation of the National Preparedness System 21 Identifying and Assessing Risk and Estimating Capability Requirements 21 Building and Sustaining Capabilities 22 National Incident Management System (NIMS) Implementation 22 Planning to Deliver Capabilities 22 Validating Capabilities 23 Fusion Centers 24 Fusion Center Performance Measures 26 Continuity Capability 27 Governance 28 Supplemental SHSP and UASI Guidance 32 Supplemental OPSG Program Guidance 35 OPSG Operational Guidance 38 HSGP Supplemental Material 44 Supplemental Emergency Communications Guidance 47 Program ADuendix B: Tribal Homeland Securitv Grant Program (THSGP) 1 Alignment of THSGP to the National Preparedness System 1 THSGP Funding Guidelines 4 THSGP Priorities 4 Allowable Costs 4 THSGP Investment Modifications — Changes in Scope or Objective 13 Program Annendix C: Nonurofit Securitv Grant Program (NSGP) 1 NSGP Funding Guidelines 1 NSGP Priorities 1 Allowable Costs 1 NSGP Investment Modifications — Changes in Scope or Objective 7 Pass -Through Requirements 8 SAM/UEI Requirements for Recipients and Subrecipients 9 Program Annendix D: Transit Securitv Grant Program (TSGP) 1 TSGP Funding Guidelines 1 Pre -Award Costs 1 TSGP Priorities 1 Security Plan Requirements 1 Allowable Direct Costs 2 3 City Council 36 — 13 8/20/2024 Allowable Indirect Costs Unallowable Costs Maintenance and Sustainment Costs Encouraged Use of Certain Products Produced in the United States Program Appendix E: Intercity Bus Security Grant Program (IBSGP) IBSGP Priorities Pre -Award Costs Allowable Direct Costs Indirect Costs Unallowable Costs Other Allowable Costs Encouraged Use of Certain Products Produced in the United States Program Appendix F: Intercity Passenger Rail (IPR) Program IPR Funding Guidelines IPR Priorities Security Plan Requirements Allowable Costs Operational Activities Funding Availability for OPacks Specific Guidance on EDCT Program Appendix G: Port Security Grant Program (PSGP) PSGP Funding Guidelines PSGP Priorities Limitations on Funding Allowable Direct Costs Port -Wide Risk Management Plans Sample Memorandum of Understanding/Agreement (MOU/MOA) PSGP Investment Modifications Program Appendix H: EMPG Program Priorities Alignment of the EMPG Program to the National Preparedness System Implementation of the National Preparedness System Identifying and Assessing Risk and Estimating Capability Requirements Building and Sustaining Core Capabilities National Incident Management System (NIMS) Implementation National Qualifications System (NQS) Implementation Logistics Planning Distribution Management Plans Additional Logistics Planning Resources Evacuation Planning Disaster Housing Planning State Disaster Recovery Coordinator 12 12 13 13 1 1 1 1 7 7 8 9 1 1 1 1 2 3 4 5 1 1 1 1 2 17 17 18 1 1 1 2 2 3 3 3 6 6 6 7 8 9 City Council 36 — 14 8/20/2024 4 Disaster Financial Management Policies and Procedures 10 Training and Exercises 11 Reviewing and Updating Planning Products 15 Additional Considerations 15 Program Performance Reporting Requirements 16 Performance Progress Reports (PPR) 16 Standardized Programmatic Reporting for the EMPG Program 17 EMPG Program Funding Guidelines 18 Allowable Costs 18 Management and Administration (M&A) 18 Indirect Costs 18 Unrecovered Indirect Costs 18 Whole Community Preparedness 18 Planning 20 Continuity Planning 21 Organization 22 Equipment 23 Training 24 Exercises 25 Construction and Renovation 26 Acquisition of Real Property 28 Leasing of Real Property 28 Maintenance and Sustainment 29 Unallowable Costs 29 Amendments for EMPG Costs 29 EMPG Program Work Plan 31 EMPG Program Work Plan Instructions 31 Definitions and Guidance 32 Quick Links 32 Grant Investment Strategy 32 Grant Activities Outline 33 Detailed Budget — Excluding M&A 35 Budget Narrative — Excluding M&A 35 Detailed Budget — M&A Only 36 Budget Narrative — M&A Only 36 Information for the Detailed Budget and Budget Narrative 36 EMPG Program Summary 38 Implementation Schedule 38 Training Data Table 39 Exercise Data Table 40 EMPG Requirements Matrix 41 5 City Council 36-15 8/20/2024 About the Federal Emergency Management Agency (FEMA) Overview of FEMA FEMA' s m i 4ie4piingopenopleibesfore, during, and after disasters, and it has done so for more than years. FEMA A@hains 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 respondersi ndi vi dual s , f ami 1 i e s , n e i g h b o r s , and 1 ocal federal resources to supplement SLTT capabilities. FEMA does this by coordinating across the levels of government, meaning that states and their local units of government, tribes, and territories are F E MA ' s primary partners. Overview of Preparedness Grant Programs FEMA has the statutory authority to deliver numerous disaster and non -disaster financial assistance programs in support of its mission, and that of the 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 circulars, and federal appropriations laws and principles. FEMA has developed this Manual to provide additional direction on grant policy and implementation for the following grant programs: Homeland Security Grant Program (HSGP) The HSGP includes a suite of risk -based grants to assist SLTT efforts in preventing, preparing for, protecting against, and responding to acts of terrorism. The grants under HSGP include: State Homeland Security Program (SHSP) The 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 Program 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 s e c u r e t h e U n i t e d S t a t e s' b o rfrodnrinrtersnatioaiall b®rderg;, r o u 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. City Council 36 — 16 8/20/2024 11 Tribal Homeland Security Grant Program (THSGP) The THSGP provides funding directly to eligible tribes to strengthen their capacity to prevent, prepare for, protect against, and respond to potential terrorist attacks. Nonprofit Security Grant Program (NSGP) The NSGP provides funding for physical security enhancements and other security -related activities to nonprofit organizations that are at high risk of a terrorist or other extremist attack. The NSGP also seeks to integrate the preparedness activities of nonprofit organizations with broader state and local preparedness efforts. Transit Security Grant Program (TSGP) The TSGP provides funds to eligible public transportation systems (which include intra-city bus, ferries, and all forms of passenger rail) to protect critical transportation infrastructure and the travelling public from terrorism, and to increase transportation infrastructure resilience. Intercity Bus Security Grant Program (IBSGP) The IBSGP provides funds to eligible private operators of intercity over -the -road bus transportation systems to protect critical transportation infrastructure and travelling public from acts of terrorism, and to increase transportation infrastructure resilience. Intercity Passenger Rail (IPR) Program — Amtrak The IPR provides funds to the National Railroad Passenger Corporation (Amtrak) to protect critical transportation infrastructure and the travelling public from terrorism, and to increase transportation infrastructure resilience. Port Security Grant Program (PSGP) The PSGP provides funding to port authorities, facility operators, and state and local agencies for activities associated with implementing Area Maritime Security Plans, facility security plans, and other port -wide risk management efforts. Emergency Management Performance Grant (EMPG) Program The EMPG Program provides funds to assist 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. 7 City Council 36 — 17 8/20/2024 Foreword FEMA has developed this Preparedness Grants Manual to guide applicants and grant recipients on how to manage their grants and other resources. Recipients seeking guidance on policies and procedures for managing preparedness grants should reference this Manual for further information on both program - specific information as well as overall guidance on rules and regulations that guide the proper management of FEMA grants. The National Preparedness Goal The National Preparedness Goal (the Goal) is " [ src][ire and resilient Nation with the capabilities required across the whole community to prevent, protect against, mitigate, respond to, and recover from the threats and hazards that pose the greatest risk." See Department of Homeland Security, National Preparedness Goal, Second Edition, (Sept. 2015). The Goal essentially defines what it means for all communities to be prepared collectively for the threats and hazards that pose the greatest risk to the nation. The Goal identifies 32 distinct activities, called core capabilities, needed to address the risks. The Goal organizes these core capabilities into five categories, called mission areas. Some core capabilities apply to more than one mission area. For example, the first three core capabilities —Planning, Public Information and Warning, and Operational Coordination —are cross -cutting capabilities, meaning they apply to each of the five mission areas. The National Preparedness Goal describes the five mission areas as follows: • Prevention: Prevent, avoid, or stop an imminent, threatened, or actual act of terrorism. • Protection: Protect our citizens, residents, visitors, and assets against the greatest threats and hazards in a manner that allows our interests, aspirations, and way of life to thrive. • Mitigation: Reduce the loss of life and property by lessening the impact of future disasters. • Response: Respond quickly to save lives, protect property and the environment, and meet basic human needs in the aftermath of an incident. • Recovery: Recover through a focus on the timely restoration, strengthening, and revitalization of infrastructure, housing, and a sustainable economy, as well as the health, social, cultural, historic, and environmental fabric of communities affected by an incident. The mission areas and core capabilities organize the activities and tasks performed before, during, and after disasters into a framework for achieving the goal of a secure and resilient Nation. Resilience is the desired outcome, defined in the Goal a s t h e " a b i l i t y t o a d a p t t o c h a n g r a p i d l y r e c o v e r f r o m dldi. at A-2u Fport more informdatdone abotut(the Goat gor g e n to National Preparedness Goal I FEMA.ov. Recipients will use the National Preparedness System to build, sustain, and deliver these core capabilities. The components of the National Preparedness System are Identifying and Assessing Risk, Estimating Capability Requirements, Building and Sustaining Capabilities, Planning to Deliver Capabilities, Validating Capabilities, and Reviewing and Updating. Additional information on the National Preparedness System is available at National Preparedness System I FEMA.gov. Additional details regarding the National Preparedness System and how it is supported by these grant programs can be found in the program -specific appendices. City Council 36 — 18 8/20/2024 H Pre -Award Application and Submission Pre -Submission Information These instructions apply to the following programs: • Homeland Security Grant Program;' • Tribal Homeland Security Grant Program; • Nonprofit Security Grant Program; • Transit Security Grant Program; • Intercity Bus Security Grant Program; • Intercity Passenger Rail Program; • Port Security Grant Program; and • Emergency Management Performance Grant Program. All applications must be received by the established deadline e s t a b l i s h e d i n e a c h p r o g I Funding Opportunity (NOFO). The Non -Disaster (ND) Grants System has a date stamp that indicates when an applicant submits their application. Applicants will receive an electronic message confirming receipt of their submission. For additional information on how an applicant will be notified of application r e c e i p t, s e e t h e s e c t i o n t i t l e d " Ti meoIny. "Re c e i p t R FEMA will not review applications that it receives after the deadline, nor will it consider these late applications for funding. FEMA may, however, extend the application deadline on request for an applicant who can demonstrate that good cause exists to justify extending the deadline. Good cause for an e x t ens i on may i nc 1 u d e t e c h n i c al pr obl e ms out s i de application by the deadline, other exigent or emergency circumstances, or statutory requirements for FEMA to make an award. Applicants experiencing technical problems outside of their control must notify the respective FEMA Preparedness Officer or Program Manager as soon as possible and before the application deadline. Failure to timely notify FEMA of the issue that prevented the timely filing of the application may pr ec 1 u d e cons i der at i on of t he awar d Ti mel y the application deadline and within 48 hours after the applicant became aware of the issue. For additional assistance using the ND Grants System, please contact the ND Grants Service Desk at (800) 865-4076 or NDGrantskfema.dhs.gov. The ND Grants Service Desk is available Monday through Friday, 9 a.m. — 6 p.m. ET. For programmatic or grants management questions, please contact your Preparedness Officer or Program Manager. If applicants do not know their FEMA Preparedness Officer or if there are programmatic questions or concerns, please contact the Centralized Scheduling and Information Desk (CSID) by phone at (800) 368-6498 or by e-mail at askcsid(a.,fema.dhs. og_v, Monday through Friday, 9 a.m. — 5 p.m. ET. Agreeing to Terms and Conditions of the Award By submitting an application, the applicant agrees to comply with the requirements of the applicable NOFO, this Manual, and the applicable appendix to this Manual, as well as the terms and conditions of its award should it receive an award. 1 Under this program, these instructions apply to SHSP, UASI, and OPSG. City Council 36 — 19 8/20/2024 PJ Address to Request Application Package Initial applications are processed through the Grants.gov portal. Final applications are completed and s u b m i t t e d t IND Fruntg fiystehi.EAjiAcatiPn forms and instructions are available on Grants.gov. Hard copies of the NOFO and associated application materials can also be downloaded at Grants.gov. To access these materials, go to Grants.gov, s e t e c t " A p p l i can .f Ins " t hen order to obtain the application package, s e t e c t Do w n l o a d a G Frntxntht A p p l i c a Assistance Listing (formerly CFDA) and/or the funding opportunity number located on the cover of the p r o gsr aNrO F O, s e t e c t "Down 1 oad P a c k a g e, " a n d t h e n 1 package. In addition, the following Telephone Device for the Deaf (TDD) and/or Federal Information Relay Service (FIRS) number available for this Notice and all relevant NOFOs is (800) 462-7585. Steps Required to Obtain a Unique Entity Identifier, Register in the System for Award Management (SAM), and Submit an Application Applying for an award under the programs covered by this Manual is a multi -step process and requires time to complete. Applicants are encouraged to register early, as the registration process can take four weeks or more to complete. Therefore, registration should be done in sufficient time to ensure it does not impact the applicant's ability to meet required submission deadlines. Failure of an applicant to comply with any of the required steps in submitting an application before the deadline may disqualify that application from funding consideration. To apply for an award, all applicants must: 1. Apply for, update, or verify their Unique Entity Identifier (UEI) number from SAM.gov, and Employer Identification Number (EIN) from the Internal Revenue Service; 2. In the application, provide a UEI number; 3. Have an account with loizin.gov; 4. Register for, update, or verify their SAM account and ensure the account is active before submitting the application; 5. Create a Grants.gov account; 6. Add a profile to a Grants.gov account; 7. Establish an Authorized Organizational Representative (AOR) in Grants.gov; 8. Register in ND Grants; 9. Submit an initial application in Grants.gov; 10. Submit the final application in ND Grants, including electronically signing applicable forms; and 11. Continue to maintain an active SAM registration with current information at all times during which they have an active federal award or an application or plan under consideration by a federal awarding agency. A s p a r t o f t h i s, a p p l i c a n t s mu s t a l s o immediate and highest -level owner and subsidiaries, as well as on all predecessors that have been awarded federal contracts or federal financial assistance within the past three years, if applicable. Specific instructions on how to apply for, update, or verify a UEI number or SAM registration or establish an AOR are included in the steps below for applying through Grants.gov. Applicants are advised that FEMA may not make a federal award until the applicant has complied with all applicable UEI and SAM r e q u i r ement s . T h e r of or e, an appl i cthaertimte'ofs SAM r e gi application, but also during the application review period and when FEMA is ready to make a federal a war d. Fur t her , as not ed above, an appl i cant s o duration of an active federal award. If a n a p p l i c a n t' s S A M r e g i s t r a t i o n application, expires during application review, or expires any other time before award, FEMA may City Council 36 — 20 8/20/2024 10 determine that the applicant is not qualified to receive a federal award and use that determination as a basis for making a federal award to another applicant. Per 2 C.F.R. § 25.110(c)(2)(iii), if an applicant is experiencing exigent circumstances that prevent it from receiving a UEI number and completing SAM registration prior to receiving a federal award, the applicant must notify FEMA as soon as possible by contacting askcsidkfema.dhs.gov and providing the details of the circumstances that prevent completion of these requirements. If FEMA determines there are exigent circumstances and FEMA has decided to make an award, the applicant will be required to obtain a UEI number, if applicable, and complete SAM registration within 30 days of the federal award date. Electronic Delivery FEMA is participating in the Grants.gov initiative to provide the grant community with a single site to find and apply for grant funding opportunities. FEMA requires applicants to submit their initial applications online through Grants.gov and to submit their final applications through ND Grants. How to Register to Apply through Grants.gov 1. General Instructions: Registering and applying for an award under these programs is a multi- step process and requires time to complete. Read the instructions below about registering to apply for FEMA funds. Applicants should read the registration instructions carefully and prepare the information requested before beginning the registration process. Reviewing and assembling the required information before beginning the registration process will alleviate last-minute searches for required information. The registration process can take up to four weeks to complete. To ensure an application meets the deadline, applicants are advised to start the required steps well in advance of their submission. Organizations must have a UEI number, an EIN, and an active SAM registration to apply for grants. Organizations must also have a Grants.gov account to apply for an award under these programs. Creating a Grants.gov account can be completed online in minutes, but UEI and SAM registrations may take several weeks. Therefore, an organization's registration should be done in sufficient t i me t o ens ur e i t doe s not i mpact t he en1 submission deadlines. Complete organizational instructions can be found on Grants.gov. If individual applicants are eligible to apply for a grant funding opportunity, refer to Applicant Registration I Grants.gov to create an account with Grants.gov. 2. Obtain a UEI Number: All entities applying for funding, including renewal funding, must have a UEI number. Applicants must enter the UEI number in the applicable data entry field on the SF- 424 form. For more detailed instructions for obtaining a UEI number, refer to SAM.gov. 3. Obtain Employer Identification Number: All entities applying for funding must provide an EIN. The EIN can be obtained from the IRS by visiting Apply for an Employer Identification Number EIN, Online I Internal Revenue Service (irs. -ov). 4. Create a login.gov account: Applicants must have a login.gov account in order to register with SAM or update their SAM registration. Applicants can create a login.gov account at Create your account - Login.gov. City Council 36 — 21 8/20/2024 11 Applicants only have to create a login.gov account once. For applicants that are existing SAM users, use the same email address for the login.gov account as with SAM.gov so that the two accounts can be linked. For more information on the login.gov requirements for SAM registration, refer to SAM.gov Home. 5. Register with SAM: All organizations applying online through Grants.gov must register with SAM. Failure to register with SAM will prevent your organization from applying through Grants.gov. SAM registration must be renewed annually. For more detailed instructions for registering with SAM, refer to Step 2: Register with SAM Grants. gov. Note: As a new requirement per 2 C.F.R. § 25.200, applicants must also pro v i d e t h e a p p l i immediate and highest -level owner, subsidiaries, and predecessors that have been awarded federal contracts or federal financial assistance within the last three years, if applicable. a. Additional SAM Reminders Existing SAM.gov account h o t d e r s s h o u t d c h e c k t h e i r a c c o u SAM registration should be completed at the very beginning of the application period and s h o u t d b e r e n e w e d a n n u a l Please allowo plenty of fimde b e i n" before the grant application submission deadline to obtain a UEI number and then to register in SAM. It may be four weeks or more after an applicant submits the SAM registration before the registration is active in SAM, and then it may be an additional 24 hours before FEMA's system recognizes the information. It is imperative that the information applicants provide is correct and current. Please ensure t hat your or g a n i z at i on' s name, addUEIe s s and number used in SAM is the same one used to apply for all other FEMA awards. Payment under any FEMA award is contingent on the r b. Help with SAM The SAM quick start guide for new recipient registration and SAM video tutorial for new applicants are tools created by the General Services Administration to assist those registering with SAM. If applicants have questions or concerns about a SAM registration, please contact the Federal Support Desk at GDIT Shared (fsd.gov) or call toll free (866) 606-8220. 6. Create a Grants.gov Account: The next step in the registration process is to create an account with Grants.gov. Applicants must know their or their organization's UEI number to complete this process. For more information, follow the on -screen instructions or refer to Applicant Registration I Grants.gov. 7. Add a Profile to a Grants.gov Account: A profile in Grants.gov corresponds to a single applicant organization the user represents (i.e., an applicant) or an individual applicant. If you work for or consult with multiple organizations and have a profile for each, you may log in to one Grants.gov account to access all your grant applications. To add an organizational profile to your Grants.gov account, enter the UEI number for the organization in the UEI field while adding a profile. 12 City Council 36 — 22 8/20/2024 For more detailed instructions about creating a profile on Grants.gov, refer to Add Profile I Grants. gov. EBiz Point of Contact (POC) Authorized Profile Roles: After you register with Grants.gov and create an Organization Applicant Profile, the organization a p p 1 i recquaesri fbr'Grsants.gov roles and access are sent to the EBiz POC. The EBiz POC will then log in to Grants.gov and authorize the appropriate roles, which may include the AOR role, thereby giving you permission to complete and submit applications on behalf of the organization. You will be able to submit your application online any time after you have been assigned the AOR role. For more detailed instructions about creating a profile on Grants.gov, refer to EBiz POC Authorizes Profile Roles I Grants.gov. 9. Track Role Status: To track your role request, refer to Track Profile Role Status I Grants.gov. 10. Electronic Signature: When applications are submitted through Grants.gov, the name of the organization applicant with the AOR role that submitted the application is inserted into the signature line of the application, serving as the electronic signature. The EBiz POC must authorize individuals who are able to make legally binding commitments on behalf of the organization as an AOR. Please ensure you have been authorized by the EBiz POC as this step is often missed, and it is crucial for valid and timely submissions. How to Submit an Initial Application to DHS/FEMA via Grants.gov Standard Form 424 (SF 424) is the initial application form. Grants.gov applicants can apply online using a workspace. A workspace is a shared, online environment where members of a grant team may simultaneously access and edit different web forms within an application. For each NOFO, you can create individual instances of a workspace. Applicants are encouraged to submit their initial applications in Grants.gov at least three days before the application deadline. In Grants.gov, applicants need to submit the following forms: • SF-424, Application for Federal Assistance; and • Grants.gov Lobbying Form, Certification Regarding Lobbying. Below is an overview of applying on Grants.gov. For access to complete instructions on how to apply for opportunities using a workspace, refer to: Workspace Overview I Grants. - go 1. Create a Workspace: Creating a workspace allows you to complete it online and route it through your organization for review before submitting. 2. Complete a Workspace: Add participants to the workspace to work on the application together, complete all the required forms online or by downloading PDF versions, and check for errors before submission. 3. Adobe Reader: If you decide not to apply by filling out web forms, you can download individual PDF forms in Workspace so that they will appear similar to other Standard or DHS/FEMA forms. The individual PDF forms can be downloaded and saved to your local device storage, network drive(s), or external drives, and then accessed through Adobe Reader. 13 City Council 36 — 23 8/20/2024 NOTE: Visit the Adobe Software Compatibility page on Grants.gov to download the appropriate version of the software at Adobe Software Compatibility I Grants.gov. 4. Mandatory Fields in Forms: In the forms, you will note fields marked with an asterisk and a different background color. These fields are mandatory fields that must be completed to successfully submit your application. 5. Complete SF-424 Fields First: The forms are designed to fill in common required fields across other forms, such as the applicant name, address, and UEI number. To trigger this feature, an applicant must complete the SF-424 information first. Once it is completed, the information will transfer to the other forms. 6. Submit a Workspace: An application may be submitted through workspace by clicking the " S i g n a n d S u b m i t" b u t t o n o n t h e Ma p a g e Wo r k s p recommends submitting your application package at least 24-48 hours prior to the close date to provide you with time to correct any potential technical issues that may disrupt the application submission. 7. Track a Workspace: After successfully submitting a workspace package, a Grants.gov Tracking Number (GRANTXXXXXXXX) is automatically assigned to the application. The number will be listed on the confirmation page that is generated after submission. Using the tracking number, access the Track My Application page under the Applicants tab or the Details tab in the submitted workspace. Additional Training and Applicant Support: For additional training resources, including video tutorials, refer to Applicant Training,) Grants.gov. Grants.gov provides applicants 24/7 support (except federal holidays) via the toll -free number (800) 518- 4726 and email at support(a� rang ants.gov and the website at Support I Grants.gov. For questions related to a specific grant contact the number listed in the NOFO of the grant for which you are applying for. If you are experiencing difficulties with your submission, it is best to call the Grants.gov Support Center and get a ticket number. The Support Center ticket number will assist FEMA with tracking your issue and understanding background information on the issue. Submitting the Final Application in ND Grants After submitting the initial application in Grants.gov, eligible applicants will be notified by FEMA and asked to proceed with submitting their complete application package in ND Grants. Applicants can register early with ND Grants and are encouraged to begin their ND Grants registration at the time of the NOFO announcement or, at the latest, seven days before the application deadline. Early registration will allow applicants to have adequate time to start and complete their applications. Applicants needing assistance registering for the ND Grants system should contact nd rg ants@fema.dhs.gov or (800) 865-4076. For step-by-step directions on using the ND Grants system and other guides, please see Non -Disaster Grants Management System I FEMA.gov. In ND Grants, applicants will be prompted to submit the standard application information required as described i n t h e " C o n t e n t a n d F o r m belfiw. Thep $anl dairdcFarmt si S u b m i (SFs) are auto -generated in ND Grants, but applicants may access these forms in advance through the Forms tab under the SF-424 family on Grants.gov. Applicants should review these forms before applying to ensure they have all the information required. 14 City Council 36 — 24 8/20/2024 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 Signatory Authority (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 period of performance. Consultants or contractors of the recipient are not permitted to be the AOR or SA of the recipient. For program -specific application submission requirements, please refer to the applicable program NOFO and applicable appendix to this Manual. Timely Receipt Requirements and Proof of Timely Submission As application submission is a two-step process, the applicant with the AOR role who submitted the application in Grants.gov will receive an acknowledgement of receipt, a tracking number (GRANTXXXXXXXX) from Grants.gov with the successful transmission of its initial application. This notification does not serve as proof of timely submission, as the application is not complete until it is submitted in ND Grants. Applicants can also view the ND Grants Agency Tracking Number by accessing the Details tab in the submitted workspace section in Grants.gov, under the Agency Tracking Number column. Should the Agency Tracking Number not appear, the application has not yet migrated from Grants.gov into the ND Grants system. Please allow 24 hours for your ND Grants application tracking number to migrate. All applications must be received in ND Grants by 5 p.m. Eastern Time on the application deadline. Proof of timely submission is automatically recorded by ND Grants. An electronic date/time stamp is generated within the system when the application is successfully received by ND Grants. Additionally, the applicant(s) listed as contacts on the application will receive a system -generated email to confirm receipt. Standard Required Application Forms and Information For all programs, the following forms or information are required to be submitted in either Grants.gov or ND Grants. The SFs are submitted either through Grants.gov, through forms generated in ND Grants, or as an attachment in ND Grants. Applicants may also access the SFs at SF-424 Family) Grants.gov. Grants.gov: • SF-424, Application for Federal Assistance, initial application submitted through Grants.gov; and • Grants.gov Lobbying Form, Certification Regarding Lobbying, submitted through Grants.gov. ND Grants: SF-424A, Budget Information (Non -Construction), submitted via the forms generated by ND Grants; o For construction under an award, submit: SF-424C, Budget Information (Construction), submitted via the forms generated by ND Grants, in addition to or instead of SF-424A SF-424B, Standard Assurances (Non -Construction), submitted via the forms generated by ND Grants; 15 City Council 36 — 25 8/20/2024 o For construction under an award, submit: SF-424D, Standard Assurances (Construction), submitted via the forms generated by ND Grants, in addition to or instead of SF-424B SF-LLL, Disclosure of Lobbying Activities, submitted via the forms generated by ND Grants; and Indirect Cost Agreement or Proposal, submitted as an attachment in ND Grants if the budget includes indirect costs and the applicant is required to have an indirect cost rate agreement or proposal. If the applicant does not have or is not required to have an indirect cost rate agreement or proposal, pl e a s e s e e t he " F u n d i ng Re s t r i c t i o n s a n i program NOFO and the section below on indirect costs for further information regarding allowability of indirect costs and whether alternatives to an indirect cost rate agreement or proposal might be available or contact the relevant Preparedness Officer or Program Manager for further instructions. Generally, applicants need to submit either the non -construction forms (i.e., SF-424A and SF-42413) or construction forms (i.e., SF-424C and SF-424D), meaning that applicants that only have construction work and do not have any non -construction work need only submit the construction forms (i.e., SF-424C and SF-424D) and not the non -construction forms (i.e., SF-424A and SF-424B), and vice versa. However, applicants who have both construction and non -construction work under these programs need to submit both the construction and non -construction forms. Intergovernmental Review An intergovernmental review may be required. Applicants must contact their state' s S i n g l e P o i n t Contact to comply with the state' s p r o c e s s under . Executive Or d e r 1 2 See Executive Orders I National Archives and Intergovernmental Review (SPOC List) (whitehouse.gov). Funding Restrictions and Allowable Costs All costs charged to awards covered by this Manual must comply with the Uniform Administrative Requirements, Cost Principles, and Audit Requirements at 2 C.F.R. Part 200, unless otherwise indicated in this Manual, the applicable program NOFO, or the terms and conditions of the award. This includes, among other requirements, that costs must be incurred, and products and services must be delivered, within the period of performance of the award. See 2 C.F.R. § 200.403(h) (referring to budget periods, which for FEMA preparedness grant awards is the same as the period of performance). In general, the Cost Principles establish standards for the allowability of costs, provide detailed guidance on the cost accounting treatment of costs as direct or administrative costs, and set forth allowability principles for selected items of cost. More specifically, except as otherwise stated in the applicable program appendix to this Manual, the program NOFO, or the terms and condition of an award, costs charged to awards covered by this Manual must be consistent with the Cost Principles for Federal Awards located at 2 C.F.R. Part 200, Subpart E. In order to be allowable, all costs charged to a FEMA award or applied to the cost share must be reasonable in nature and amount and allocable to the particular FEMA award. Additionally, all costs charged to award s mu s t c o m p l y w i t h t h e g r a n t p r o policies, NOFOs, and requirements in this Manual and the applicable NOFO, 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. 16 City Council 36 — 26 8/20/2024 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. Federal funds made available through these awards may be used for the purposes set forth in this Manual, the applicable program NOFO, and the terms and conditions of the award and must be consistent with the statutory authority for the award. 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. Specific investments made in support of the funding priorities discussed in the appendices to this Manual generally fall into one of the following eight allowable expense categories: 1. Construction; 2. Equipment; 3. Exercises; 4. Management & Administration (M&A); 5. Organization; 6. Operational Activities; 7. Planning; and 8. Training. Please refer to the relevant program -specific appendix for more information on funding restrictions, funding priorities, and these categories. Accessibility Compliance Preparedness grant program recipients using funds to build or alter buildings must comply with accessibility requirements under the Rehabilitation Act of 1973 and Architectural Barriers Act of 1968 (ABA), as well as the Americans with Disabilities Act (ADA), if applicable, to ensure individuals with disabilities have access to such buildings. Accessibility standards under the ABA and ADA are highly similar. Additional information regarding compliance with the Architectural Barriers Act is available at Chapter 1: Using the ABA Standards (access-board.gov). Authorized Equipment List The Authorized Equipment List (AEL) i s a l i s t o f a p p r o v e d e q u i p in e n t 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. 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 August 13, 2020, the statute — as it applies to FEMA recipients, subrecipients, and their contractors and subcontractors — prohibits obligating or expending federal award funds on certain telecommunications and video surveillance products and contracting with certain entities for national security reasons. 17 City Council 36 — 27 8/20/2024 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 at Contract Provisions Guide: Navigating Appendix II to Part200 - Contract Provisions for Non -Federal Entity Contracts Under Federal Awards. Effective August 13, 2020, FEMA recipients and subrecipients may not use any FEMA funds under open or new awards to: 1. 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; 2. Enter into, 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 3. Enter into, 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. Definitions Per section 889(f)(2)-(3) of the FY 2019 NDAA and 2 C.F.R. § 200.216, covered telecommunications equipment or services means: 1. Telecommunications equipment produced by Huawei Technologies Company or ZTE Corporation, (or any subsidiary or affiliate of such entities); 2. 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); 3. Telecommunications or video surveillance services provided by such entities or using such equipment; or 4. 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 cont r of 1 ed by, or of h e r w i s e connect ed t o t he 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 " c o v e r e d t e l e c o in in u n i c a Seei 2d .iF.Rs .§ 200g4tTIi p me n o r s e r v i c e t Management and Administration (M&A) 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. 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 City Council 36 — 28 8/20/2024 18 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. 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 particular Federal award; and 4) not duplicative of the same costs that are included in the approved Indirect Cost Rate Agreement, if applicable. Procedures for Establishing Indirect Cost Rates The requirements and procedures for establishing indirect cost rates are the same for all the preparedness programs outlined in the Preparedness Grants Manual. The process for establishing the indirect cost rate varies based on the type of entity and the amount of funding they receive: • If the entity is a non -governmental entity, and is a subrecipient, indirect cost rate procedures are outlined in 2 CFR 200.332(a)(4). 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 2 CFR 200, Appendix VII. 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, the proposal must be approved by the cognizant agency. ■ If a state or local entity receives $35 million or less in grant funding, they have to 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 CFR 200.102(b)). 19 City Council 36 — 29 8/20/2024 Award Determination and Obligation Allocations Risk Methodology D H S d e f i n e s r i s tadvearses outcom" elaseestseel as t funcatiol n offhaczard/thaearts, assets and their vulnerabilities, and consequences." See DHS Lexicon Terms and Definitions: 2017 Edition — Revision 2, (Oct. 2017). The FEMA risk methodology is focused on three elements: • Threat: the likelihood of an attack being attempted by an adversary; • Vulnerability: the likelihood that an attack is successful, given that it is attempted; and • Consequence: the effect of an event, incident, or occurrence. Please see the applicable appendix of this Manual for each award program for specific information on the risk methodology applied for each program. Application Evaluation Criteria Programmatic Criteria See the Manual appendices and relevant program NOFOs for specific information on the application criteria specific to each program. Financial Integrity Criteria Prior to making a federal award, FEMA is required by 31 U.S.C. § 3354, as enacted by the Payment Integrity Information Act of 2019, Pub. L. No. 116-117 (2020); 41 U.S.C. § 2313; and 2 C.F.R. § 200.206 to review information available through any Office of Management and Budget (OMB) -designated repositories of governmentwide eligibility qualification or financial integrity information, including whether the applicant is suspended or debarred. FEMA may also pose additional questions to the applicant to aid in conducting the pre -award risk review. Therefore, application evaluation criteria may include the following risk -based considerations of the applicant: 1. Financial stability; 2. Quality of management systems and ability to meet management standards; 3. History of performance in managing federal award; 4. Reports and findings from audits; and 5. Ability to effectively implement statutory, regulatory, or other requirements. All investments selected for recommendation will also undergo an additional risk review conducted by the FEMA Grants Management Specialist to evaluate the risk for noncompliance in carrying out the federal award. Using their subject -matter expertise, the questions the FEMA Grants Management Specialist may assess include, but are not limited to: • Is the applicant on any exclusion lists as identified in SAM.gov? • If the applicant has received federal funding in the past, has the applicant performed all audits required by the Single Audit requirements under 2 C.F.R. Part 200, Subpart F? • Has the applicant provided sufficient budget information and justification as required by the NOFO? • Are the costs proposed by the applicant in the budget information and justification allowable and reasonable based on the criteria set forth in this Manual and the applicable appendix, NOFO, and regulations? City Council 36 — 30 8/20/2024 20 • Is the budget representative of the total cost of performance of the projects? • If indirect costs are included, is the applicant required to have an approved indirect cost rate agreement? If so, has the applicant provided an approved indirect cost rate agreement? • Is the applicant delinquent on any federal debt? • Has the applicant had substandard performance in a prior award? • Is the applicant on the Do Not Pay List? Based on the outcome of this review, FEMA may determine that it will not make an award to an applicant that poses a risk of noncompliance. FEMA may also determine that it will make an award to an at -risk applicant, subject to additional terms and conditions as described in 2 C.F.R. § 200.208. Supplemental Financial Integrity Review Prior to making a federal award where the anticipated total federal share will be greater than the simplified acquisition threshold, currently $250,000: FEMA is required to review and consider any information about the applicant, including information on the a p p l i cant ' s i m inva�labwinear,tsubsidiarins,dand Vrapg WW it in the designated integrity and performance system accessible through SAM, which is currently the Federal Awardee Performance and Integrity Information System (FAPIIS). An applicant, at its option, may review information in FAPIIS and comment on any information about itself that a federal awarding agency previously entered. FEMA will consider any comments by the applicant, in addition to the other information in F A P I I S, i n maki ng a j u d g m e n t about t he appl i s performance under federal awards when completing the review of risk posed by applicants, as described in 2 C.F.R. § 200.206. Review and Selection Process FEMA will follow all applicable statutes, rules, and requirements and will take into consideration materials accompanying the annual appropriations acts, such as the Joint Explanatory Statement, as appropriate, in reviewing and selecting recipients. Please see the applicable NOFO for the review and selection process for that program. Federal Award Administration Information Notice of Award Before accepting the award, the AOR and recipient should carefully review the award package. The award package includes instructions on administering the grant award and the terms and conditions associated with responsibilities under federal awards. Recipients must accept all conditions in the applicable program NOFO, as well as this Manual, in addition to any special terms and conditions in the Notice of Award to receive an award under the applicable program. Notification of award approval is made through the ND Grants system through an automatic electronic mail to the r e c i paui th®rizetd 6ffacial 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 no later than 60 days from the award date. The recipient shall notify FEMA of its intent to accept and proceed with work under the award or provide a notice of intent to decline through the ND Grants system. For instructions on how to accept or decline an award in the ND City Council 36 — 31 8/20/2024 21 Grants system, please see the Grant Recipient User Guide. Funds will remain on hold until the recipient accepts the award through the ND Grants system and all other conditions of the award have been satisfied or until the award is otherwise rescinded. Failure to accept a grant award within the 60-day timeframe may result in a loss of funds. Pass -Through Requirements Please see the applicable NOFO and appendix to this Manual for information on pass -through requirements for that program. Administrative and National Policy Requirements 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 successful applicants for all 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. Ensuring the Protection of Civil Rights As the Nation works towards achieving the National Preparedness Goal, it is important to continue to protect the civil rights of individuals. Recipients must carry out their programs and activities, including those related to the building, sustainment, and delivery of core capabilities, in a manner that respects and ensures the protection of civil rights for protected populations. Federal civil rights statutes, such as Section 308 of the 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. Recipients must complete the DHS Civil Rights Evaluation Tool within 30 days of receipt of the Notice of 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: Civil Rights Resources for Recipients of DHS Financial Assistance I Homeland Security and Office of Equal Rights I FEMA.gov. 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. Environmental Planning and Historic Preservation (EHP) Compliance As a federal agency, FEMA is required to consider the effects of its actions on the environment and historic properties to ensure that all activities and programs funded by FEMA, including grant -funded projects, comply with federal EHP regulations, laws, and Executive Orders, as applicable. City Council 36 — 32 8/20/2024 22 All non -critical new construction or substantial improvement of structures in a Special Flood Hazard Area must, at a minimum, app l y t h e f l o o d e l e v a t i o n s o f t h e F e d e r a l Freeboard Value Approach unless doing so would cause the project to be unable to meet applicable program cost-effectiveness requirements. All other types of projects may choose to apply the flood el e v a t i o n s of t he Feder al F1 o o d Ri s k MlaxencuaivWement Order (EO) 14030, Climate -Related Financial Risk and FEMA Policy #-206-21-0003, Partial Implementation of the Federal Flood Risk Management Standard for Hazard Mitigation Assistance Programs . Interim). The Grant Programs Directorate (GPD) manages and administers F E MA ' s p r e p a r-dasachtar e s s a n grants and consolidates the grant business operations, systems, training, policy, and oversight of all FEMA grants. All GPD actions, including grant -funded actions, must comply with National Flood Insurance Program criteria or any more restrictive federal, state, or local floodplain management standards or building code (44 CFR § 9.11(d)(6)). All GPD-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 th e F e d e r a l F 1 o o d R i s k Ma n a g e m e n t S t a n d A p p r o a c h " ( 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 two feet above the 1 % annual chance flood elevation. All GPD-funded critical actions in 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; 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 Executive Order (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. Recipients and subrecipients proposing projects that have the potential to impact the environment, including, but not limited to, the construction of communication towers, modification or renovation of existing buildings, structures, and facilities, new construction, including replacement of facilities, and some training activities, must participate in the FEMA EHP review process. The EHP review process involves the submission of a detailed project description along with any supporting documentation requested by FEMA in order to determine whether the proposed project has the potential to impact environmental resources or historic properties. In some cases, FEMA is also required to consult with other regulatory agencies and the public in order to complete the review process. The EHP review process must be completed before funds are released to carry out the proposed project; otherwise, FEMA may not be able to fund the project due to noncompliance with EHP laws, Executive Orders, regulations, and policies. DHS and FEMA EHP policy is found in directives and instructions available on Environmental and Historic Preservation Guidance for FEMA Grant Applications, the FEMA website page that includes City Council 36 — 33 8/20/2024 23 documents regarding EHP responsibilities and program requirements, including implementation of the National Environmental Policy Act and other EHP regulations and Executive Orders. A GPD EHP screeningform orm and supporting documentation for preparedness projects requiring EHP review should be submitted to gdoehpinfo&fema.dhs.gov. Additionally, all recipients under this funding opportunity are required to comply with the FEMA GPD EHP Policy Guidance, FEMA Policy #108-023- 1, Grant Programs Directorate Environmental and Historic Preservation Policy Guidance. Executive Order (EO) 13985, Advancing Racial Euity and Support for Underserved Communities through the Federal Government, rearticulates and strengthens 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 E.O. 13985 states that: " A f f i r m a aticingvegeuiltyycivikrickhts, racial justice, and equal opportunity is the responsibility of �91i @ e@i i i i g rc e�Ai�gl l [i i @igotoinic opprQggk i4 wedding c o g n i z e r e d r e s s i n e q u a l i t i e s i n t h e i r p o l i c i e s a n d p r o g r Many pr of e ct s f u n d e d by GPD' s gr ant pr o g r ams c an particular, construction of buildings and other structures and construction of new communication towers may have disproportionately high and adverse effects on minority and low-income populations. FEMA acknowledges the important role that FEMA recipients and subrecipients play in advancing and achieving environmental justice by identifying low-i n c o m e a n d m i n o r i t y p o p u l a t i o n s affected area as early as possible and taking steps to accommodate these interests. F o r c o n s i s t e n c y w i otic#, FEdq& will jAvdewmandnevi alaxate polenttiail pro*ec'tssfor p disnbp9udVrwt&y ihtgk wiadmslf bldetnnm tgscthlove pnegbppo odmgt#&MAmill 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 Executive Order 12898: Environmental Justice I FEMA.gov. National Incident Management System (NIMS) Implementation NIMS guides all levels of government, nongovernmental organizations (NGO), and the private sector to work together to prevent, protect against, mitigate, respond to, and recover from incidents. NIMS provides stakeholders across the whole community with the shared vocabulary, systems, and processes to successfully deliver the capabilities described in the National Preparedness System. The NIMS Implementation Objectives for Local, State, Tribal, and Territorial Jurisdictions clarify the NIMS implementation requirements in FEMA preparedness grant NOFOs. As recipients and subrecipients of federal preparedness (non -disaster) grant awards, jurisdictions and organizations must achieve, or be actively working to achieve, all of the NIMS Implementation Objectives. The objectives can be found on the NIMS webpage at NIMS Implementation and Training I 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 City Council 36 — 34 8/20/2024 24 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 NIMS Components - Guidance and Tools I FEMA.gov. Please also see the individual program appendices in this Manual for additional requirements regarding NIMS implementation for specific programs. FEMA developed the NIMS Guideline for the National Quali ication 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. Ad d i t i o n a l i n f o r in a t i o n a b o u t N I M S Naiiomal Ingciaiente r a t i s Management System I FEMA.gov. 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. Additional information about NIMS implementation is available at NIMS Implementation and Training I FEMA. gov. 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). T h e F i r s t N e t utor* mist sihndsitoiestab�is'h a nationwide public safety broadband network (FirstNet). 47 U.S.C. § 1426(b). FirstNet uses the 700 MHz D block spectrum to provide Long -Term Evolution (LTE)-based broadband services and applications to public safety entities. 47 U.S.C. §§ 1401(2), 1421(a). FirstNet became operational in March 2018 and is based on a single, national network architecture that evolves with technological advances and consists of a physically separate evolved packet core (EPC) network and radio access networks (RANs). FirstNet provides public safety entities with mission -critical broadband data capabilities and services including, but not limited to messaging, image sharing, video streaming, group text, voice, data storage, application, location -based services, and Quality of Service, Priority, and Preemption. Public safety entities seeking to enhance their operational capabilities using broadband technology may seek grant funding from appropriate programs to support the following: Planning for integration of information technology (IT) infrastructure, software, and site upgrades necessary to connect to FirstNet; Handheld broadband devices including smartphones, feature phones, tablets, wearables, push -to - talk (PTT) devices; Vehicle -mounted or otherwise field operated data devices, such as ruggedized laptops; s t a t 25 City Council 36 — 35 8/20/2024 • Network access devices, including portable Wi-Fi devices, Universal Serial Bus (USB) modems/dongles, trunk -mounted modems, routers; • Customer -Owned and Managed (LOAM) 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 the Statewide Interoperability Coordinator (SWIC) and FirstNet on the planning, deployment timelines, and operational availability of the network deployment within a specific state or territory, and to ensure that project does not conflict with network planning efforts and complies with all technical requirements. FirstNet requires participating agencies to demonstrate a subscription to public safety -prioritized broadband services to purchase FirstNet broadband devices or applications. 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 infokfirstnet.gov. Please also refer to the most recent SAFECOM Guidance on Emergency Communications Grants for additional guidance. SAFECOM Guidance Compliance All entities using preparedness grant funding to support emergency communications investments are required to comply with the SAFECOM Guidance on Emergency Communications Grants (SAFECOM Guidance). The SAFECOM Guidance provides current information on emergency communications policies, eligible costs, best practices, and technical standards for SLTT recipients investing federal funds in emergency communications projects. It is also designed to promote and align with the National Emergency Communications Plan (NECP). 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 SAFECOM Guidance during planning, development, and implementation of emergency communications projects and in conjunction with other planning documents (e.g., Statewide Communication Interoperability Plans (SCIP)). Specifically, Appendix D of the SAFECOM Guidance contains compliance instructions for FEMA grant recipients. Emergency communications investments also will be reviewed jointly by FEMA and the Cybersecurity and Infrastructure Security Agency (CISA) to verify compliance with SAFECOM Guidance. FEMA will coordinate directly with the recipient on any compliance concerns and will provide technical assistance as necessary to help ensure full compliance. City Council 36 — 36 8/20/2024 26 Post -Award Management and Implementation Reporting Recipients are required to submit various financial and programmatic reports as a condition of award acceptance. Future awards and funds drawdown may be withheld if these reports are delinquent. Consultants or contractors are not permitted to be the AOR or the 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. Federal Financial Reporting Requirements Federal Financial Report (FFR) Recipients must report obligations and expenditures to FEMA on a quarterly basis through the FFR form (SF-425). Recipients may review the FFR Form (SF-425) at Post -Award Reporting Forms I Grants.gov. Recipients must file the FFR electronically using the Payment and Reporting Systems (PARS). Financial Reporting Periods and Due Dates An FFR must be submitted quarterly throughout the period of performance (POP), including partial calendar quarters, as well as in periods where no grant award activity occurs. The final FFR is due within 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. Except for the final FFR due at 120 days after the end of the POP for purposes of closeout, the following reporting periods and due dates apply for the FFR: FFR Reporting Period October 1 — December 31 Report Due Date January 30 January 1 — March 31 April 30 April 1 — June 30 July 30 July 1 — September 30 October 30 Because of a system limitation, if at the end of the POP a recipient still has funds to draw down, PARS requires an FFR be submitted within 30 days of the end of the POP in order to access those funds. In that case, the recipient will need to submit an FFR within 30 days of the end of the POP in addition to the final FFR within 120 days of the end of the POP. All other recipients who do not need to draw down funds after the end of the POP are only required to submit the final FFR within 120 days after the end of the POP. Program Performance Reporting Requirements Performance Progress Report (PPR) Recipients are responsible for providing updated performance reports on a biannual basis as an attachment in ND Grants. The PPR should include the following: City Council 36 — 37 8/20/2024 27 • 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. Note: This requirement does NOT apply to the EMPG Program, which has different performance reporting requirements. These are described in the EMPG Program Appendix in this Manual. Program Performance Reporting Periods and Due Dates The following reporting periods and due dates apply for the PPR: Reporting Period Report Due Date January 1 — June 30 July 30 July 1 — December 31 January 30 Additional Programmatic Reporting Requirements and Information Biannual Strategy Implementation Report (BSIR)2 In addition to the quarterly financial and biannual performance progress reports, recipients are responsible for completing and submitting BSIRs through the Grants Reporting Tool (GRT). The BSIR is due within 30 days after the end of the reporting period: July 30 for the reporting period of January 1 through June 30 (summer BSIR report); and January 30 for the reporting period of July 1 through December 31 (winter BSIR report). All required attributes of each project must be included. Updated obligations, expenditures, and significant developments must be provided within the BSIR to show the progress of implementation for every project as well as how expenditures support Planning, Organization, Equipment, Training, and Exercises (POETE). The first BSIR will be due by January 30, or 30 days after the end of the first reporting period of the award. Subsequent BSIR reports will require recipients to report on a project -by - project basis. Recipients also are responsible for completing and submitting a closeout BSIR. Wh e n a n QPwra r d ' s the liquidation period ends in the middle of a reporting period, a "regular" BSIR must be submitted with full accounting of actual project information/expenditures before a Closeout BSIR can be created/ submitted. The last "regular" BSIR is required because the Closeout BSIR does NOT contain full functionality to edit any project information/expenditures. Once the last "regular" BSIR is approved by GPD, the Closeout BSIR can be created/submitted. Please contact your HQ Preparedness Officer for guidance on the information required for the Closeout BSIR. Closeout Reporting Requirements Within 120 days after the end of the POP for the prime award or after an amendment has been issued to close out an award before the original POP ends, whichever occurs first, recipients must liquidate all financial obligations and submit the following documentation in ND Grants: 1. The final request for payment, if applicable; 2. The final FFR (SF-425); 3. The final PPR; 2 BSIR requirements are applicable to the following grant programs: HSGP (SHSP, UASI, and OPSG), THSGP, EMPG, and NSGP. City Council 36 — 38 8/20/2024 M-13 4. A qualitative narrative summary of the impact of those accomplishments throughout the entire POP submitted to the respective FEMA Preparedness Officer; and 5. Other documents required by program guidance, NOFOs, appendices to this Manual, terms and conditions of the award, or other FEMA guidance. In addition, any recipient that issues subawards to any subrecipient is responsible for closing out those subawards as described in 2 C.F.R. § 200.344; subrecipients are still required to submit closeout materials within 90 days of the subaward POP end date. When a subrecipient completes all closeout requirements, pass -through entities must promptly complete all closeout actions for subawards in time for the recipient to submit all necessary documentation and information to FEMA during the closeout of their prime award. After the prime award closeout reports have been reviewed and approved by FEMA, a closeout notice will be completed to close out the grant. The notice will indicate the POP as closed, list any remaining funds that will be deobligated, and address the requirement of maintaining the award records for at least three years from the date of the final FFR. The record retention period may be longer than three years due to an audit, litigation, for equipment or real property used beyond the period of performance or other circumstances outlined in 2 C.F.R. § 200.334. Recipients are responsible for refunding to FEMA any balances of unobligated cash that FEMA paid that are not authorized to be retained per 2 C.F.R. § 200.344(d). Administrative Closeout Administrative closeout is a mechanism for FEMA to unilaterally move forward with closeout of an award using available award information in lieu of final reports from the recipient per 2 C.F.R. § 200.344(h)-(i). It is a last resort available to FEMA, and if FEMA needs to administratively close an award, this may negatively impact a recipient's ability to obtain future funding. This mechanism can also require FEMA to make cash or cost adjustments and ineligible cost determinations based on the information it has, which may result in identifying a debt owed to FEMA by the recipient. Wh e n a r e c i p i e n t i s n o t r e s p o n s i v e t o F EMA' s r e a 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 mu t r e p o r t i n FAPI I S t he r e c i pi e n t ' s mat e r 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. City Council 36 — 39 8/20/2024 29 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 a n y o f t h e r e c i p i e n t' s p r i mnwri: p a l s u of the four criteria listed at 2 C.F.R. § 180.335: • Are presently excluded or disqualified; • Have been convicted within the preceding three years of any of the offenses listed in 2 C.F.R. § 180.800(a) or had a civil judgment rendered against it or a n y o f t h e r e fDrionpe T e n t' s of those offenses within that time period; • Are presently indicted for or otherwise criminally or civilly charged by a governmental entity (federal, state, or local) with commission of any of the offenses listed in 2 C.F.R. § 180.800(a); or • Have had one or more public transactions (federal, state, or local) terminated within the preceding three years for cause or default. At any time after accepting the award, if the recipient learns that it or any of its principals falls under one or more of the criteria listed at 2 C.F.R. § 180.335, the recipient must provide immediate written notice to FEMA in accordance with 2 C.F.R. § 180.350. Reporting of Matters Related to Recipient Integrity and Performance Per 2 C.F.R. Part 200, Appendix I § F.3, the additional post -award reporting requirements in 2 C.F.R. Part 200, Appendix X11 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 FAPIIS about civil, criminal, or administrative proceedings described in paragraph 2 of Appendix X1I at the reporting frequency described in paragraph 4 of Appendix XII. Single Audit Report For audits of fiscal years beginning on or after December 26, 2014, recipients that expend $750,000.00 or more from all federal funding sources during their fiscal year are required to submit an organization -wide financial and compliance audit report, also known as a "single audit" report. The audit must be performed in accordance with the requirements of the U.S. Government Accountability Of f i c e' s ( GAO) G o v e r n m e n tYelloAmBdokItU.iS.rGAg O, fiidt the n d a r d s t o requirements of Subpart F of 2 C.F.R, Part 200, located at eCFR :: 2 CFR Part 200 Subpart F -- Audit Requirements. City Council 36 — 40 8/20/2024 30 Additional Information Monitoring and Oversight Overview Per 2 C.F.R. § 200.337, FEMA, through its authorized representatives, has the right, at all reasonable times, to make site visits or conduct desk reviews to review project accomplishments and management control systems in order to evaluate award progress and to provide any required technical assistance. During site visits or desk revie w s, F E M A w i 1 1 r e v i e w r e c i p i e n monitoring and program evaluation activities, recipients must permit FEMA, upon reasonable notice, to review grant-r e l a t e d r e c o r d s a n d t o i n htractror$ ri gaerd-'ing theh e program. Recipients must respond in a timely and accurate manner to FEMA requests for information relating to the award. Effective monitoring and oversight help FEMA ensure that recipients use grant funds for their intended purpose(s), verify that projects undertaken are consistent with approved plans, and ensure that recipients make adequate progress towards stated goals and objectives. Additionally, monitoring serves as the primary mechanism to ensure that recipients comply with applicable laws, rules, regulations, program guidance, and requirements. FEMA regularly monitors all grant programs both financially and programmatically in accordance with federal laws, regulations (including 2 C.F.R. Part 200), program guidance, and the terms and conditions of the award. All monitoring efforts ultimately serve to evaluate progress towards grant goals and proactively target and address issues that may threaten grant success during the period of performance. FEMA staff will periodically monitor recipients to ensure that administrative processes, policies and procedures, budgets, and other related award criteria are meeting Federal Government -wide and FEMA regulations. Aside from reviewing quarterly financial and programmatic reports, FEMA may also conduct enhanced monitoring through desk -based reviews, onsite monitoring visits, or both. Enhanced monitoring will involve the review and analysis of financial compliance and administrative processes, policies, activities, and other attributes of each federal assistance award, and it will identify areas where the recipient may need technical assistance, corrective actions, or other support. Fi n a n c i al and pr o g r ammat i c moni t or i ng a e 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-t h r o u g h e n t i t y' s r e s p o n s i b 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. 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 s' fil o r g a n s ompl e 1 i t y City Council 36 — 41 8/20/2024 31 records, reporting, and refunding expenditures disallowed by audits, monitoring if acting as a pass - through entity, other assessments and reviews, and ensuring overall compliance with the terms and conditions of the award or subaward, as applicable, including the terms of 2 C.F.R. Part 200. Financial Monitoring Overview and Approach FEMA ' 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: M o n i t o r i n g s t a f f m e a s u r e e a c h g r a n t of pre -determined evaluation criteria. The criteria help assess the recipient and potential challenges to the success of the grant award. 2. Monitoring Selection and Scheduling: Monitoring staff make selection and scheduling decisions in accordance with applicable statutory requirements, such as the Homeland Security Act of 2002, as amended (hereafter "HSA"), and consider the results of the monitoring assessment process. 3. Monitoring Activities: Monitoring activities include cash analysis, desk reviews, and site visits. Grants Management Specialists are responsible for conducting quarterly or semi-annual reviews of all grants via cash analysis. Desk reviews and site visits are additional monitoring activities conducted on grants where the monitoring assessment process identified the need for additional monitoring and validated the use of FEMA resources for these activities. 4. Post -Monitoring Actions: Monitoring staff may follow up with recipients via post -monitoring actions based on the outcomes of monitoring activities. Post -monitoring actions include conducting additional monitoring; reviewing Corrective Action Plans (CAP) and monitoring the progress of CAP deliverables; documenting the resolution of identified corrective actions and issues; providing technical assistance and recipient training; and debt collection. In addition to the monitoring guidance outlined above, section 2022(a)(2)(A) of the HSA mandates the frequency of monitoring activities for applicable preparedness grants. The applicable section of the HSA reads as follows: Not less than once every 2 years, the Administrator shall conduct, for each state and high -risk urban area receiving a grant administered by the Department, a programmatic and financial review of all grants awarded by the Department to prevent, prepare for, protect against, or respond to natural disasters, acts of terrorism, or other man-made disasters, excluding assistance provided under section 203, title IV, or title V of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S. C. 5133, 5170 et seq., and 5191 et seq). The following preparedness grant programs covered by this Manual are subject to HSA monitoring requirements: • HSGP o SHSP o UASI o OPSG • NSGP • TSGP 32 City Council 36 — 42 8/20/2024 • PSGP • EMPG Program Standard Monitoring Activity: Cash Analysis Through cash analysis, a Grants Management Specialist assesses and reports o n t h e r e coni- p hand, expenditures, and unliquidated obligations; gauges potential cost share shortfalls; cash on hand issues; and spend down activities within the POP. The analysis reconciles and compares grant disbursement records with the recipient submitted FFR. This process identifies recipients that may require additional monitoring due to issues identified with drawdowns or FFR submissions. Enhanced Monitoring Activities: Desk Review, Site Visit Desk reviews and site visits are two forms of additional monitoring that FEMA conducts on a recipient. Table 1 defines the key differences and similarities. Table 1 - Enhanced Financial Monitoring Activities (Desk Review and Site Visit) Attribute I Desk Review ml I Site Visit Location/ Logistics Materials Reviewed Goal of Monitoring Activity A detailed, paper -based review and evaluation conducted at a FEMA office Desk reviews do not require travel. Required reports, correspondence, and other documentation, including policies and procedures, to substantiate compliance. Additional documentation available remotely may include information available through the grant file, financial reports, interviews, and other documentation and correspondence to verify compliance. Th e g o a l s o f F EMA review monitoring activities are, as applicable, to: • Review grant files to verify compliance, conduct interviews to confirm adherence to approved program plans, and confirm equipment acquisition, allowable use, and inventory controls; • Document that recipient institutions possess adequate internal controls, policies, processes, and systems to manage FEMA grants effectively; • Assist the recipient with the grant process and provide guidance to improve recipient administrative efficiencies; • Identify and analyze relevant A visit by FEMA grants management staff conducted at the site of the r e c i p i e operations and/or selected performance sites. Site visits may require travel. Includes documents listed under the desk review in addition to all applicable documents and required reports necessary to assess recipient capability and progress, validate records, and substantiate compliance with laws, regulations, and policies. The goal s of FEMA monitoring activities are, as applicable, to: • Review grant files to verify compliance, conduct interviews to confirm adherence to approved program plans, and confirm equipment acquisition, allowable use, and inventory controls; • Document that recipient institutions possess adequate internal controls, policies, processes, and systems to manage FEMA grants effectively; • Assist the recipient with the grant process and provide guidance to improve recipient administrative efficiencies; • Identify and analyze relevant problems that might prevent the program from achieving its e n t s 33 City Council 36 — 43 8/20/2024 Attribute Desk Review Site Visit problems that might prevent the internal and external objectives; program from achieving its and internal and external objectives; Provide technical assistance. and • Provide technical assistance. Programmatic Monitoring Overview and Approach Programmatic monitoring involves oversight throughout the award lifecycle in order for FEMA to verify that programs and projects undertaken by recipients are consistent with approved plans and comply with applicable laws, regulations, program guidance, and the terms and conditions of the award. F E M Arhoaitoring approach complies with the monitoring requirements described in section 2022 of the HSA. Programmatic monitoring also plays an important role in ensuring that FEMA preparedness grant funding builds and sustains capabilities at the SLTT levels that advance the National Preparedness Goal. Programmatic monitoring also is an opportunity for FEMA staff to build relationships with recipients and to work collaboratively to identify and mitigate factors that may impede programmatic performance. Programs covered by this Manual that are included in the programmatic monitoring approach are listed below, including the programs subject to section 2022 of the HSA and three additional programs (THSGP, IPR, and IBSGP): • HSGP o SHSP o UASI o OPSG • NSGP • THSGP • TSGP • IPR • IBSGP • PSGP • EMPG Program FEMA uses a risk- and project -based programmatic monitoring framework for its preparedness grant programs that is designed for data -driven grants management, and which interacts seamlessly with other aspects of the grant lifecycle. FEMA uses monitoring as a vehicle to validate data previously self -reported by recipients in applications and reporting tools. FEMA does not utilize monitoring as a data collection tool in and of itself. By specializing monitoring in this way, FEMA avoids duplicative data collection, targets its resources more effectively, and provides stronger and more proactive technical assistance to its recipients. The framework also comprehensively documents grant management decisions for resource allocation. This programmatic monitoring approach establishes baseline monitoring of all open awards across the FEMA preparedness grant portfolio using a First Line Review (FLR). The FLR identifies recipients and 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 p r e p a r e d n e s s g r a n t a w a r d s prioritization process determine which high -risk recipients and awards will receive advanced monitoring. City Council 36 — 44 8/20/2024 34 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. 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 (Preparedness Grants Case Studies I FEMA.gov). By accepting the award, the recipient agrees to participate in a case study or evaluation if requested. 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 t e r mi n a t e d i n wh o f e o r i n p a r t . T o t h e e x t e n t t h NOFO, pass -through entities should refer to 2 C.F.R. § 200.340 for additional information on termination regarding subawards. 1. Noncompliance. If an applicant fails to comply with the terms and conditions of a federal award, FEMA may terminate the award in whole or in part. If the noncompliance can be corrected, FEMA may first attempt to direct the recipient to correct the noncompliance. This may take the form of a Compliance Notification. If the noncompliance cannot be corrected or the recipient is non -responsive, FEMA may proceed with a Remedy Notification, which could impose a remedy for noncompliance per 2 C.F.R. § 200.339, including termination. Any action to terminate based on noncompliance will follow the requirements of 2 C.F.R. §§ 200.341-200.342 as well as the r e q u i r e me n t o f 2 C. F. R. § 2 0 0. 3 4 0( c) t o r e p o r 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. Period of Performance (POP) Extensions Extensions to the POP for programs addressed in this Manual are allowed under limited circumstances. Extensions to the initial POP identified in the award will only be considered through formal, written r e q u e s t s t o t hPeeparednescs Df19ciervnPrbgrams MaFnaTge d must contain specific City Council 36 — 45 8/20/2024 35 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 9. Certification that the activity(ies) will be completed within the extended POP without any modification to the original statement of work, as described in the investment justification and as approved by FEMA. Extension requests will be granted only due to compelling legal, policy, or operational challenges. Extension requests will only be considered for the following reasons: • Contractual commitments by the recipient or subrecipient with vendors prevent completion of the project within the existing POP; • The project must undergo a complex environmental review that cannot be completed within the existing POP; • Projects are long-term by design, and therefore acceleration would compromise core programmatic goals; or • Where other special or extenuating circumstances exist. Recipients should submit all proposed extension requests to FEMA for review and approval at least 120 days prior to the end of the POP to allow sufficient processing time. Extensions are typically granted for no more than a six-month period. Recipients are advised to coordinate with their FEMA Preparedness Officer or Program Manager as needed when preparing an extension request. 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 are encouraged to consider the needs of individuals with disabilities into the activities and projects funded by the grant. FEMA expects that the integration of the needs of people with disabilities will occur at all levels, including planning; alerting, notification, and public outreach; training; purchasing of equipment and supplies; protective action implementation; and exercises/drills. 36 City Council 36 — 46 8/20/2024 The following are examples that demonstrate the integration of the needs of people with disabilities in carrying out FEMA awards: • Include representatives of organizations that work with/for people with disabilities on planning committees, work groups and other bodies engaged in development and implementation of the grant programs and activities. • Hold all activities related to the grant in locations that are accessible to persons with physical disabilities to the extent practicable. • Acquire language translation services, including American Sign Language, that provide public information across the community and in shelters. • Ensure shelter-s p e c i f i c g r a n t f u n d s (kuixlacce cin fllanndnk fnrg n in e n t w Integration of Functional Needs Support Services in General Population Shelters. • If making alterations to an existing building to a primary function area utilizing federal funds, complying with the most recent codes and standards, and making path of travel to the primary function area accessible to the greatest extent possible. • Implement specific procedures used by public transportation agencies that include evacuation and passenger communication plans and measures for individuals with disabilities. • Identify, create, and deliver training to address any training gaps specifically aimed toward whole -community preparedness. Include and interact with individuals with disabilities, aligning with the designated program capability. • Establish best practices in inclusive planning and preparedness that consider physical access, language access, and information access. Examples of effective communication access include providing auxiliary aids and services such sign language interpreters, Computer Aided Real-time Translation (CART), and materials in Braille or alternate formats. FEMA grant recipients can fund projects towards the resiliency of the whole community, including people with disabilities, such as training, outreach, and safety campaigns, provided that the project aligns with the applicable NOFO, this Manual, the applicable appendix to this Manual, and the terms and conditions of the award. For specific guidelines on funding a disability inclusive project, please refer to the program -specific appendix in this Manual. 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 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 37 City Council 36 — 47 8/20/2024 recipient or next -level pass -through entity as required by the recipient or pass-t h r o u g h e n t i t y' s interest policies, or any applicable federal or SLTT statutes or regulations. Conflicts of interest may arise during the process of FEMA making a federal award in situations where an employee, officer, or agent, any members of his or her immediate family, his or her partner has a close personal relationship, a business relationship, or a professional relationship, with an applicant, subapplicant, recipient, subrecipient, or FEMA employees. Procurement Integrity Through audits conducted by the DHS Office of Inspector General (OIG) and FEMA grant monitoring, findings have shown that some FEMA recipients have not fully adhered to the proper procurement requirements when spending grant funds. Anything less than full compliance with federal procurement requirements jeopardizes the integrity of the grant, as well as the grant program. To assist with determining whether an action is a procurement or instead a subaward, please consult 2 C.F.R § 200.331. For detailed guidance on the federal procurement standards, recipients and subrecipients should refer to v a r i o u s ma t e r i a l s i s s u e d b y F E MA' s P r ethe WDrAffine n t Di Field Manual and Contract Provisions Guide. Additional resources, including an upcoming trainings schedule, can be found on the PDAT Website Contracting with Federal Funds for Goods and Services Before, During and After Disasters I FEMA.gov. The below highlights the federal procurement requirements for FEMA recipients when procuring goods and services with federal grant funds. FEMA w i 1 1 i n c l u d e a r e v i e w o f r e c i p part of the normal monitoring activities. All procurement activity must be conducted in accordance with federal procurement standards at 2 C.F.R. §§ 200.317 — 200.327. Select requirements under these standards are listed below. The recipient and any of its subrecipients must comply with all requirements, even if they are not listed below. Under 2 C.F.R. § 200.317, when procuring property and services under a federal award, states (including territories) must follow the same policies and procedures they use for procurements from their non-federal funds; additionally, states must now follow 2 C.F.R. § 200.321 regarding socioeconomic steps, § 200.322 regarding domestic preferences for procurements, § 200.323 regarding procurement of recovered materials, and § 200.327 regarding required contract provisions. All other non-federal entities, such as tribes (collectively, non -state entities), must have and use their own documented procurement procedures that reflect applicable SLTT laws and regulations, provided that the procurements conform to applicable federal law and the standards identified in 2 C.F.R. Part 200. These standards include, but are not limited to, providing for full and open competition consistent with the standards of 2 C.F.R. § 200.319 and § 200.320. Important Changes to Procurement Standards in 2 C.F.R Part 200 OMB recently updated various parts of Title 2 of the Code of Federal Regulations, among them, the procurement standards. States are now required to follow the socioeconomic steps in soliciting small and m i n o r i t y b u s i n e s s e s, wd)larboa- slurp' lus, arela & ms s ipen 1CsF. R. § 206.3t2I e, r p r i 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 S t a t e s p e r 2 C. F. R. § 2 0 0. 3 2 2. Mo r e i n f o r ma t i o n standards can be found in Purchasing Under a FEMA Award: OMB Revisions Fact Sheet. U-13 City Council 36 — 48 8/20/2024 The recognized procurement methods in 2 C.F.R. § 200.320 have been reorganized into informal procurement methods, which include micro -purchases and small purchases; formal procurement methods, which include sealed bidding and competitive proposals; and noncompetitive procurements. The federal micro -purchase threshold is currently $10,000, and non -state entities may use a lower threshold when using micro -purchase procedures under a FEMA award. If a non -state entity wants to use a micro - purchase threshold higher than the federal threshold, it must follow the requirements of 2 C.F.R. § 200.320(a)(1)(iii)-(v). The federal simplified acquisition threshold is currently $250,000, and a non -state entity may use a lower threshold but may not exceed the federal threshold when using small purchase procedures under a FEMA award. See 2 C.F.R. § 200.1 (citing the definition of simplified acquisition threshold 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. 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, 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 in order to ensure objective contractor performance and eliminate unfair competitive advantages. FEMA considers these actions to be an organizational conflict of interest and interprets this restriction as applying to contractors that help a non-federal entity develop its grant application, project plans, or project budget. This prohibition also applies to the use of former employees to manage the grant or carry out a contract when those former employees worked on such activities while they were employees of the non-federal entity. Under this prohibition, unless the non-federal entity solicits for and awards a contract covering both development and execution of specifications (or similar elements as described above), and this contract was procured in compliance with 2 C.F.R. §§ 200.317 — 200.327, federal funds cannot be used to pay a contractor to carry out the work if that contractor also worked on the development of those specifications. This rule applies to all contracts funded with federal grant funds, including pre -award costs, such as grant writer fees, as well as post -award costs, such as grant management fees. Additionally, some of the situations considered to be restrictive of competition include but are not limited to: • Placing unreasonable requirements on firms in order for them to qualify to do business; • Requiring unnecessary experience and excessive bonding; • Noncompetitive pricing practices between firms or between affiliated companies; • Noncompetitive contracts to consultants that are on retainer contracts; • Organizational conflicts of interest; • Specifying only a" b r a n d n a m e" p r o d u c t i n s t e a d o f a l l o w i 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 City Council 36 — 49 8/20/2024 39 provided its application leaves an appropriate number of qualified firms, given the nature and size of the project, to compete for the contract. Under 2 C.F.R. § 200.318(c)(1), non-federal entities other than states are required to maintain written standards of conduct covering conflicts of interest and governing the actions of their employees engaged in the selection, award, and administration of contracts. No employee, officer, or agent may participate in the selection, award, or administration of a contract supported by a federal award if he or she has a real or apparent conflict of interest. Such conflicts of interest would arise when the employee, officer, or agent, any member of his or her immediate family, his or her partner, or an organization that employs or is about to employ any of the parties indicated herein, has a financial or other interest in or a tangible personal benefit from a firm considered for a contract. The officers, employees, and agents of the non-federal entity may neither solicit nor accept gratuities, favors, or anything of monetary value from contractors or parties to subcontracts. However, non-federal entities may set standards for situations in which the financial interest is not substantial, or the gift is an unsolicited item of nominal value. The standards of conduct must provide for disciplinary actions to be applied for violations of such standards by officers, employees, or agents of the non-federal entity. 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 a state, local, tribal, or territorial government, the non-federal entity must also maintain written standards of conduct covering organizational conflicts of interest. In this context, organizational conflict of interest means that because of a relationship with a parent company, affiliate, or subsidiary organization, the 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. Supply Schedules and Purchasing Programs Generally, a non-federal entity may seek to procure goods or services from a federal supply schedule, state supply schedule, or group purchasing agreement. General Services Administration Schedules States, tribes, and local governments, and any instrumentality thereof (such as local education agencies or institutions of higher education), may procure goods and services from a General Services Administration (GSA) schedule. GSA offers multiple efficient and effective procurement programs for state, tribal, and local governments, and instrumentalities thereof, to purchase products and services directly from 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 Programs for State and Local Governments I GSA and State and Local Governments I GSA. 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 b u s i n e isms all lusrinet sse sK op larboir surq)luss area firms (§ 200.321), preferences (§ 46WWO, contract cost and price (§ 200.324), and required contract provisions (§ 200.327 and Appendix II). City Council 36 — 50 8/20/2024 .s Other Supply Schedules and Programs For non-federal entities other than states, such as tribes, local governments, and nonprofits, that want to procure goods or services from a state supply schedule, cooperative purchasing program, or other similar program, in order for such procurements to be permissible under federal requirements, the following must be true: • The procurement of the original contract or purchasing schedule and its use by the non-federal entity complies with state and local law, regulations, and written procurement procedures; • The state or other entity that originally procured the original contract or purchasing schedule entered into the contract or schedule with the express purpose of making it available to the non- federal entity and other similar types of entities; • The contract or purchasing schedule specifically allows for such use, and the work to be performed for the non-federal entity falls within the scope of work under the contract as to type, amount, and geography; • The procurement of the original contract or purchasing schedule complied with all the procurement standards applicable to a non-federal entity other than states under at 2 C.F.R. §§ 200.317 — 200.327; and • With respect to the use of a purchasing schedule, the non-federal entity must follow ordering procedures that adhere to applicable state, tribal, and local laws and regulations and the minimum requirements of full and open competition under 2 C.F.R. Part 200. If a non-federal entity other than a state seeks to use a state supply schedule, cooperative purchasing program, or other similar type of arrangement, FEMA recommends the recipient discuss the procurement plans with its FEMA Preparedness Officer or Program Manager. Procurement Documentation Per 2 C.F.R. § 200.318(i), non-federal entities other than states and territories are required to maintain and retain records sufficient to detail the history of procurement covering at least the rationale for the procurement method, contract type, contractor selection or rejection, and the basis for the contract price. States and territories are encouraged to maintain and retain this information as well and are reminded that in order for any cost to be allowable, it must be adequately documented per 2 C.F.R. § 200.403(g). Examples of the types of documents that would cover this information include but are not limited to: • Solicitation documentation, such as requests for quotes, invitations for bids, or requests for proposals; • Responses to solicitations, such as quotes, bids, or proposals; • Pre -solicitation independent cost estimates and post -solicitation cost/price analyses on file for review by federal personnel, if applicable; • Contract documents and amendments, including required contract provisions; and • Other documents required by federal regulations applicable at the time a grant is awarded to a recipient. Additional information on required procurement records can be found on pages 24-26 of the PDAT Field Manual. City Council 36 — 51 8/20/2024 41 Financial Assistance Programs for Infrastructure Build America, Buy America Act Recipients and subrecipients must comply with the Build America, Buy America Act (BABAA), which was enacted as part of the Infrastructure Investment and Jobs Act §§ 70901-70927, Pub. L. No. 117-58 (2021); and Ex e c u t i v e Or d e r 1 4 0 0 5, E n s u r i n g t h e F u t u r e Workers. See also OMB Memorandum M-22-11, Initial Implementation Guidance on Application of Buy America Preference in Federal Financial Assistance Programs for Infrastructure. None of the funds provided under this 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. The Buy America preference only applies to articles, materials, and supplies that are consumed in, incorporated into, or affixed to an infrastructure project. As such, it does not apply to tools, equipment, and supplies, such as temporary scaffolding, brought to the construction site and removed at or before the completion of the infrastructure project. Nor does a Buy America preference apply to equipment and furnishings, such as movable chairs, desks, and portable computer equipment, that are used at or within the finished infrastructure project but are not an integral part of the structure or permanently affixed to the infrastructure project. To see whether a particular FEMA federal financial assistance program is considered an infrastructure program and thus required to include a Buy America preference, please see Programs and Definitions: Build America, Buy America Act I FEMA.g_ov and Build America, Buy America Act Frequently Asked Questions (FAQs) I FEMA.gov. Additional information is found in Buy America Preference in FEMA Financial Assistance Programs for Infrastructure, FEMA Interim Policy #207-22-0001. Waivers When necessary, recipients (and subrecipients through their pass -through entity) may apply for, and FEMA may grant, a waiver from these requirements. A waiver of the domestic content procurement preference may be granted by the agency awarding official if FEMA determines that: • Applying the domestic content procurement preference would be inconsistent with the public interest. • The types of iron, steel, manufactured products, or construction materials are not produced in the United States in sufficient and reasonably available quantities or of a satisfactory quality. • The inclusion of iron, steel, manufactured products, or construction materials produced in the United States will increase the cost of the overall project by more than 25%. For FEMA awards, the process for requesting a waiver from the Buy America preference requirements c a n b e f o u n d o n" BuFmlr&" frefewAceb ins fiEMt A Financt ial Assistance Programs for Infrastructure I FEMA.gov. Definitions Construction materials: an article, material, or supply —other than an item primarily of iron or steel; a manufactured product; cement and cementitious materials; aggregates such as stone, sand, or gravel; or aggregate binding agents or additives —that is or consists primarily of non-ferrous metals, plastic and polymer -based products (including polyvinylchloride, composite building materials, and polymers used in fiber optic cables), glass (including optic glass), lumber, paint, and drywall. City Council 36 — 52 8/20/2024 EM Domestic content procurement preference: Means all iron and steel used in the project are produced in the United States; the manufactured products used in the project are produced in the United States; or the construction materials used in the project are produced in the United States. Federal financial assistance: Generally defined in 2 C.F.R. § 200.1 and includes all expenditures by a federal agency to a non-federal entity for an infrastructure project, except that it does not include expenditures for assistance authorities relating to major disasters or emergencies under sections 402, 403, 404, 406, 408, or 502 of the Robert T. Stafford Disaster Relief and Emergency Assistance Act relating to a major disaster or emergency declared under section 401 or 501, respectively, or pre and post disaster or emergency response expenditures. Infrastructure: infrastructure projects which serve a public function, including at a minimum, the structures, facilities, and equipment for, in the United States, roads, highways, and bridges; public transportation; dams, ports, harbors, and other maritime facilities; intercity passenger and freight railroads; freight and intermodal facilities; airports; water systems, including drinking water and wastewater systems; electrical transmission facilities and systems; utilities; broadband infrastructure; and buildings and real property; and structures, facilities, and equipment that generate, transport, and distribute energy. Produced in the United States means the following for: • Iron and steel: All manufacturing processes, from the initial melting stage through the application of coatings, occurred in the United States. • Manufactured products: The product was manufactured in the United States, and the cost of the components of the manufactured product that are mined, produced, or manufactured in the United States is greater than 55% of the total cost of all components of the manufactured product, unless another standard for determining the minimum amount of domestic content of the manufactured product has been established under applicable law or regulation. • Construction Materials: All manufacturing processes for the construction material occurred in the United States. Project: is any activity related to the construction, alteration, maintenance, or repair of infrastructure in the United States. Records Retention Record Retention Period Financial records, supporting documents, statistical records, and all other non-federal entity records pertinent to a federal award generally must be maintained for at least three years from the date the final FFR is submitted. See 2 C.F.R. § 200.334. Further, if the recipient does not submit a final FFR and the award is administratively closed, FEMA uses the date of administrative closeout as the start of the general record retention period. The record retention period may be longer than three years or have a different start date in certain cases. These include: • Records for real property and equipment acquired with federal funds must be retained for three years after final disposition of the property. See 2 C.F.R. § 200.334(c). • If any litigation, claim, or audit is started before the expiration of the three-year period, the records must be retained until all litigation, claims, or audit findings involving the records have been resolved and final action taken. See 2 C.F.R. § 200.334(a). City Council 36 — 53 8/20/2024 43 The record retention period will be extended if the recipient is notified in writing of the extension by FEMA, the cognizant or oversight agency for audit, or the cognizant agency for indirect costs. See 2 C.F.R. § 200.334(b). Where FEMA requires recipients to report program income after the period of performance ends, the program income record retention period begins at the end of the recipient's fiscal year in which program income is earned. See 2 C.F.R. § 200.334(e). For indirect cost rate proposals, cost allocation plans, or other rate computations records, the start of the record retention period depends on whether the indirect cost rate documents were submitted for negotiation. If the indirect cost rate documents were submitted for negotiation, the record retention period begins from the date those documents were submitted for negotiation. If indirect cost rate documents were not submitted for negotiation, the record retention period begins at the end of the recipient's fiscal year or other accounting period covered by that indirect cost rate. See 2 C.F.R. § 200.334(f). Types of Records to Retain FEMA requires that non-federal entities maintain the following documentation for federally funded purchases: • Specifications; • Solicitations; • Competitive quotes or proposals; • Basis for selection decisions; • Purchase orders; • Contracts; • Invoices; 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. In order for any cost to be allowable, it must be adequately documented per 2 C.F.R. § 200.403(g). Non- federal entities who fail to fully document all purchases may find their expenditures questioned and subsequently disallowed. Actions to Address Noncompliance Non-federal entities receiving financial assistance from FEMA are required to comply with requirements in the terms and conditions of their awards or subawards, including the terms set forth in applicable federal statutes, regulations, NOFOs, policies, and this Manual. Throughout the award lifecycle or even after an award has been closed, FEMA or the pass -through entity may discover potential or actual noncompliance on the part of a recipient or subrecipient. This potential or actual noncompliance may be discovered through routine monitoring, audits, closeout, or reporting from various sources. In the case of any potential or actual noncompliance, FEMA may place special conditions on an award per 2 C.F.R. §§ 200.208 and 200.339, FEMA may place a hold on funds until the matter is corrected, or additional information is provided per 2 C.F.R. § 200.339, or it may do both. Similar remedies for noncompliance with certain federal civil rights laws are authorized pursuant to 44 C.F.R Parts 7 and 19. 44 City Council 36 — 54 8/20/2024 In the event the noncompliance is not able to be corrected by imposing additional conditions or the recipient or subrecipient refuses to correct the matter, FEMA might take other remedies allowed under 2 C.F.R. § 200.339. These remedies include actions to disallow costs, recover funds, wholly or partly suspend or terminate the award, initiate suspension and debarment proceedings, withhold further federal awards, or take other remedies that may be legally available. For further information on termination due to noncompliance, see the section on Termination Provisions in the relevant NOFO. FEMA may discover and take action on noncompliance even after an award has been closed. The c l o s e o u t o f a n a wa r d d o e s n o t a f f e c t F E;MeA' s r 1 g h 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 F E MA i s r e c o v e r i n g t h e f dhen rdqusirpmentt tb irctainrrecordsi, IpDwi theen t' as p 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: • 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. Audits FEMA grant recipients are subject to audit oversight from multiple entities including the DHS OIG, the GAO, the pass -through entity, or independent auditing firms for single audits, and may cover activities and costs incurred under the award. Auditing agencies such as the DHS OIG, the GAO, and the 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. L, City Council 36 — 55 8/20/2024 Additionally, non-federal entities must comply with the single audit requirements at 2 C.F.R. Part 200, Subpart F. Specifically, non-federal entities, other than for -profit subrecipients, that expend $750,000 or more in federal awards during their fiscal year must have a single or program -specific audit conducted for that year in accordance with Subpart F. 2 C.F.R. § 200.501. A single audit covers all federal funds expended during a fiscal year, not just FEMA funds. The cost of audit services may be allowable per 2 C.F.R. § 200.425, but non-federal entities must select auditors in accordance with 2 C.F.R. § 200.509, including following the proper procurement procedures. For additional information on single audit reporting requirements, see t h e s e c t i o n i n t h i s Ma n u a l t i t l e d S i The objectives of single audits are to: • Determine if financial statements conform to generally accepted accounting principles (GAAP); • Determine whether the schedule of expenditures of federal awards is presented fairly; • Understand, assess, and test the adequacy of internal controls for compliance with major programs; and • Determine if the entity complied with applicable laws, regulations, and contracts or grants. For single audits, the auditee is required to prepare financial statements reflecting its financial position, a schedule of federal award expenditures, and a summary of the status of prior audit findings and questioned costs. The auditee also is required to follow up and take appropriate corrective actions on new and previously issued but not yet addressed audit findings. The auditee must prepare a corrective action plan to address the new audit findings. See 2 C.F.R. §§ 200.508, 200.510, 200.511. Non-federal entities must have an audit conducted, either single or program -specific, of their financial statements and federal expenditures annually or biennially pursuant to 2 C.F.R. § 200.504. Non-federal entities must also follow the information submission requirements of 2 C.F.R. § 200.512, including submitting the audit information to the Federal Audit Clearinghouse within the earlier of 30 calendar days a f t e r r e c e i p t o f t h e a u d i t o r' s r e p o r t( s) o r n i n e information to be submitted include the data collection form described at 2 C.F.R. § 200.512(c) and Appendix X to 2 C.F.R. Part 200 as well as the reporting package described at 2 C.F.R. § 200.512(b). The non-federal entity must retain one copy of the data collection form and one copy of the reporting package for three years from the date of submission to the Federal Audit Clearinghouse. 2 C.F.R. § 200.512; see also 2 C.F.R. § 200.517 (setting requirements for retention of documents by the auditor and access to audit records i n t h e a u d i ).t o r' s p o s s e s s i o n 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 e n t i t y' s c o in p l fi a n c e w i tlnlrasest h e s i of continued inability or unwillingness to have an audit conducted in compliance with 2 C.F.R. Part 200, Subpart F, FEMA and the pass -through entity, if applicable, are required to take appropriate remedial action under 2 C.F.R. § 200.339 for noncompliance, pursuant to 2 C.F.R. § 200.505. Payment Information FEMA uses the Direct Deposit/Electronic Funds Transfer (DD/EFT) method of payment to recipients. To enroll in the DD/EFT, the recipient must complete the SF- 1199A, Direct Deposit Form. FEMA utilizes the Payment and Reporting System (PARS) for financial reporting, invoicing, and tracking payments. For additional information, refer to PARS Security(fema.gov). M. City Council 36 — 56 8/20/2024 National Campaigns and Programs Preparedness grant funding can generally be used to support the following campaigns and programs that have been developed by or in partnership with DHS or FEMA. FEMA Strategic Plan The 2022-2026 FEMA Strate ig c Plan outlines a bold vision and three ambitious goals designed to address key challenges the agency faces during a pivotal moment in the field of emergency management. Wide-ranging and long-term, the goals defined in the plan respond to the changing landscape in which we find ourselves. The goals to meet this challenge are: Goal 1 - Instill Equity as a Foundation of Emergency Management. Disasters impact people and communities differently. Every disaster occurs within a unique context based on a communi t y' s g e o g r a p h i c, demogr a p h i c pol i t i c a unique contexts require tailored solutions that are designed to meet their unique needs; Goal 2 - Lead Whole of Community in Climate Resilience. Climate change represents a profound crisis for the nation, making natural disasters more frequent, more intense, and more destructive. The growing severity of disasters increases the time it takes for communities to recover — a process that can be further complicated by repeat events in areas already struggling to bounce back. These cascading and compounding impacts, propelled by climate change, pose the greatest risk to our communal and nationwide resilience; and Goal 3 - Promote and Sustain a Ready FEMA and Prepared Nation. The increase in frequency, severity, and complexity of emergency, disaster, and fire incidents has heightened demands on FEMA and on the larger emergency management community. FEMA must expand its approach to agency readiness and to national preparedness. The only way to achieve this is to i n c r e a s e t he n a t i on' s over al 1 emer g e n c y manag well as the private sector, the nonprofit sector, and among individuals. These goals position FEMA to address the increasing range and complexity of disasters, support the di v e r s i t y of c ommuni t i e s we s er ve, and compl emen management community. All preparedness grant program recipients are encouraged to review the 2022- 2026 FEMA Strategic and consider how FY 2023 grant f u n d i n g c a n b e u s e d t o goals and objectives of equity, climate resilience, and readiness as they apply to a n e nspteciifit; nee'dss and the needs of the whole community. We invite all stakeholders and partners to also adopt these priorities and join us in building a more prepared and resilient nation. 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 access and functional needs; Businesses; 47 City Council 36 — 57 8/20/2024 • Faith -based and community organizations; • Nonprofit groups; • Schools and academia; • Media outlets; and • All levels of government, including state, local, tribal, territorial, and federal partners. T h e p NVhohe Coe in th u n Qftetn ypDears repeatedly in preparedness materials, as it is one of the guiding principles. It means two things: 1. Involving people in the development of national preparedness documents; and 2. Ensuring their roles and responsibilities are reflected in the content of the materials. Additional information on incorporating whole community preparedness is available in the relevant program -specific appendix to this Manual, as applicable. Active Shooter Preparedness DHS aims to enhance national preparedness through a whole -community approach by providing the necessary products, tools, and resources to help all stakeholders prepare for and respond to an active shooter incident. To that end, DHS has developed a comprehensive Active Shooter Preparedness website, which includes informational resources, available at Active Shooter Preparedness I CISA. An additional resource, the Joint DHS and Federal Bureau of Investigation (FBI) Countering Violent Extremism (CVE) and Active Shooter Web Portal is located within the Homeland Security Information Network (HSIN). The portal provides a restricted -access forum to share Unclassified, For Official Use Only (FOLIO), Sensitive but Unclassified (SBU), and Law Enforcement Sensitive (LES) information. The portal provides users and training practitioners with accurate, appropriate, and relevant CVE and Active Shooter training development resources, subject -matter expert information, and outreach initiatives. It also has forums to provide feedback, products useful to others, and allows participants to ask questions concerning CVE or the Active Shooter Program. Persons with a job -related duty, public service interest, or who support a CVE and/or Active Shooter program can request access to this Portal. Additional information can be found at: CVEAS Portal I Homeland Security (dhs.gov). States and high -risk urban areas are encouraged to review the referenced active shooter guidance, evaluate their preparedness needs, and consider applying for funding to address any needs identified in this area (please see the most current NOFO for allowable costs). To address training needs associated wi t h act i ve shoot er i n c i dent s, FEMA' s-bFasmder g e n c y training course entitled IS-907: Active Shooter: What You Can Do, available at FEMA - Emergency Management Institute (EMI) Course I IS-907: Active Shooter: What You Can Do. Soft Targets and Crowded Places There are continued and growing threats facing Soft Targets and Crowded Places (ST-CP) throughout the nation. ST-CPs are those locations or environments that are easily accessible to large numbers of people on a predictable or semi -predictable basis that have limited security or protective measures in place. These locations are vulnerable to attack using simple tactics and readily accessible weapons such as small arms, edged weapons, vehicles, improvised explosive devices, and unmanned aircraft systems. ST-CPs can include places such as town centers, shopping malls, open-air venues, outside hard targets/venues perimeters, and other places of meeting and gathering. DHS is committed to reducing the risk of attacks against ST-CPs and the impact of attacks if they do occur. However, the protection and security of ST- City Council 36 — 58 8/20/2024 48 CPs is a shared responsibility among whole community partners including the public, ST-CP owners and operators, security industry partners, the Federal Government, and SLTT government partners. States, territories, high -risk urban areas, and public and private sector partners are encouraged to identify security gaps and build capabilities that address security needs of ST-CPs, understanding the unique challenges related to protecting locations that are open to the public. States, territories, high -risk urban areas, and public and private sector partners are also encouraged to use resources to instill a culture of awareness, vigilance, and preparedness. For more information and additional resources, please s e e t h e D H S Hometown Security Program. Community Lifelines FEMA created Community Lifelines to reframe incident information, understand and communicate incident impacts using plain language, and promote unity of effort across the whole community to prioritize efforts to stabilize the lifelines during incident response. Although lifelines were developed to support response planning and operations, the concept can be applied across the entire preparedness cycle. Efforts to protect lifelines, prevent and mitigate potential impacts to them, and build back stronger and smarter during recovery will drive overall resilience of the nation. Applying the lifelines construct allows decision -makers to: • Prioritize, sequence, and focus response efforts towards maintaining or restoring the most critical services and infrastructure; • Utilize a common lexicon to facilitate unity of purpose among all stakeholders; • Promote a response that facilitates unity of purpose and better communication among the whole community (federal, state, tribal, territorial, and local governments, and private sector and non- governmental entities); and • Clarify which components of the disaster are complex (multifaceted) or complicated (difficult), requiring cross -sector coordination. Lifelines are used to: • Enhance the ability to gain, maintain, and communicate situational awareness for the whole community in responding to disasters; • Analyze impacts to the various lifelines and develop priority focus areas for each operational period during response; • Identify and communicate complex interdependencies to identify major limiting factors hindering stabilization; and • Update the National Response Framework to reflect use of lifelines in response planning. Lifelines include opportunities to: Enable a true unity of effort between government, non -governmental organizations, and the private sector, including infrastructure owners and operators; Integrate preparedness efforts, existing plans, and identify unmet needs to better anticipate response requirements; and Refine reporting sources and products to enhance situational awareness, best determine capability gaps, and demonstrate progress towards stabilization. For more information on lifelines, please visit F E MA ' s C o m m u n i t apd ImLplemf enetaltioin n P a g Toolkit. e s .• City Council 36 — 59 8/20/2024 Strategic Framework for Countering Terrorism and Targeted Violence The United States faces increasingly complex threats from terrorism and targeted violence. Both continue to pose a grave threat in ways that have evolved dramatically in the nearly two decades since the 9/11 attacks. Although foreign terrorist organizations remain intent on striking our Homeland, we also face a growing threat from domestic actors. Combating terrorism and targeted violence requires the combined efforts of DHS, our federal and SLTT government partners, and civil society. To address these threats, in September 2019 DHS adopted the DHS Strategic Framework for Countering Terrorism and Targeted Violence which explains how the department will use the tools and expertise that have protected and strengthened the country from foreign terrorist organizations to address the evolving challenges of today. DHS has also now finalized a corresponding Public Action Plan. Preparedness grant recipients are encouraged to familiarize themselves with these documents and consider adopting the concepts, principles, and goals and ojbectives they outline. Countering Violent Extremism (CVE) Training Per FEMA Grant Programs Directorate Information Bulletin 432, Review and Approval Requirements for Training Courses Funded Through Preparedness Grants, issued on July 19, 2018, states, territories, tribal entities, and high -risk urban areas are no longer required to request approval from FEMA for personnel to attend non-DHS FEMA training as long as the training is coordinated with and approved by the state, territory, tribal, or high -risk urban area Training Point of Contact (TPOC) and falls within the FEMA m i s s i o n s c o p e a anedrgentcyhOperatjonts Plain.s d i c t i o nE s FEMA will conduct periodic reviews of all state, territory, 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, the costs will be disallowed. When developing new courses, recipients are encouraged to apply the Analysis, Design, Development, Implementation, and Evaluation (ADDIE) model of instructional design. For further information on developing courses using the instructional design methodology and tools that can facilitate the process, State Administrative Agencies, and TPOCs are encouraged to review the National Training and Education Division Training Resource and Development Center website at First Responder Training Resource and Development Center. All training, presentations, and speakers regarding CVE must be consistent with DHS and U.S. Government policy, in particular by avoiding the use of hostile, stereotypical, or factually inaccurate information about Muslims and Islam or any community, and by emphasizing the importance of community engagement and interaction to promote communities as part of the solution rather than the problem needing solution. Foreign terrorist groups and individual terrorist thought leaders are seeking to recruit or inspire Westerners to carry out attacks against western and U.S. targets. They seek to recruit and/or inspire individuals living in communities with the U.S. via, but not limited to, print, video, and social media, as well as through personal interaction. But we also know that violent extremism is not a phenomenon restricted solely to one community and that any effort to counter violent extremism must be applicable to all ideologically motivated violence. Efforts to provide information and training regarding CVE should emphasize the strength of local communities approach. The following are examples that demonstrate the integration of community engagement and CVE that reflect the strength of local communities approach: City Council 36 — 60 8/20/2024 50 • Training objectives should be clearly defined to meet specific CVE goals, such as community engagement, cultural awareness, community -based policing, etc.; • Engaging diverse American communities around CVE may require working with local grassroots community organizations to develop engagement and outreach initiatives; • Training programs should be sensitive to Constitutional values, such as protecting fundamental civil rights and civil liberties, and eschew notions of racial and ethnic profiling; • It may be necessary to conduct vetting procedures for self-selected CVE training experts who offer programs that may claim to address CVE, but serve to demonize certain individuals or whole cross sections of a community; • Training programs must ensure that the clearly defined objectives are in line with DHS strategies to counter violent extremism; • It may be necessary to provide a review process to determine if CVE training focuses on community engagement and outreach; • Support may be needed for law enforcement to increase knowledge, skills, and abilities to increase engagement techniques with diverse American communities; and • Cultural awareness courses of diverse American communities may be necessary to ensure stakeholders are taught to work with communities and build trust, rather than feed existing misconceptions and stereotypes of people, culture, or religion. City Council 36 — 61 8/20/2024 51 Program Appendix A: Homeland Security Grant Program (HSGP) As a reminder, while this appendix contains HSGP-specific information and requirements, the main content of this Manual (non -appendix information) contains important information relevant to all preparedness grant programs, including the HSGP. Please be sure to read the main content of this Manual in addition to the program -specific appendices. Alignment of HSGP to the National Preparedness System The Nation uses the National Preparedness System to build, sustain, and deliver core capabilities to achieve the National Preparedness Goal (the Goal). Recipients will use the National Preparedness System to support their efforts to build, sustain, and deliver these core capabilities. The components of the National Preparedness System are Identifying and Assessing Risk, Estimating Capability Requirements, Building and Sustaining Capabilities, Planning to Deliver Capabilities, Validating Capabilities, and Reviewing and Updating. Additional information on the National Preparedness System is available at National Preparedness System I 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 and territories provide annual data on their proficiency across 32 core capabilities through the Threat and Hazard Identification and Risk Assessment (THIRA), Stakeholder Preparedness Review (SPR), exercise and real world after -action reports, and other preparedness data. This data feeds into the National Preparedness Report and forms a shared national picture of needs relative to capability gaps —including what threats and hazards are posing the greatest risks, and what core capabilities are most in need of improvement or sustainment. Communities and federal agencies alike use this data to prioritize, synchronize, and guide programs and activities to build and sustain capabilities. Analytic results help shape prioritization decisions at FEMA and across the nation to make sure we are focusing our time and our resources in the right areas. The HSGP provides financial support to state, local, tribal, and territorial (SLTT) jurisdictions to help them build, sustain, and deliver core capabilities identified in the Goal. A key focus and requirement of the HSGP is to prevent terrorism and other catastrophic events and to prepare the Nation for the threats and hazards that pose the greatest risk to the security of the United States, including risks along the N a t i b®rder's.sWhen applicable, funding should support deployable assets that can be used anywhere in the Nation through automatic assistance and mutual aid agreements, including, but not limited to, the Emergency Management Assistance Compact (EMAC). The HSGP supports investments that improve the ability of jurisdictions nationwide to: • Prevent a threatened or an actual act of terrorism; • Protect citizens, residents, visitors, and assets against the threats that pose the greatest risk to the security of the United States; • Mitigate the loss of life and property by lessening the impact of future catastrophic events; • Respond quickly to save lives, protect property and the environment, and meet basic human needs in the aftermath of a catastrophic incident; and/or HSGP Appendig$21QB2 8/20/2 A-1 HSGP Funding Guidelines Recipients must comply with all the requirements in 2 C.F.R. Part 200 (Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards). In general, recipients should consult with their FEMA HQ Preparedness Officer prior to making any investment that does not clearly meet the allowable expense criteria. Funding guidelines established within this section support 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. 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: THIRA/SPR Guide-3rd Edition (Comprehensive Preparedness Guide (CPG) 201, 3rd Edition (fema.gov)). Recipients are encouraged to use grant funds for evaluating grant -funded project effectiveness and return on investment. FEMA encourages recipients to provide the results of that analysis to FEMA. Multiple Purpose or Dual -Use of Funds For both the State Homeland Security Program (SHSP) and Urban Area Security Initiative (UASI), many activities that support the achievement of core capabilities related to the national priorities and terrorism preparedness may simultaneously support enhanced preparedness for other hazards unrelated to acts of terrorism. However, all SHSP- and UASI-funded projects must assist recipients and subrecipients in achieving core capabilities related to preventing, preparing for, protecting against, or responding to acts of terrorism per section 2008(c) of the Homeland Security Act of 2002 (6 U.S.C. § 609(c)). Planning (SHSP and UASI) SHSP and UASI funds may be used for a range of emergency preparedness and management planning activities, such as those associated with the development, review, and revision of the THIRA, SPR, continuity plans, and other planning activities that support the Goal and placing an emphasis on updating and maintaining a current Emergency Operations Plan (EOP) that conforms to the guidelines outlined in Comprehensive Preparedness Guide (CPG) 101 v2. Planning efforts can also include conducting risk and resilience assessments on increasingly connected cyber and physical systems, on which security depends, using the Infrastructure Resilience Planning Framework and related Cybersecurity and Infrastructure Security Agency (CISA) resources. Additionally, SHSP and UASI funds may be used for planning efforts related to state court cybersecurity, 911 call capabilities, alert and warning capabilities, and implementation of the REAL ID Act (Pub. L. No. 109-13). Organization (SHSP and UASI) States and high -risk urban areas must justify proposed expenditures of SHSP or UASI funds to support organization activities within their Investment Justification (IJ) submission. Organizational activities include: • Program management; • Development of whole community partnerships, through groups such as Citizen Corp Councils; • Structures and mechanisms for information sharing between the public and private sector; • Implementing models, programs, and workforce enhancement initiatives to address ideologically inspired radicalization to violence in the homeland; HSGP Appendig$2-9B3 8/20/2 A-2 • Tools, resources, and activities that facilitate shared situational awareness between the public and private sectors; • Operational Support; • Utilization of standardized resource management concepts such as typing, inventorying, organizing, and tracking to facilitate the dispatch, deployment, and recovery of resources before, during, and after an incident; • Responding to an increase in the threat level under the National Terrorism Advisory System (NTAS) or needs resulting from a National Special Security Event; • Paying salaries and benefits for personnel to serve as qualified Intelligence Analysts. Per the Personnel Reimbursement for Intelligence Cooperation and Enhancement of Homeland Security Act (PRICE Act), Pub. L. No. 110-412, § 2, codified in relevant part, as amended, at 6 U.S.C. § 609(a), SHSP and UASI funds may be used to hire new staff and/or contractor positions to serve as intelligence analysts to enable information/intelligence sharing capabilities, as well as support existing intelligence analysts previously covered by SHSP or UASI funding. See 6 U.S.C. § 609(a). To be hired as an intelligence analyst, staff and/or contractor personnel must meet at least one of the following criteria: o Complete training to ensure baseline proficiency in intelligence analysis and production within six months of being hired; and/or, o Previously served as an intelligence analyst for a minimum of two years either in a federal intelligence agency, the military, or state and/or local law enforcement intelligence unit. All fusion center analytical personnel must demonstrate qualifications that meet or exceed competencies identified in the Common Competencies for state, local, and tribal intelligence analysts, which outlines the minimum categories of training needed for intelligence analysts. A certificate of completion of such training must be on file with the State Administrative Agency (SAA) a n d mu s t b e ma d e a v a i ctivea F1EMl Ae HQtPrctparetdnhescs Ofbiceer c upon request; and n t Mi gr at i ng o n I i ne s e r vi c e s t o t he gov" i nt All SAAs are allowed to use up to 50% of their SHSP funding, and all high -risk urban areas are allowed to use up to 50% of their UASI funding, for personnel costs per 6 U.S.C. § 609(b)(2)(A). Personnel hiring, overtime, and backfill expenses are permitted under this grant only to the extent that such expenses are for the allowable activities within the scope of the grant. Personnel expenses may include, but are not limited to training and exercise coordinators, program managers and planners, intelligence analysts, and Statewide Interoperability Coordinators (SWICs). At the request of a recipient, the FEMA Administrator (or their designee) may grant a waiver of this 50% limitation under 6 U.S.C. § 609(b)(2)(B). Requests for waivers to the personnel cap must be submitted by the authorized representative of the SAA to FEMA in writing on official letterhead, with the following information: • Documentation explaining why the cap should be waived; • Conditions under which the request is being submitted; and • A budget and method of calculation of personnel costs both in percentages of the grant award and in total dollar amount. Please see Information Bulletin (IB 421b Clarification on the Personnel Reimbursement for Intelligence Cooperation and Enhancement of Homeland Security Act of 2008 (Public L. No. 110-412 — the PRICE Act), dated October 30, 2019, for additional information on the waiver request process. 5 e r HSGP Appendig$2-AB4 8/20/2 A-3 Organizational activities under SHSP and UASI include: Operational Overtime Costs. In support of efforts to enhance capabilities for detecting, deterring, disrupting, and preventing acts of terrorism and other catastrophic events, operational overtime costs are allowable for increased protective security measures at critical infrastructure sites or other high -risk locations and to enhance public safety during mass gatherings and high -profile events. In that regard, HSGP recipients are urged to consider using grant funding to support soft target preparedness activities. SHSP or UASI funds may be used to support select operational expenses associated with increased security measures in the authorized categories cited in the table below, but this table is not exhaustive. FEMA retains the discretion to approve other types of requests that do not fit within one of the categories of the table. Table 2 - Authorized Operational Overtime Categories DescriptionCategory Security measures in response to an increase in the threat level under t he NTAS t o an "el e v a t National Terrorism Information Bulletin No. 367, Impact of National Terrorism 1 Advisory System AdvisorySystem on Homeland Security Grant Programs, remains applicable; therefore, advance authorization from FEMA is not (NTAS) required. Refer to National Terrorism Advisory System Homeland Security (dhs.gov) for additional information on the NTAS. National Security Security measures for a designated NSSE. NSSEs are events of 2 Special Event (NSSE) national or international significance deemed by DHS to be a potential target for terrorism or other criminal activity. Security measures required for SEAR Level 1 through Level 4 events as designated by DHS and included in the DHS National Special Events List, as defined below: • SEAR 1: A significant event with national and/or international importance that may require extensive federal interagency support. • SEAR 2: A significant event with national and/or Special Event international importance that may require some level of Assessment Rating federal interagency support. 3 (SEAR) Level 1 through • SEAR 3: An event of national and/or international Level 4 Events importance that requires only limited federal support. • SEAR 4: An event with limited national importance that is managed at state and local level. NOTE: In cases where a threat of terrorism can be associated with a SEAR Level 5 event, the event planners should coordinate with their state or territory Homeland Security Advisor to seek re -adjudication of the SEAR rating. Operational overtime for security measures associated with such events will be considered for approval by FEMA if re -adjudication results in a SEAR 1 through 4 rating. Declarations of states of emergency by the Governor associated with a terrorism -related threat or incident. This excludes Presidentially 4 States of Emergency declared major disasters or emergencies where federal funding support for the proposed grant -funded activity is made available through the FEMA Public Assistance program or other federal disaster grants. HSGP Appendig$2-9B5 8/20/2 A-4 Category 1 1 National Critical Protection of Level 1 and Level 2 facilities identified through DHS' 5 Infrastructure NCIPP based on a terrorism -related threat to critical infrastructure. Prioritization Program (NCIPP) 6 Directed Transit Patrols Targeted security patrols in airports and major transit hubs based on a terrorism -related threat to transportation systems. Overtime costs may be authorized for personnel assigned to directly support any of the security activities relating to the categories above. Examples include firefighters and emergency medical services personnel; public works employees who may be responsible for installing protective barriers and fencing; public safety personnel assigned to assist with event access and crowd control; emergency communications specialists; backfill and overtime for staffing state 7 Other Related Personnel or major urban area fusion centers; state Active Duty National Overtime Costs Guard deployments to protect critical infrastructure sites, including all resources that are part of the standard National Guard deployment package (note: consumable costs, such as fuel expenses, are not allowed except as part of the standard National Guard deployment package); contract security services for critical infrastructure sites; participation in Regional Resiliency Assessment Program activities, increased border security activities in coordination with USBP, etc. Overtime costs are allowable for personnel to participate in information, investigative, and intelligence sharing activities related to homeland security/terrorism preparedness and specifically requested by a federal agency. Allowable costs are limited to overtime associated with federally requested participation in eligible activities, including anti -terrorism task forces, Joint Terrorism Task Forces (JTTFs), Area Maritime Security Committees (as required by the Maritime Transportation Security Act of 2002), DHS Border 8 Operational Support to Enforcement Security Task Forces, and Integrated Border a Federal Agency Enforcement Teams. In addition, reimbursement for operational overtime law enforcement activities related to combating transnational crime organizations in support of efforts to enhance capabilities for detecting, deterring, disrupting, and preventing acts of terrorism is an allowable expense under SHSP and UASI on a case -by -case basis. Grant funding can only be used in proportion to the federal man-hour estimate and only after funding for these activities from other federal sources (i.e., FBI JTTF payments to state and local agencies) has been exhausted. All allowable operational overtime costs are also subject to the administration requirements outlined in the following subsection. Administration of Operational Overtime Requests • Except for an elevated NTAS alert, SHSP or UASI funds may only be spent for operational overtime costs upon prior written approval by FEMA. The SAA must submit operational overtime requests in writing to its assigned FEMA Preparedness Officer. FEMA will consider HSGP Appendi3$2-AB6 8/20/2 A-5 requests for special event activities up to one year in advance. However such requests must be w i t h i n t h e BOR andr ndis't not result in themeadtfor a request to extend the period of performance. SAAs should contact the Centralized Scheduling and Information Desk (CSID) for Preparedness Officer contact information. CSID can be reached by phone at (800) 368-6498 or by e-mail at askcsid(&fema.dhs.gov, Monday through Friday, 9a.m. — 5p.m. ET; • All operational overtime requests must clearly explain how the request meets the criteria of one or more of the categories listed in the table above. Requests must address the threat environment as it relates to the event or activity requiring operational overtime support and explain how the overtime activity is responsive to the threat. Request letters sent to FEMA must be UNCLASSIFIED but ma y b e 1. alaxq)lal indngd the`thrFeaa will Of f i c 1 require the sharing of classified information, the letter should state that fact. FEMA will then plan for the sharing of classified information through official channels; • Post -event operational overtime requests will only be considered on a case -by -case basis, where it is demonstrated that exigent circumstances prevented submission of a request in advance of the event or activity; • Under no circumstances may FEMA grant funding be used to pay for costs already supported by funding from another federal source; • States with UASI jurisdictions can use funds retained at the state level to reimburse eligible operational overtime expenses incurred by the state (per the above guidance limitations). Any UASI funds retained by the state must be used in direct support of the high -risk urban area. States must provide documentation to the Urban Area Working Group (UAWG) and FEMA upon request demonstrating how any UASI funds retained by a state would directly support the high - risk urban area; and • FEMA will consult and coordinate with appropriate DHS components as necessary to verify information used to support operational overtime requests. Personnel Costs. Personnel hiring, overtime, and backfill expenses are permitted under this grant to perform allowable HSGP planning, training, exercise, and equipment activities. Personnel may include but are not limited to training and exercise coordinators, program managers for activities directly associated with SHSP and UASI funded activities, intelligence analysts, and SWICs. For further details, SAAs should refer to IB #42 1 b,(Clarification on the Personnel Reimbursement for Intelligence Cooperation and Enhancement of Homeland Security Act of 2008) or contact their FEMA Preparedness Officer. HSGP funds may not be used to support the hiring of any personnel to fulfill traditional public health and safety duties nor to supplant traditional public health and safety positions and responsibilities. The following definitions apply to personnel costs: Hiring. State and local entities may use grant funding to cover the salary of newly hired personnel who are exclusively undertaking allowable FEMA grant activities as specified in this guidance. This may not include new personnel who are hired to fulfill any non-FEMA program activities under any circumstances. Hiring will always result in a net increase of Full Time Equivalent (FTE) employees. Overtime. These expenses are limited to the additional costs that result from personnel working over and above 40 hours of weekly work time as the direct result of their performance of FEMA- approved activities specified in this guidance. Overtime associated with any other activity is not eligible. Backfill-Related Overtime. Al s o c a l l e d O v e r t i me a s B a c k f i 1 1 overtime costs that result from personnel who are working overtime (as identified above) to perform the duties of other personnel who are temporarily assigned to FEMA-approved activities HSGP Appendig$21QB7 8/20/2 A-6 outside their core responsibilities. Neither overtime nor backfill expenses are the result of an increase of FTE employees. Supplanting. Grant funds will be used to supplement existing funds and will not replace (supplant) funds that have been appropriated for the same purpose. Applicants or recipients may be required to supply documentation certifying that a reduction in non-federal resources occurred for reasons other than the receipt or expected receipt of federal funds. Organization (OPSG) Personnel Costs OPSG funds may be used for domestic travel and per diem, including costs associated with the deployment/redeployment of personnel to border areas and for travel associated with law enforcement entities assisting other local jurisdictions in law enforcement activities. In addition, allowable costs include supporting up to six-month deployment of law enforcement personnel to critical Southwest Border locations for operational activities (travel costs must be in accordance with applicable travel regulations). Operational Overtime Costs OPSG funds should be used for operational overtime costs associated with law enforcement activities in support of border law enforcement agencies for enhanced border security. Overtime pay is for increased patrol time for certified public safety officers, along with limited support for other law enforcement direct support personnel (e.g., Communication Officers/Dispatchers, non -sworn patrol pilots, etc.). Overtime shall be reimbursed consistent with the non-federal e n t i t y' s o v e r t i in e p ostlateid c y a n below: • Overtime is time worked that exceeds the required number of hou r s d u r i n g a n e m p l o designated shift; • Overtime must be worked to increase patrol capacity and be in support of identified and approved United States Border Patrol (USBP) border security operations; • The OPSG overtime hourly rate of pay will be no more than the approved overtime rate per local law and policy and must be in accordance with applicable state and federal regulations; • All overtime expenses under OPSG must be reasonable for the services rendered and conform to the non-f e der al e xhetd ivrltteyi j ohicy, whscht musbt 3ppilysto both federally funded and non -federally funded activities and comply with the other applicable requirements under 2 C.F.R. § § 200.430-200.431; and • The non-federal entity may not utilize OPSG funding to pay for an empl o y e e ' s o v e r t i in e pay that exceeds 16 hours worked in any 24-hour period. Personnel Costs Up to 50% of an OPSG award may be used to pay for all personnel costs (only to the extent that such expenses are for the allowable activities within the scope of the grant). At the request of a recipient or subrecipient, the FEMA Administrator (or designee) may waive the 50% personnel cap. Waiver decisions are at the discretion of the FEMA Administrator and will be considered on a case -by -case basis in accordance with IB 42lb. 6 U.S.C. § 609(b)(2). A formal OPSG personnel waiver request should: • Be on official letterhead, include a written justification, and be signed by the local jurisdiction; • Include a budget and method of calculation of personnel costs both in the percentage of the grant award and in total dollar amount, reflecting the change in scope or objective to the project; • Include an approved Operations Order from the USBP Sector office that supports the local j u r i s d i c t i o n' s; andw r i t t e n j u s t i f i c a t i o n HSGP Appendig$2-9B8 8/20/2 A-7 • Be coordinated with the USBP Sector, SAA, and the DHS/Customs and Border Protection (CBP) Office of the Border Patrol (OBP). F u r t h e r, c h a n g e s i n s c o p e roxrittenoapl:prjoveLI9u1rsuian-,t to 2 (hF1R.s§ o r e g L 200.308(c)(1). If the cost changes are allowable under the grant, a Fragmentary Order (FRAGO) must be s u b mi t t e d t o HS I N t o o b t a i n F EMA' s p r i o r wr i t t e n § 200.308(c)(1). These modifications will be annotated in the annex section of the FRAGO. OPSG funds may be used to pay additional current part-time law enforcement personnel salaries to bring them to temporary full-time status. O P S G f u n d s ma y s regpxejstmonctivate4 depG)yo, ore r n o r' redeploy specialized National Guard Units/Package and/or elements of state law enforcement serving as fr i endl y for c e s t o i n c r ease or augment s p e c i al i ze activities. Costs associated with backfill for personnel supporting operational activities are allowable. As with all OPSG personnel costs, OPSG grant funds will be used to supplement existing funds and will not replace (supplant) funds that have been appropriated for the same purpose. Applicants or recipients may be required to supply documentation certifying that a reduction in non-federal resources occurred for reasons other than the receipt or expected receipt of federal funds. Intelligence Support Per 6 U.S.C. § 609(a), OPSG funds may, as applicable and operationally beneficial, be used to pay salaries and benefits or overtime for personnel to serve as qualified Intelligence Analysts to enable and enhance information/intelligence sharing capabilities, as well as support existing intelligence analysts previously covered by OPSG funding. Qualified OPSG-funded intelligence analysts can be assigned to an applicable law enforcement facility/intelligence function as long as information/intelligence sharing is maintained. To serve as an OPSG-funded intelligence analyst, personnel must meet at least one of the following criteria: Complete training to ensure baseline proficiency in intelligence analysis and production within six months of being hired; and/or, Previously served as an intelligence analyst for a minimum of two years either in a federal intelligence agency, the military, or state and/or local law enforcement intelligence unit. OPSG-funded intelligence analysts must demonstrate qualifications that meet or exceed competencies identified in the Common Competencies for state, local, and tribal intelligence analysts, which outlines the minimum categories of training needed for intelligence analysts. A certificate of completion of such training must be o n f i l e w i t h t h e S A A a n d mu s t b e ma d e a v a i Preparedness Officer upon request. Temporary or Term Appointments • Subrecipients may utilize temporary or term appointments to augment the law enforcement presence on the borders. However, applying funds toward hiring full-time or permanent sworn public safety officers is unallowable; • OPSG-funded temporary or term appointments may not exceed the approved period of performance: o For OPSG purposes, temporary appointments are non -status appointments for less than one year; and o For OPSG purposes, term appointments are non -status appointments for one year, extendable for one year as necessary. HSGP Appendig$2-9B9 8/20/21 A-8 OPSG funding for temporary or term appointments may pay for salary only. Benefits are not allowable expenses for term or temporary employees; OPSG remains a non -hiring program. Appropriate uses of temporary or term appointments include: o To carry out specific enforcement operations work for ongoing OPSG-funded patrols throughout the Sector Area of Operation; o To staff operations of limited duration, such as OPSG-enhanced enforcement patrols targeting specific locations or criminal activity; and o To fill OPSG positions in activities undergoing transition or personnel shortages and local backfill policies (medical/military deployments). OPSG term and temporary appointments must have all necessary certifications and training to enforce state and local laws. OPSG funds will not be used to train or certify term or temporary appointments except as otherwise stated in this Manual and the HSGP Notice of Funding Opportunity (NOFO); and FEMA provides no guarantee of funding for temporary or term appointments. In addition to the terms of this Manual and the HSGP NOFO, subrecipients must follow their own applicable policies and procedures regarding temporary or term appointments. Management and Administration Management and administration (M&A) costs are allowed. Recipients may use a maximum of up to 5% of HSGP funds awarded for their M&A, and any funds retained are to be used solely for M&A purposes associated with the HSGP award. Subrecipients may also retain a maximum of up to 5% of the funding passed through by the state solely for M&A purposes associated with the HSGP award. M&A activities are those directly relating to themanagement and administration of HSGP funds, such as financial management and monitoring. M&A expenses must be based on actual expenses or known contractual costs. M&A requests that are simple percentages of the award, without supporting justification, will not be allowed or considered for reimbursement. 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. Examples include preparing and submitting required programmatic and financial reports, establishing and/or maintaining equipment inventory, documenting operational and equipment expenditures for financial accounting purposes, responding to official informational requests from state and federal oversight authorities, including completing the Civil Rights Evaluation Tool as required by DHS, and grant performance measurement or evaluation activities. R e c i pi e n t s or s u b r e c i pi e n t s may apply or c r e d i t allocate funding toward the National Priority Areas. For example, if a recipient spends $5,000 to manage or administer its funding dedicated toward its protection of soft targets/crowded places investment, the recipient may credit that funding toward its requirement to allocate at least 3% of its award to the protection of soft targets and crowded places National Priority Area. A s t at e' s HSGP f u n d s f or M&A c al cul at i on p u r p o s e awards. While the SAA may retain up to 5% of this total for M&A, the state must still ensure that all subrecipient award amounts meet the mandatory minimum pass -through requirements that are applicable to each HSGP program. To meet this requirement, the percentage of SHSP and UASI funds passed t h r o u g h t o l o c a l o r t r i b a t j u r i aawdardipritoritoowrth4ioldimgu s t b e any M&A. HSGP Appendi3$2-Q:M 8/20/2 A-9 In retaining these funds, states may retain a maximum of 2.5% of the OPSG allocation, which must be withheld from the pass -through to each subrecipient county or tribe in an equal percentage. The SAA may also retain additional funding from its SHSP award to manage and administer the OPSG award, but that additional amount is also capped at an amount equal to 2.5% of the OPSG award. Examples applying this principle: SAA 1: Total award: $6,000,000 SHSP: $1,000,000 OPSG: $2,500,000 UASI: $2,500,000 M&A Maximum: $300,000 (5% of $6,000,000) Maximum M&A for SHSP = $50,000 Maximum M&A for OPSG = $125,000. Of that amount, $62,500 (2.5%) may be retained from the OPSG allocation, and the other $62,500 would come from the SHSP allocation. Any amount used to manage and administer OPSG that is charged to SHSP may be above and beyond the $50,000 available to manage the SHSP allocation. Maximum M&A for UASI = $125,000 SAA 2: Total award: $4,500,000 SHSP: $3,500,000 OPSG: $1,000,000 M&A Maximum: $225,000 (5% of $4,500,000) Maximum M&A for SHSP = $175,000 Maximum M&A for OPSG = $50,000. Of that amount, $25,000 (2.5%) may be retained from the OPSG allocation, and the other $25,000 would come from the SHSP allocation. Any amount used to manage and administer OPSG that is charged to SHSP may be above and beyond the $175,000 available to manage the SHSP allocation. HSGP recipients are also reminded that any M&A charged t o a r e c i p i e n tUA' S4 o r s u b r e c funding must be directly allocable to administration of the UASI grant program and cannot be used to cover M&A costs that are directly allocable to SHSP or OPSG funding. Similarly, any M&A charged to a r e c i p i e n t' s o r s ub r e c i p i e n t' s S HS P ostadirectgP S G f u n d i n allocable to UASI funding. Specific for OPSG, subrecipients and friendly forces may retain funding for M&A purposes; however, the total amount retained cannot exceed 5% of the subrecipient' subaward. Friendly forces are local law enforcement entities that are subordinate subrecipients under OPSG. In other words, friendly forces are entities that receive a subaward from a subrecipient under the OPSG program. Friendly forces must comply with all requirements of subrecipients under 2 C.F.R. Part 200. Equipment (SHSP and UASI) The 21 allowable prevention, protection, mitigation, and response equipment categories for HSGP are listed on the Authorized Equipment List (AEL). Some equipment items require prior approval from FEMA before obligation or purchase of the items. Please reference the grant notes for each equipment item to ensure prior approval is not required or to ensure prior approval is obtained if necessary. Recipients and subrecipients may purchase equipment not listed on the AEL, but only if they first seek and obtain prior approval from FEMA. Unless otherwise stated, all equipment must meet all mandatory regulatory and/or FEMA-adopted standards to be eligible for purchase using these funds. In addition, recipients will be responsible for obtaining and maintaining all necessary certifications and licenses for the requested equipment. HSGP Appendi$$NT31 8/20/2 -10 Investments in emergency communications systems and equipment must meet applicable SAFECOM Guidance on Emergency Communications Grants (SAFECOM Guidance) recommendations. Such investments must be coordinated with the SWIC and the State Interoperability Governing Body (SIGB) to ensure interoperability and long-term compatibility. For personal protective equipment (PPE), recipients are encouraged to give procurement preference to domestic manufacturers of PPE or PPE raw materials to the maximum practicable and allowed by law. Grant funds may be used for the procurement of medical countermeasures. Procurement of medical countermeasures must be conducted in collaboration with state, city, or local health departments that administer federal funds from the Department of Health and Human Services for this purpose and with existing Metropolitan Medical Response System committees where available, to sustain their long-term planning for appropriate, rapid, and local medical countermeasures, including antibiotics and antidotes for nerve agents, cyanide, and other toxins. Procurement must have a sound threat -based justification with an aim to reduce the consequences of mass casualty incidents during the first crucial hours of a response. Prior to procuring pharmaceuticals, recipients must have in place an inventory management plan to avoid large periodic variations in supplies due to coinciding purchase and expiration dates. Recipients are encouraged to enter into rotational procurement agreements with vendors and distributors. Purchases of p h a r maceut i cal s mu t i n c I u d e a budget f 00Pfort HSGP. The cost of disposal cannot be carried over to another FEMA grant or grant period. EMS electronic patient care data systems should comply with the most current data standard of the National Emergency Medical Services Information System. Recipients are reminded that school hardening is an eligible activity under SHSP and UASI. School hardening measures include but are not limited to: • Bullet resistant doors and glass; • Hinge -locking mechanisms; • Immediate notification to emergency 911 systems; • Mechanisms that provide real time actionable intelligence directly to law enforcement and first responders; • Installation of distraction devices or other countermeasures administered by law enforcement; and he di • Other measures determined to provide significant improvements to schools ' p h y s i c a l s e c u Additionally, SHSP and UASI funds may be used for equipment purchases related to state court cybersecurity, 911 call capabilities, alert and warning capabilities, and implementation of the REAL ID Act (Pub. L. No. 109-13). Equipment (OPSG) OPSG equipment is intended to be incidental to the enhanced border security operations being performed. The grant is not intended to be used to outfit or supply general equipment to SLTT law enforcement agencies. Equipment must be relatable to and justified by the operational benefit it will provide. Each appropriate OPSG sector coordinator is required to keep an inventory of OPSG purchased equipment that includes at a minimum: 1) grant funding year; 2) purchase amount; 3) purchase date; 4) purchase quantity; 5) equipment ID; 6) source of funding for the property, including the Federal Award Identification Number; 7) who holds title to the property; 8) federal share percent of the property; 9) location of the property; 10) use and condition of the property; 11) disposal date; and 12) brief disposal justification information and sale price if sold. Each Operations Order/FRAGO will require that each friendly force submit the equipment inventory for each Operations Order/FRAGO submission. • Equipment Marking. Because equipment purchased with OPSG funding is intended to be used to support OPSG activities, it may be appropriately marked to ensure its ready identification and HSGP Appendig$2-0:M 8/20/2 -11 primary use for that purpose. When practicable, any equipment purchased with OPSG funding should be prominently marked as follows: "Purchased with DHS funds for Operation Stonegarden Use." Fuel Cost and Mileage Reimbursement. There is no cap for reimbursement of fuel or mileage costs in support of operational activities. Subrecipients and friendly forces may not claim reimbursements for both mileage and fuel/maintenance for the same equipment at the same time. Vehicle and Equipment Acquisition, Including Leasing and Rentals. Allowable purchases under OPSG include patrol vehicles and other mission -specific equipment whose primary purpose is to increase operational capabilities on or near a border nexus in support of approved border security operations. A detailed justification must be submitted to the respective FEMA HQ Preparedness Officer prior to purchase. Medical Emergency Countermeasures. Allowable purchases under OPSG include narcotic antagonist pharmaceuticals, detection and identification equipment, safe storage and transportation, personnel protective equipment, and initial equipment training, as reflected in the AEL. Requirements for Small Unmanned Aircraft System (SHSP, UASI, and OPSG) All requests to purchase Small Unmanned Aircraft Systems (sUAS) with FEMA grant funding must comply with FEMA Policy 207-22-0002, Prohibited or Controlled Equipment Under FEMA Awards, and also i n c l u d e a d e s c r i p t i o n o f t h e p o t i c i e s a n d p r o c e d u r 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 HSGP 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 HSGP 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. The U.S. Department o f Home 1 and S e c u r i t y' s P r i v a c y Of f i c e B u g g transmission and storage issues with vendors to reduce the possibility of data breaches. Additionally, the Joint Explanatory Statement (JES) accompanying the FY 2023 DHS Appropriations Act 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 foreign - made versus domestic sUAS. Acquisition and Use of Technology to Mitigate UAS (Counter-UAS) In August 2020, FEMA was alerted of an advisory guidance document issued by DHS, the Department of Justice, the Federal Aviation Administration, and the Federal Communications Commission: Interagency Legal Advisory on UAS Detection and Mitigation Technologies I Homeland Security (dhs.gov). 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. HSGP Appendi3$2-0:M 8/20/2-12 It is strongly recommended that, prior to the testing, acquisition, installation, or use of UAS detection and/or mitigation systems, entities seek the advice of counsel experienced with both federal and state criminal, surveillance, and communications laws. Entities should conduct their own legal and technical analysis of each UAS detection and/or mitigation system and should not rely solely on vendors' representations of the systems' legality or functionality. Please also see the DHS press release on this topic for further information: Interagency Issues Advisory on Use of Technology to Detect and Mitigate Unmanned Aircraft Systems I Homeland Security (dhs.gov). Training (SHSP and UASI) Allowable training -related costs under HSGP include the establishment, support, conduct, and attendance of training specifically identified under the SHSP and UASI program and/or in conjunction with emergency preparedness training by other federal agencies (e.g., HHS and Department of Transportation [DOT]). Training conducted using HSGP funds should address a performance gap identified through an Integrated Preparedness Plan (IPP) or other assessments (e.g., National Emergency Communications Plan [NECP] Goal Assessments) and contribute to building a capability that will be evaluated through a formal exercise. Any training or training gaps, including training related to under -represented, diverse populations that may be more impacted by disasters, including children, seniors, individuals with disabilities or other access and functional needs, individuals with diverse culture and language use, individuals with lower economic capacity and other underserved populations, should be identified in an IPP and addressed in the state or high -risk urban area training cycle. Emergency preparedness training related to those training gaps, including related to under -represented, diverse populations that may be more impacted by disasters, is allowable. Recipients are encouraged to use existing training rather than developing new courses. When developing new courses, recipients are encouraged to apply the Analysis, Design, Development, Implementation, and Evaluation (ADDIE) model of instructional design. Recipients are also encouraged to utilize F E MANational Preparedness Course Catalog. Trainings include programs or courses developed for and delivered by institutions and organizations funded by FEMA. This includes the Center for Domestic Preparedness (CDP), the Emergency Management Institute (EMI), and FEMA' s Tr a ni ng Par t n e r Pr o g r ams , i nc l u d i ng t he Co Domestic Preparedness Consortium (NDPC), the Rural Domestic Preparedness Consortium (RDPC), and other partners. The catalog features a wide range of course topic scope as well as the increasing training needs of federal, state, local, territorial, and tribal audiences. The catalog can be accessed at NTED I National Preparedness Course Catalog Home (firstrespondertraining. gov). Some training activities require Environmental and Historic Preservation (EHP) Review, including exercises, drills or trainings that require any type of land, water, or vegetation disturbance or building of temporary structures or that are not located at facilities designed to conduct training and exercises. Additional information on training requirements and EHP review can be found online at Environmental & Historic Preservation Guidance for FEMA Grant Applications I FEMA.gov. Exercises (SHSP and UASI) Exercises conducted with grant funding should be managed and conducted consistent with Homeland Security Exercise and Evaluation Program (HSEEP). HSEEP guidance for exercise design, development, conduct, evaluation, and improvement planning is located at Homeland Security Exercise and Evaluation Program I FEMA.gov. HSGP Appendig$2-07%34 $/20/2 -13 Some exercise activities require EHP review, including exercises, drills or trainings that require any type of land, water, or vegetation disturbance or building of temporary structures or that are not located at facilities designed to conduct training and exercises. Additional information on training requirements and EHP review can be found online at Environmental & Historic Preservation Guidance for FEMA Grant Applications I FEMA.gov. Maintenance and Sustainment (SHSP, UASI, and OPSG) Preparedness grant funds may be used to purchase maintenance contracts or agreements, warranty coverage, licenses, and user fees. These contracts may exceed the period of performance if they are purchased incidental to the original purchase of the system or equipment as long as the original purchase of the system or equipment is consistent with that which is typically provided for, or available through, these types of agreements, warranties, or contracts. When purchasing a stand-alone warranty or extending an existing maintenance contract on an already -owned piece of equipment system, coverage purchased may not exceed the period of performance of the award used to purchase the maintenance agreement or warranty, and it may only cover equipment purchased with HSGP funds or for equipment dedicated for HSGP-related purposes. As with warranties and maintenance agreements, this extends to licenses and user fees as well. The use of FEMA preparedness grant funds for maintenance contracts, warranties, repair or replacement costs, upgrades, and user fees are allowable under all active and future grant awards, unless otherwise noted. Except for maintenance plans or extended warranties purchased incidental to the original purchase of the equipment, the period covered by maintenance or warranty plan must not exceed the POP of the specific grant funds used to purchase the plan or warranty. Grant funds are intended to support the Goal by funding projects that build and sustain the core capabilities necessary to prevent, protect against, mitigate the effects of, and respond to those threats that pose the greatest risk to the security of the Nation. In order to provide recipients the ability to meet this objective, the policy set forth in FEMA' W 379, Guidance to State Administrative Agencies to Expedite the Expenditure of Certain DHS/FEMA Grant Funding, initially for FY 2007-2011, allows for the expansion of eligible maintenance and sustainment costs which must be in (1) direct support of existing capabilities; (2) must be an otherwise allowable expenditure under the applicable grant program; (3) be tied to one of the core capabilities in the five mission areas contained within the Goal, and (4) shareable through the EMAC. Additionally, eligible costs may also be in support of equipment, training, and critical resources that have previously been purchased with either federal grant or any other source of funding other than FEMA preparedness grant program dollars. Law Enforcement Terrorism Prevention Activities Allowable Costs (SHSP and UASI) When identifying and selecting projects to meet the Law Enforcement Terrorism Prevention Activities (LETPA) set -aside requirement, recipients are strongly encouraged to consult with the law enforcement community and to consider the capabilities and resource requirements of law enforcement agencies and their unique and central role in preventing and protecting against acts of terrorism. LETPAs can also support a National Priority Area (e.g., an investment can be counted as supporting both the Soft Targets/Crowded Places and LETPA minimum allocation requirements, if applicable). For FY 2023, the LETPA set -aside requirement is 35% of SHSP and UASI awards. In particular, recipients should consider investing in projects such as: • Maturation and enhancement of designated state and major urban area fusion centers, including information sharing and analysis, threat recognition, terrorist interdiction, and intelligence analyst training and salaries (subject to certain conditions); HSGP Appendig$2-07M 8/20/2-14 Regional counterterrorism training programs for small, medium, and large jurisdictions to exchange information and discuss the current threat environment, lessons learned, and best practices to help prevent, protect against, and mitigate acts of terrorism; Support for coordination of regional full-scale training exercises (federal, state, and local law enforcement participation) focused on terrorism -related events; and Law enforcement Chemical, Biological, Radiological, Nuclear, and high yield Explosives detection and response capabilities, such as bomb detection/disposal capability deployment, sustainment, or enhancement, including canine teams, robotics platforms, and x-ray technology. Additional examples of allowable LETPA projects include but are not limited to: • Coordination between fusion centers and other intelligence, operational, analytic, or investigative efforts including, but not limited to JTTFs, Field Intelligence Groups (FIGS), High - Intensity Drug Trafficking Areas (HIDTA), Regional Information Sharing Systems (RISS) Centers, criminal intelligence units, real-time crime analysis centers and DHS intelligence, operational, analytic, and investigative entities; • Implementation and maintenance of the Nationwide Suspicious Activity Reporting (SAR) Initiative (NSI), including training for front-line personnel on identifying and reporting suspicious activities, tips/leads, and online/social media -based threats, as well as the execution and management of threat assessment programs to identify, evaluate, and analyze indicators and behaviors indicative of terrorism, targeted violence, threats to life, and other criminal activity; • Management and operation of activities that support the execution of the intelligence process and fusion centers, including but not limited to: Fusion Liaison Officer (FLO) programs, security programs to protect the facility, personnel, and information, and the protection of privacy, civil rights, and civil liberties; • Implementation of the "If You See Something, Say Something®" campaign to raise public awareness of indicators of terrorism and terrorism -related crime and associated efforts to increase the sharing of information with public and private sector partners, including nonprofit organizations. Note: DHS requires that all public and private sector partners wanting to implement and/or expand the DHS "If You See Something, Say Something®" campaign using grant funds work directly with the DHS Office of Partnership and Engagement (OPE) to ensure all public awareness materials (e.g., videos, posters, tri-folds, etc.) are consistent with D H S; ' messaging and strategy for the campaign and compliant with the initiative's trademark, which is licensed to DHS by the New York Metropolitan Transportation Authority. Coordination with OPE, through the Campaign's Office (seesaykhq.dhs..og_v), must be facilitated by the FEMA HQ Preparedness Officer; • Increase physical security, through law enforcement personnel and other protective measures, by implementing preventive and protective measures at critical infrastructure sites or at -risk nonprofit organizations; • Building and sustaining preventive radiological and nuclear detection capabilities, including those developed through the Securing the Cities initiative; • Integration and interoperability of systems and data, such as computer aided dispatch (CAD) and record management systems (RMS), to facilitate the collection, evaluation, and assessment of suspicious activity reports, tips/leads, and online/social media -based threats; and • Development of countering violent extremism programs, projects, and initiatives, addressing prevention, intervention, and diversion efforts, including training on roles of law enforcement and how to effectively partner with law enforcement; developing and promoting training specifically for law enforcement executives and frontline officers on potential behaviors and indicators of violent extremism and how to appropriately analyze and report them; supporting community and law enforcement engagement strategies such as table top exercises, roundtable events, town hall meetings, and peer to peer activities; funding for existing and/or expansion of HSGP Appen&3$24% $/20/2 -15 law enforcement community relations efforts, support for the development of community engagement plans, and joint projects to increase the awareness of violent extremist threats and community mitigation solutions. Law Enforcement Readiness (SHSP, UASI, and OPSG) OPSG grant funds may be used to increase operational, material, and technological readiness of SLTT law enforcement agencies. The Delegation of Immigration Authority, Section 287(g) of the Immigration and Nationality Act (INA) program allows a state or local law enforcement entity to enter into a partnership with Immigration and Customs Enforcement (ICE), under a joint Memorandum of Agreement (MOA), to receive delegated authority for immigration enforcement within their jurisdictions. SHSP, UASI, or OPSG grant funds may be requested and may be approved on a case -by -case basis for immigration enforcement training in support of the border security mission. Requests for training will be evaluated on a case -by -case basis and can only be used for certification in the section 287(g) program provided by DHS/ICE. SHSP, UASI, or OPSG subrecipients with agreements under section 287(g) of the INA (8 U.S.C. § 1357(g)) to receive delegated authority for immigration enforcement within their jurisdictions may also be reimbursed for section 287(g) related operational activities with approval from FEMA on a case -by -case basis. For OPSG, subrecipients must be authorized by USBP Headquarters and Sectors, and operational activities must be coordinated through a USBP Sector. Regional Border Projects (OPSG) Recipients are encouraged to prioritize the acquisition and development of regional projects on the borders to maximize interoperability and coordination capabilities among federal agencies and with state, local, and tribal law enforcement partners. Such regional projects include: • Communications equipment; • Radio systems and repeaters; • Integration with regional intelligence and information sharing effort (i.e., fusion centers): o Intelligence analysts. • Situational Awareness equipment: o License Plate Reader Networks; o Visual detection and surveillance systems; o Sensor Systems; o Radar Systems (for air and/or marine incursions); and o Aircraft systems (manned or unmanned). Critical Emergency Supplies (SHSP and UASI) Critical emergency supplies, such as shelf stable products, water, and medical equipment and supplies are an allowable expense under SHSP and UASI. Prior to the allocation of grant funds for stockpiling purposes, each state m u s t h a v e F E MA'$yearavilablieinvoen-,toaylrnanacgefinentiplanf, whiNche should include a distribution strategy and related sustainment costs if planned grant expenditure is over $100,000.00. If grant expenditures exceed the minimum threshold, the five-year inventory management plan will be developed by the recipient and monitored by FEMA. FEMA will provide program oversight and technical assistance as it relates to the purchase of critical emergency supplies under UASI. FEMA will establish guidelines and requirements for the purchase of these supplies under UASI and monitor development and status of the state' s i n v e n t or y management pl an. HSGP Appendig$2-OW 8/20/2 -16 SAAs (through their state Emergency Management Office) are strongly encouraged to consult with their respective FEMA Regional Logistics Chief regarding disaster logistics -related issues. States are further encouraged to share their FEMA approved plan with local jurisdictions and tribes. Construction and Renovation (SHSP and UASI) Project construction using SHSP and UASI funds may not exceed the greater of $1 million or 15% of the grant award. For the purposes of the limitations on funding levels, communications towers are not considered construction. See guidance on communication towers below. All construction and renovation projects require EHP review. Recipients and subrecipients are encouraged to have completed as many steps as possible for a successful EHP review in support of their proposal for funding (e.g., coordination with their State Historic Preservation Office to identify potential historic preservation issues and to discuss the potential for project effects, compliance with all state and local EHP laws and requirements). Projects for which the recipient believes an Environmental Assessment (EA) may be needed, as defined in DHS Instruction Manual 023-01-001-01, Rev 01, FEMA Directive 108-1, and FEMA Instruction 108-1-1, must also be identified to the FEMA HQ Preparedness Officer within six months of the award and completed EHP review materials must be submitted no later than 12 months before the end of the period of performance. EHP policy guidance and the EHP Screening Form can both be found on FEMA.gov. EHP review materials should be sent to gpdehpinf6Wema. dhs. gov. Written approval must be provided by FEMA prior to the use of any HSGP funds for construction or renovation. When applying for construction funds, recipients must submit evidence of approved zoning ordinances, architectural plans, and any other locally required planning permits. Additionally, recipients are required to submit a SF-424C form with budget detail citing the project costs, and an SF-424D Form for standard assurances for the construction project. Recipients using funds for construction projects must comply with the Davis -Bacon Act (codified as amended at 40 U.S.C. §§ 3141 et seq.). See 6 U.S.C. § 609(b)(4)(B) (cross-referencing 42 U.S.C. § 51960)(9), which cross-references Davis -Bacon). Recipients must ensure that their contractors or subcontractors for construction projects pay workers no less than the prevailing wages for laborers and mechanics employed on projects of a character like the contract work in the civil subdivision of the state in which the work is to be performed. Additional information regarding compliance with the Davis -Bacon Act, including Department of Labor (DOL) wage determinations, is available online at https://www.dol.gov/whd/govcontracts/dbra.htm. Construction and Renovation (OPSG) OPSG funds may not be used for any construction. Communications Towers All construction of communication towers requires EHP review. When applying for funds to construct communication towers, recipients and subrecipients must submit evidence that the Federal Communication Commission' Section 106 of the National Historic Preservation Act, Pub. L. No. 89- 665, as amended, review process has been completed and submit all documentation resulting from that review to FEMA with a GPD EHP Screening Form and supporting materials for EHP review. Recipients and subrecipients are encouraged to have completed as many steps as possible for a successful EHP review in support of their proposal for funding (e.g., coordination with their State Historic Preservation Office to identify potential historic preservation issues and to discuss the potential for project effects, compliance with all state and local EHP laws and requirements). Projects for which the recipient believes an EA may be needed, as defined in DHS Instruction Manual 023-01-001-01, Revision 01, FEMA HSGP Appendig$N:M 8/20/2 -17 Directive 108-1, and FEMA Instruction 108-1-1, Instruction on Implementation of the Environmental Planning and Historic Preservation Responsibilities and Program Requirements, must also be identified to the FEMA HQ Preparedness Officer within six months of the award and completed EHP review materials must be submitted no later than 12 months before the end of the period of performance. EHP policy guidance and the EHP Screening can both be found on FEMA.gov. EHP review materials should be sent to gpdehpinfokfema.dhs.gov. Western Hemispheric Travel Initiative (SHSP) In addition to the expenditures outlined above, SHSP funds may be used to support the implementation activities associated with the Western Hemisphere Travel Initiative (WHTI), including the issuance of WHTI-compliant tribal identification cards. Emergency Management Accreditation Program States can encourage their local jurisdictions to pursue assessment and accreditation under the Emergency Management Accreditation Program (EMAP). E MA P dissesssment and accreditation of emergency management organizations against consensus -based, American National Standards Institute (ANSI) - certified standards allows for standardized benchmarking of critical functions necessary for an emergency management organization to meet the core capabilities identified in the Goal. Additional information on the EMAP Standard is available at http://www.emap.org. 28 C.F.R. Part 23 Guidance FEMA requires that any information technology system funded or supported by these funds comply with 28 C.F.R. Part 23, Criminal Intelligence Systems Operating Policies if this regulation is determined to be applicable. Additionally, please see 28 C.F.R. Part 23 requirements that pertain to fusion centers at hitp://www.dhs.gov/homeland-security-grant-programs-hs9p. Unallowable Costs (OPSG) OPSG unallowable costs include costs associated with evidence collection, arrest processing, prosecution, and Traffic/DUI checkpoints, such as evidence documentation cameras, fingerprinting supplies, alcohol breathalyzers, portable work lights, traffic barricades, and similar law enforcement expenses. OPSG unallowable costs also include costs associated with staffing and general IT computing equipment and hardware, such as personal computers, faxes, copy machines, modems, etc. OPSG is not intended as a hiring program. Therefore, applying funds toward hiring full-time or permanent sworn public safety officers is unallowable. OPSG funding shall not be used to supplant inherent routine patrols and law enforcement operations or activities not directly related to providing enhanced coordination between local and federal law enforcement agencies. Finally, construction and/or renovation costs are prohibited under OPSG. Applicants should refer to IB 421b, or contact their FEMA HQ Preparedness Officer for guidance and clarification. Due to the nature of OPSG, exercise expenses are not allowable costs under OPSG. Unallowable Costs (SHSP, UASI, and OPSG) • Per FEMA policy, the purchase of weapons and weapons accessories, including ammunition, is not allowed with HSGP funds; • Grant funds may not be used for the purchase of equipment not approved by FEMA. Grant funds must comply with FEMA Policy 207-22-0002, Prohibited or Controlled Equipment Under FEMA Awards, and may not be used for the purchase of the following equipment: firearms; ammunition; grenade launchers; bayonets; or weaponized aircraft, vessels, or vehicles of any kind with weapons installed; • Unauthorized exercise -related costs include: HSGP Appendig$NT-9 8/20/2 -18 o Reimbursement for the maintenance or wear and tear costs of general use vehicles (e.g., construction vehicles), medical supplies, and emergency response apparatus (e.g., fire trucks, ambulances); and o Equipment that is purchased for permanent installation and/or use, beyond the scope of the conclusion of the exercise (e.g., electronic messaging sign). Indirect Costs Indirect costs are allowable under this program. See the "Procedures for Establishing Indirect Cost Rates" Section in " P -S ea b m i s s i o n fok mofe mnfrormaAiotn.i o n" Resources for Planning, Training, and Exercising (SHSP, UASI, and OPSG) Planning Assistance F E MA' s Na t i o n a l P r e p a r e d n e s s Di r e c t o r a t e ( NP D) provide recipients and subrecipients with specialized expertise to improve and enhance the continuing development of state and local emergency management across the five mission areas of the Goal and across all core capabilities. TA provides the opportunity to engage emergency managers, emergency planners, and appropriate decision -makers in open discussion of options to improve plans and planning c o n s i d e r i n g t h e .iAhthoughtflwrei issnod direacttcoist bonpj rosved jnrdsdeicdosis for FEMA TA, jurisdictions are expected to invest staff resources and take ownership of the resulting products and tools. TA deliveries combine current emergency management best practices with practical consideration of emerging trends, through discussion facilitated by FEMA contract specialists and with the support of FEMA Region operational specialists. Additionally, peer -to -peer representation may also be included from other jurisdictions that have recently addressed the same planning issue. The TA request form can be accessed at https://www.fema.,gov/emergency-mana,gers/nims/implementation-training. Training Information Per IB 432.Review and Approval Requirements for Training Courses Funded Through Preparedness Grants, issued on July 19, 2018, states, territories, tribal entities, and high -risk urban areas are no longer required to request approval from FEMA for personnel to attend non-DHS FEMA training as long as the training is coordinated with and approved by the state, territory, tribal, or high -risk urban area Training Point of Cont act ( TPOC) and f al 1 s wi t hi nFort he FEMA 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 state, local, territory, tribal entities, and high -risk urban area training funded by FEMA. These reviews may include requests for all course materials and physical observation of, or participation in, the funded training. If these reviews determine that courses are outside the scope of this guidance, recipients will be asked to repay grant funds expended in support of those efforts. For further information on developing courses using the ADDIE model (Analysis, Design, Development, Implementation, and Evaluation) and tools that can facilitate the process, SAM and TPOCs are encouraged to review the National Training and Education Division Training Resource and Development Center website at FRT-TRDC Home (firstrespondertraining og_v). Some training and exercise activities require EHP Review, including exercises, drills or trainings that require any type of land, water, or vegetation disturbance or building of temporary structures or that are not located at facilities designed to conduct training and exercises. Additional information on training HSGP Appen&3$2-AZO 8/20/2 -19 requirements and EHP review can be found online at Environmental & Historic Preservation Guidance for FEMA Grant Applications I FEMA.. og_v. DHS/FEMA Provided Training and Education FEMA offers tuition -free training and education programs and courses through several providers including the CDP,EMI, a n d t h e Na t i o n a l Tr a i n i n g a n d Ed u c a t i o n Di includes the Center for Homeland Defense and Security, NDPC, RDPC, and the CTG Program. FEMA's National Preparedness Course Catalog This online searchable catalog features a wide range of course topics in multiple delivery modes to meet F E MA' s m i s s i o n s c o p e a s we t felderal4 stsate, ltochl,eterritiorinlp am d9rilDah i n g audiences. The catalog can be accessed at NTED I National Rreparedness Course Catalog (firstrespondertraining. goy). Training Not Provided by DHS/FEMA These trainings include courses that are either state -sponsored or federal -sponsored (non-DHS/FEMA), coordinated and approved by the SAA or their designated TPOC, and fall within the FEMA mission scope to prepare SLTT personnel to prevent, protect against, mitigate, and respond to acts of terrorism or catastrophic events. State Sponsored Courses. These courses are developed for and/or delivered by institutions or organizations other than federal entities or FEMA and are sponsored by the SAA or their designated TPOC. Joint Training and Exercises with the Public and Private Sectors. These courses are sponsored and coordinated by private sector entities to enhance public -private partnerships for training personnel to prevent, protect against, mitigate, 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 National Training and Education Division(NTED) (firstrespondertraining_.gov). Training Information Reporting System ("Web -Forms") Web -Forms is an electronic data management system built to assist SAA TPOCs and federal agencies with submitting non -National Training and Education Division provided training courses for inclusion in the State/Federal-Sponsored Course Catalog through electronic forms. The information collected is used in a two-step review process to ensure the training programs adhere to the intent of the HSGP guidance and the course content is structurally sound and current. As these programs may be delivered nationwide, it is vital to ensure each training program's viability and relevance to the Homeland Security mission. Reporting training activities through Web -Forms is not required under present funding. However, the system remains available and can be accessed through the Web -Forms section of the FEMA National Preparedness Course Catalog to support recipients in their own tracking of training deliveries. Users need to request FRTS Admin rights from NTED in order to access the Web -Forms. Exercise Information Recipients that use HSGP funds to conduct an exercise(s) are encouraged to complete a progressive exercise series. Exercises conducted by states and high -risk urban areas may be used to fulfill similar exercise requirements required by other grant programs. Recipients are encouraged to invite representatives/planners involved with other federally mandated or private exercise activities. States and HSGP Appendig$2-OZJ 8/20/2-20 high -risk urban areas are encouraged to share, at a minimum, the multi- year training and exercise schedule with those departments, agencies, and organizations included in the plan. Validating Capabilities. Exercises examine and validate capabilities -based planning across the Prevention, Protection, Mitigation, and Response mission areas. The extensive engagement of the whole community, including but not limited to examining the needs and requirements for individuals with disabilities, individuals with limited English proficiency, and others with other access and functional needs, is essential to the development of an effective and comprehensive exercise program. Exercises are designed to be progressive — increasing in scope and complexity and drawing upon results and outcomes from prior exercises and real -world incidents — to challenge participating communities. Consistent with HSEEP guidance and tools, the National Exercise Program (NEP) serves as the principal exercise mechanism for examining national preparedness and measuring readiness. Exercises should align with priorities and capabilities identified in a multi -year IPP. Special Event Planning. If a state or high -risk urban area will be hosting a special event (e.g., Super Bowl, G-8 Summit), the special event planning should be considered as a training or exercise activity for the multi -year IPP. States must include all confirmed or planned special events in the multi -year IPP. The state or high -risk urban area may plan to use SHSP or UASI funding to finance training and exercise activities in preparation for those events. States and high -risk urban areas should also consider exercises at major venues (e.g., arenas, convention centers) that focus on evacuations, communications, and command and control. Regional Exercises. States should also anticipate participating in at least one regional exercise annually. Role of Non -Governmental Entities in Exercises. Non -governmental participation in all levels of exercises is strongly encouraged. Leaders from non -governmental entities should be included in the planning, design, and evaluation of an exercise. SLTT jurisdictions are encouraged to develop exercises that test the integration and use of resources provided by non -governmental entities, defined as the private sector and private non-profit, faith -based, and community organizations. Participation in exercises should be coordinated with local Citizen Corps Whole Community Council(s) or their equivalents and other partner agencies. Reporting on the Implementation of the National Preparedness System Identifying and Assessing Risk and Estimating Capability Requirements By December 31, 2022, states, territories, and high -risk urban areas are required to complete a THIRA/SPR that addresses all 32 core capabilities and is compliant with CPG 201, Third Edition. Beginning in 2020, jurisdictions began the requirement to respond to a series of planning -related questions as part of the THIRA/SPR. Jurisdictions are required to submit a THIRA every three years to establish a consistent baseline for assessment. While the THIRA is only required every three years, jurisdictions are required to submit an SPR annually. For additional guidance on the THIRA/SPR, please refer to Comprehensive Preparedness Guide (CPG) 201, Third Edition. Reporting • States and territories will submit their THIRA and SPR through the Unified Reporting Tool (URT) on Prep Toolkit no later than December 31 of the applicable year (every three years for THIRA and each year for SPR). HSGP Appendi3$2-OZ2 8/20/2 -21 High -risk urban areas that receive UASI funding will submit their THIRA/SPR through the URT on Prep Toolkit no later than December 31 for the years they have UASI open grants. If a UASI recipient has completed closeout for their UASI grant award period of performance, 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 period of performance are not required to complete a THIRA/SPR, it is encouraged. Calendar year 2022 is the start of the new 3-year THIRA/SPR cycle and baseline assessment year for existing recipients. Any new grant recipients during calendar year 2023, for which the THIRA/SPR requirement applies, will start their new 3-year THIRA/SPR cycle and baseline assessment year in 2023. States, territories, and high -risk urban areas should work collaboratively to create the most accurate THIRA and SPR possible. States, territories, and high -risk urban areas may share scenarios, targets, and assessed capabilities when appropriate. Please contact FEMA-SPRkfema.dhs.gov if you have questions. Building and Sustaining Capabilities States, territories, and high -risk urban areas must prioritize and align SHSP and UASI grant funding investments in building and sustaining capabilities in areas that align with the national priorities in the annual HSGP NOFO and capability gaps identified in their THIRA and SPR. Reporting In each H S G P r e cBiianpiuial(Stnattgy and Implementation Report (BSIR), as part of programmatic monitoring, the recipient must describe how expenditures support building capability, closing capability gaps, or sustaining capabilities identified in the THIRA and SPR. HSGP recipients must, on a project -by - project basis, check one of the following: • Building a capability with HSGP funding; and • Sustaining a capability with HSGP funding. National Incident Management System (NIMS) Implementation Recipients receiving HSGP funding are required to implement NIMS. NIMS guides all levels of government, nongovernmental organizations (NGO), and the private sector to work together to prevent, protect against, mitigate, respond to, and recover from incidents. NIMS provides stakeholders across the whole community with the shared vocabulary, systems, and processes to successfully deliver the capabilities described in the National Preparedness System. HSGP recipients must use standardized resource management concepts for resource typing, credentialing, and an inventory to facilitate the effective identification, dispatch, deployment, tracking, and recovery of resources. The NIMS Implementation Objectives for Local, State, Tribal, and Territorial Jurisdictions clarify the NIMS implementation requirements in FEMA preparedness grant NOFOs. As recipients and subrecipients of federal preparedness (non -disaster) grant awards, jurisdictions and organizations must achieve, or be actively working to achieve, all of the NIMS Implementation Objectives. The objectives can be found on the NIMS webpage at NIMS Implementation and Training I FEMA.gov. Reporting • Recipients report in the applicable secondary NIMS assessment portion of the URT as part of their THIRA/SPR submission, as outlined in the HSGP NOFO. Planning to Deliver Capabilities Recipients shall develop and maintain, jurisdiction -wide, all threats and hazards EOPs consistent with Comprehensive Preparedness Guide 101, Version 2.0 (CPG 101 v2), Developing and Maintaining HSGP Appendig$2-9$3 $/20/2 -22 Emergency Operations Plans (November 2010). Recipients must update their EOPs at least once every two years. Reporting • Recipients report EOP compliance with CPG 101 v2 by completing the secondary CPG-101 assessment as part of their THIRA/SPR submission in the URT. Validating Capabilities All recipients will develop and maintain a progressive exercise program consistent with HSEEP guidance in support of the NEP. The NEP serves as the principal exercise mechanism for examining national preparedness and measuring readiness. The NEP is a two-year cycle of exercises across the nation that validates capabilities in all preparedness mission areas. The two-y e a r N E P c y c l e i s g u i d 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 real -world events and exercises; external requirements such as state or national preparedness reports, homeland security policy, and industry reports; and accreditation standards, regulations, or legislative requirements. Recipients should document these priorities and use them to deploy a schedule of preparedness events in a multi -year IPP. Information related to Integrated Preparedness Planning Workshops (IPPWs) can be found on the HSEEP website at Homeland Security Exercise and Evaluation Program I FEMA.gov and Welcome - Preparedness Toolkit (fema.gov). The NEP provides exercise sponsors the opportunity to receive exercise design and delivery assistance, tools and resources, enhanced coordination, and the ability to directly influence and inform policy and preparedness programs. If you have any questions, or would like to request assistance through the NEP, please visit the NEP website at Exercises I FEMA.gov, or reach out to the National Exercise Program directly at NEP(&fema.dhs.gov. Recipients must have a current multi -year IPP that identifies preparedness priorities and activities. The current multi -year IPP must be submitted to hseep(aDfema.dhs.gov before January 31 of each year: o Recipients are encouraged to enter their exercise information into the Preparedness Toolkit at Welcome - Preparedness Toolkit (fema.gov). Recipients must submit After -Action Report (AAR)/Improvement Plans (IPs) to hseepkfema.dhs.gov a n d i n d i c a t e w h i c h f (iif appdicaablle); y e a r s f u n c 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 AARAPs reflecting tabletop exercises that validate critical plans or those reflecting large-scale functional or full-scale exercises that took place at the state, territorial, tribal, or UASI level. Recipients are discouraged from submitting AAR/IPs specific to local jurisdictions that reflect drills; o If a recipient endures a significant real -world incident during the calendar year that delays or prevents conduct of a grant -funded exercise, they can submit the AAR from that event in place of the exercise AARs. Jurisdictions submitting real world AARs should include an explanation with the AAR submission to hseepkfema.dhs.gov; and HSGP Appendi3$2-QZ4 8/20/2 -23 o Recipients can access a sample AAR/IP template at: hops ://preptoolkit. fema. gov/web/hseep-resources/improvement-planning. Fusion Centers A critical component of the national response to the 9/11 terrorist attacks was the development of a national -level, decentralized, and coordinated terrorism -related information sharing environment (ISE). State and local governments, supported by federal investments from DHS, the Department of Justice (DOJ), Department of Health and Human Services (HHS), and other federal agencies, established the National Network of Fusion Centers (National Network), which became the backbone of the national ISE. This National Network, comprised of 80 state and major urban area fusion centers, collaborates and shares information with partners from all levels of government and the private sector, as well as other field -based information sharing partners, including HIDTAs, RISS Centers, JTTFs, major city/county intelligence units, and real-time crime analysis centers, among others. National Network participation in NSI enables fusion centers to identify, receive and analyze suspicious activity reporting and other tips/leads from frontline public safety personnel, the private sector, and the public, and ensure the sharing of SARs with DHS and the FBI' iTTFs for further investigation. In addition to those activities identified in the National Prevention Framework, fusion centers are also required to collaborate with those intelligence, operational, analytic, investigative, and information - sharing focused entities to combat a wide array of threats — noted below — in support of efforts to enhance capabilities for detecting, deterring, disrupting, and preventing acts of terrorism, targeted violence, and other threats. Such entities include, but are not limited to JTTFs, Area Maritime Security Committees, Border Enforcement Security Task Forces, Integrated Border Enforcement Teams, HIDTAs, and RISS Centers as well as other federal intelligence, operational, analytic, and investigative entities. Applicants should describe their collaboration plan and proposed efforts in their required Fusion Center project as part of the Intelligence and Information Sharing National Priority. T o d a y ' "nct luldinr gdntxrhatsonal 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. T o u n d e r s c o r e t h e i mp o r t a n c e o f t h e Na t i o n a l Ne t homeland security and counterterrorism architecture, FEMA preparedness grants will continue to prioritize support for designated fusion centers (http://www.dhs.gov/fusion-center-locations-and-contact- information) 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 "jt HSGP Appen&3$2-0:85 8/20/2 -24 and domestic violent extremists, threats to life and targeted violence, transnational organized criminal activity, cyber threats, and natural hazards, among others that require close collaboration with DHS operational, investigative, and analytic entities such as CBP, ICE, United States Secret Service (USSS), CISA, the United States Coast Guard (USCG), and FEMA. Analytic Capability: Fusion centers must maintain strong analytic capabilities at tactical, operational, and strategic levels to address a wide array of threats or hazards that could have implications for homeland security or national security. These capabilities directly support operational, investigative, and information sharing efforts across all levels of government. These capabilities include, but are not limited to: o Building and sustaining a capable workforce of analysts who have the necessary experience and training; access to open source, unclassified and classified information, products, data, suspicious activity reporting; tips/leads and online/social media -based threats; as well as necessary services and technology to facilitate analytic capabilities and collaboration; o Assessing, evaluating, and deconflicting acts of targeted violence, threats to life, and other criminal or suspicious activity, to include potential indicators and behaviors, for potential connection to or implications for international or domestic terrorism, or other threats within the DHS mission space; o Providing analytic support and responses to requests for information from federal, state, and local partners during no notice threats, attacks, or incidents, as well as other planned events such as NSSEs; o Conducting threat assessments within their respective jurisdictions, including the identification of threats, intelligence gaps, and mitigation efforts; o Establishing, formalizing, and maintaining bi-directional information sharing with federal and other state agencies in accordance with jurisdictional authorities; o Leveraging available resources and capabilities to conduct target and event deconfliction in support of threat identification, officer safety, and information sharing. o Maintaining an ability to routinely support federal government efforts to watchlist terrorists and transnational organized crime actors; and o Appropriately planning for, and assessing/forecasting, prioritizing, and executing against both known and emerging threat vectors, and ensuring the safety and security of all operations, while protecting privacy, civil rights, and civil liberties. Fusion centers should also consider their operational capacity when aligning manpower and resources in support of this capability (e.g., the ability to maintain watch and analytic support functions over a 24/7 operational tempo). Technological Integration: Access to data, information, and products is essential for fusion centers and the federal government to effectively identify, collect, analyze, and share information. Just as threats do not stop at jurisdictional borders, fusion centers must be able to effectively access and share appropriate information and data across jurisdictions, agencies, and disciplines. Fusion centers must ensure and certify via the Fusion Center Assessment they have the necessary technological capacity to access, analyze, and share information, including criminal intelligence and online/social media threat information, both within their jurisdictions, as well as with other fusion centers across the country and with the Federal Government through a variety of systems, databases, tools, and technologies that allow for federated searching and data/information analysis that protects Personally Identifiable Information and includes appropriate security, privacy, civil rights, and civil liberties protections. This includes maintenance of the ability to collect, integrate, evaluate, and assess SAR, tips/leads, data resident in CAD and RMS, and online/social media -based threats from agencies across the jurisdiction. Such approaches should also address the evaluation and use of emerging capabilities, including social network analysis, federated search technology across CAD, RMS, and other data systems, HSGP Appendi3$2-AZ6 8/20/2 -25 complex data indexing, social media, open source, facial recognition, unmanned aircraft systems, geographic information systems (GIS), license plate reader technologies, and other artificial intelligence technologies. Interagency Collaboration: Fusion centers must maintain strong partnerships to enable intelligence, operational, investigative, and analytic collaboration and deconfliction of threat information with other partners located within their jurisdiction and across their region, including HIDTAs, RISS Centers, DHS intelligence, operational, investigative, and analytic entities, FBI Field Offices, JTTFs, and major city/county intelligence units. State and urban area fusion centers receiving SHSP or UASI grant funds will be evaluated based on compliance with the guidance and requirements for the National Network as set forth by DHS Intelligence and Analysis (I&A) through the annual Fusion Center Assessment. • Additional fusion center grant requirements are listed at http://www.dhs.gov/homeland-security- rg ant -pro rag m-hsgp. • FEMA approved analyst courses that meet the grant requirement are listed at http://www.dhs. gov/fema-approved-intelligence-analyst-training-courses. Through the Program Performance Report (PPR), fusion centers will report on the compliance with measurement requirements within the fusion centers through the annual Fusion Center Assessment managed by DHS I&A and reported to FEMA. In addition to the activities identified in the National Prevention Framework, fusion centers are also required to collaborate with those analytic, investigative, and information -sharing entities focused on preventing, detecting, deterring, and disrupting acts of terrorism and combating transnational criminal organizations. Such entities include, but are not limited to JTTFs, Area Maritime Security Committees, Border Enforcement Security Task Forces, Integrated Border Enforcement Teams, HIDTAs, and RISS Centers, as well as other federal intelligence, operational, analytic, and investigative entities. Applicants will be required to provide information regarding their information sharing partnerships, including how they will identify, address, and overcome any existing laws, policies, and practices that prevent information sharing, via the Information and Intelligence National Priority Investment and supporting data via the annual Fusion Center Assessment. Fusion Center Performance Measures Reference Performance Measures Number 2023.1 Percentage of federal Information Intelligence Reports (IIRs) originating from fusion center information that address a specific Intelligence Community need 2023.2 Percentage of federal IIRs originating from fusion center information that the Intelligence Community otherwise used in performing its mission (e.g., contained first-time reporting; corroborated existing information; addressed a critical intelligence gap; or helped to define an issue or target) 2023.3 Number of SARs vetted and submitted by fusion centers that result in the initiation or enhancement of an investigation by the FBI 2023.4 Number of SAR vetted and submitted by fusion centers that involve an individual on the Watchlist 2023.5 Percentage of Requests for Information (RFIs) from the Terrorist Screening Center (TSC) for which fusion centers provided information for a TSC case file 2023.6 Percentage of I&A Watchlist nominations that were initiated or updated existing case files based on information provided by fusion centers HSGP Appendig$NZ7 8/20/2 -26 Reference Number Performance Measures 2023.7 Number of distributable analytic products co-authored by one or more fusion centers and/or federal agencies 2023.8 Percentage of fusion center distributable analytic products that address Homeland Security topics 2023.9 Percentage of fusion center distributable analytic products that address state/local customer information needs 2023.10 Percentage of key customers reporting that fusion center products are relevant 2023.11 Percentage of key customers reporting that fusion center services are relevant 2023.12 Percentage of key customers reporting that fusion center products are timely for mission needs 2023.13 Percentage of key customers reporting that fusion center services are timely for mission needs 2023.14 Percentage of key customers reporting that fusion center products influenced their decision making related to threat response activities within their AOR 2023.15 Percentage of key customers reporting that fusion center services influenced their decision making related to threat response activities within their AOR 2023.16 Percentage of key customers reporting that fusion center products resulted in increased situational awareness of threats within their AOR 2023.17 Percentage of key customers reporting that fusion center services resulted in increased situational awareness of threats within their AOR 2023.18 Number of tips and leads vetted by the fusion center 2023.19 Number of tips and leads vetted by the fusion center that were provided to other F/SLTT agencies for follow up action 2023.20 Number of responses to RFIs from all sources 2023.21 Number of situational awareness products developed and disseminated by fusion centers 2023.22 Number of case support and/or tactical products developed and disseminated by fusion centers 2023.23 Percentage of federally designated special events in which fusion centers played a direct role 2023.24 Percentage of federally declared disasters in which fusion centers played a direct role 2023.25 Number of public safety incidents in which fusion centers played a direct role Continuity Capability 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, non -governmental organizations, and private sector critical infrastructure owners and operators. Federal Continuity Directives (FCDs) establish continuity program and planning requirements for executive departments and agencies. This direction and guidance assist in developing capabilities for continuing the essential functions of federal and SLTT governmental entities, as well as public/private critical infrastructure owners, operators, and regulators enabling them. HSGP Appendi$$NM 8/20/2 -27 The Federal Continuity Directives and the Continuity Resource Toolkit provide guidance and resources for organizations. For additional information on continuity programs, guidance, and directives, visit https://www. fema. gov/emergency-managers/national-preparedness/continuity. Governance In keeping with the guiding principles of governance for all FEMA preparedness programs, recipients must coordinate activities across preparedness disciplines and levels of government, including state, territorial, local, and tribal governments. A cohesive planning framework should incorporate FEMA resources, as well as those from other federal and SLTT entities, the private sector, and faith -based community organizations. Specific attention should be paid to how available preparedness funding sources can effectively support a whole community approach to emergency preparedness and management and the enhancement of core capabilities. To ensure this, the SAA must establish or reestablish a unified Senior Advisory Committee. Additionally, 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. Senior Advisory Committee (SAC) The SAC builds upon previously established advisory bodies under the SHSP, UASI Program, Transit Security Grant Program (TSGP), and Port Security Grant Program (PSGP). Examples of advisory bodies that should be included on a SAC include UAWGs, SIGB, Area Maritime Security Committees (AMSCs), Regional Transportation Security Working Groups (RTSWGs), Citizen Corps Whole Community Councils, Disability Inclusion Working Groups, and Ch i l d r e n' s W(Thie k i n g G r o u membership of the SAC must reflect a state' s u n i q u e r i intekestspDfrtha ffivei rjhiseion areiasd t h e as outlined in the Goal. Further, the SAC must include representatives that were involved in the production of the state' THIRA and SPR. SAC Composition and Scope SAC membership shall include at least one representative from relevant stakeholders including: • Individuals from the counties, cities, towns, and Indian tribes within the state or high -risk urban area, including, as appropriate, representatives of rural, high -population, and high -threat jurisdictions of UASI-funded high -risk urban areas; • Representatives that were involved in the production of the state' s T Idnld RPA; • State and urban area Chief Information Officers (CIOs) and Chief Information Security Officers (CISOs); • SWIC and SIGB members; • Citizen Corps Whole Community Councils; • Local or tribal government officials; • Tribal organizations; • Emergency response providers, including representatives of the fire service, law enforcement, emergency medical services, and emergency managers; • Public health officials and other appropriate medical practitioners; • Hospitals; • Individuals representing educational institutions, including elementary schools, middle schools, junior high schools, high schools, community colleges, and other institutions of higher education; • State and regional interoperable communications coordinators, as appropriate; HSGP Appendig$2-0$'8 8/20/2 -28 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 (HSA) (if this role is not also the SAA), State Emergency Management Agency (EMA) Director, State Public Health Officer, State A w a r d e e f o r H H S' Ho s p StatteTulblic $afrety Offacerr (eancdl gAeksfos Just>Pcer o g r a m Assistance Grants, if different), State Coordinator for the DoD 1033 Program (also known as the Law Enforcement Support Office [LESO] Program), State Court Official, State Emergency Medical Services (EMS) Director, State Trauma System Manager, Statewide Interoperability Coordinator, State Citizen Corps Whole Community Council, the State Emergency Medical Services for Children (EMSC) Coordinator, State Education Department, State Human Services Department, State Child Welfare Services, State Juvenile Justice Services, Urban Area POC, Senior Members of AMSCs, Senior Members of the RTSWG, Senior Security Officials from Major Transportation Systems, and the Adjutant General. SACS are encouraged to develop subcommittee structures, as necessary, to address the issue or 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 Point of Contacts (POCs) are responsible for identifying and coordinating with the POC for the UAWG, which should be a member of the SAC. T h e P O C ' s c o n t a 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. Finally, FEMA recommends that organizations 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 be invited to participate in the SAC. Applicants must submit the list of SAC members and the SAC charter at the time of application as an attachment in ND Grants. SAAs will use the URT to verify compliance with SAC charter requirements. SAC Responsibilities The responsibilities of a SAC include: • Integrating preparedness activities across disciplines, the private sector, nonprofit, faith -based, and community organizations, and SLTT governments, with the goal of maximizing coordination and reducing duplication of effort; • Creating a cohesive planning network that builds and implements preparedness initiatives using FEMA resources, as well as other federal, SLTT, private sector, and faith -based community resources; • Management of all available preparedness funding sources to ensure their effective use and to minimize duplication of effort; • Ensuring investments support building capability, closing capability gaps, or sustaining capabilities identified in the THIRA/SPR; HSGP Appen&3$2-0:90 8/20/2 -29 Assist in preparation and revision of the state, regional, or local homeland security plan or the threat and hazard identification and risk assessment, as the case may be; and Assist in determining effective funding priorities for SHSP grants. SAC Charter The governance of the SHSP and UASI programs through the SAC should be directed by a charter. All members of the SAC should sign and date the charter showing their agreement with its content and their representation on the Committee. R e v i s i o n s t o t h e g o v e r n i n g c h a r t e r assigned FEMA HQ Preparedness Officer. The SAC charter must at a minimum address the following: • A d e t a 1 ed d e s c r i pt i on of t he SAC' s c 0 m p 0 s i t i including how the SAC is informed by the state' s tobamdrea' s T NPIRF, A • 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 B S I nRmbewsi oft thle SAC. SAAs are also encouraged to share their THIRA/SPR data with members of the SAC who are applying for other FEMA preparedness grants to enhance their understanding of statewide capability gaps. The charter should be made available upon request to promote transparency in decision -making related to SHSP and UASI activities. To manage this effort and to further reinforce collaboration and coordination across the stakeholder community, a portion of the 20% holdback of a state or territory award may be utilized by the SAA to support the SAC and to ensure representation and active participation of SAC members. Funding may be used for hiring and training planners, establishing and maintaining a program management structure, identifying and managing projects, conducting research necessary to inform the planning process, and developing plans that bridge mechanisms, documents, protocols, and procedures. Urban Area Working Group (UAWG) UASI program implementation and governance must include regional partners and should have balanced representation among entities with operational responsibilities for prevention, protection, mitigation, and response activities within the region. In some instances, high -risk urban area boundaries cross state borders. States must ensure that the identified high -risk urban areas take an inclusive regional approach to the development and implementation of the UASI program and involve the contiguous jurisdictions, mutual aid partners, port authorities, rail and transit authorities, state agencies, Statewide Interoperability Coordinators, Citizen Corps Whole Community Council(s), and campus law enforcement in their program activities. UAWG Composition and Scope Pursuant to section 2003(b) of the Homeland Security Act of 2002 (codified as amended at 6 U.S.C. § 604(b)), eligible high -risk urban areas were determined based on an analysis of relative risk of the 100 most populous Metropolitan Statistical Areas (MSAs), as defined by the Office of Management and Budget (OMB). MSAs are used by FEMA to determine eligibility for participation in the program. HSGP Appen&3$2-0:$1 8/20/2 -30 Geographical areas queried do not equate to minimum mandated membership representation of an urban area, nor does this guarantee funding for geographical areas queried. UAWGs are not required to expand or contract existing urban area participation to conform to MSA composition. Detailed information on MSAs is publicly available from the United States Census Bureau at https://www.census.gov/pro rg ams- surveys/metro-micro.html. An SAA must confirm a specific POC with the designated high -risk urban area. The SAA POC is responsible for identifying and coordinating with the POC for the UAWG. This information must be provided to FEMA with the grant application. SAAs must work with existing high -risk urban areas to ensure that information for current POCs is on file with FEMA. Membership in the UAWG must provide either direct or indirect representation for all relevant jurisdictions and response disciplines (including law enforcement, fire service, EMS, hospitals, public health, and emergency management) that comprise the defined high -risk urban area. It must also be inclusive of local Whole Community Citizen Corps Council and tribal representatives. The UAWG should also include at least one representative from each of the following significant stakeholders: • Local or tribal government officials • CIO and CISO • Emergency response providers, which shall include representatives of the fire service, law enforcement, emergency medical services, and emergency managers • Public health officials and other appropriate medical practitioners, including Health Care Coalitions (HCCs) • Individuals representing educational institutions, including elementary schools, middle schools, junior high schools, high schools, community colleges, and other institutions of higher education • State and regional interoperable communications coordinators, and state and major urban area fusion centers, as appropriate In addition to representatives from the local jurisdictions and tribes within the state or high -risk urban area, the UAWG should include officials responsible for the administration of Centers for Disease Control and Prevention' sCDCQ and t h e H H S A s s i s t a n t S e c r e t a r y f o r P r (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 ND Grants. High -risk urban areas must notify the SAA and the FEMA Headquarters Preparedness Officer of any updates to the UAWG structure or membership after the application is submitted. UAWG Responsibilities UAWGs must ensure that applications for funding under the UASI program support building capability, closing capability gaps, or sustaining capabilities identified in the high -risk urban area' THIRA/SPR. The UAWG should support state efforts to develop the SPR, particularly as it relates to UASI-funded activities. The UAWG, in coordination with the SAA POC, must develop a methodology for allocating funding available through the UASI program. The UAWG must reach consensus on all UASI funding allocations. If consensus cannot be reached within the 45-day period allotted for the state to obligate funds to subrecipients, the SAA must make the allocation determination. The SAA must provide written documentation verifying the consensus of the UAWG or the failure to achieve otherwise on the allocation of funds and submit it to FEMA immediately after the 45-day period allotted for the state to obligate HSGP Appendig$2-9:$2 8/20/2 -31 funds to subrecipients. Any UASI funds retained by the state must be used in direct support of the high - risk urban area. States must provide documentation to the UAWG, and FEMA upon request, demonstrating how any UASI funds retained by a state are directly supporting the high -risk urban area. UAWG Charter In keeping with sound project management practices, the UAWG must ensure that its approach to critical issues such as membership, governance structure, voting rights, grant management and administration responsibilities, and funding allocation methodologies are formalized in a working group charter, or another form of standard operating procedure related to the UASI program governance. The charter must also outline how decisions made in UAWG meetings will be documented and shared with UAWG members. The UAWG charter must be submitted at the time of application as an attachment in ND Grants and must be on file with FEMA prior to drawing down UASI funding. It also must be available to all UAWG members to promote transparency in decision making related to the UASI program. Supplemental SHSP and UASI Guidance Collaboration Collaboration with Other Federal Preparedness Programs FEMA strongly encourages states, high -risk urban areas, tribes, and territories to understand other federal preparedness programs in their jurisdictions and to work with them in a collaborative manner to leverage all available resources and avoid duplicative activities. For example, HHS has two robust preparedness programs —CDC' Public Health Emergency Preparedness (PHEP) cooperative agreement and ASPR's Hospital Preparedness Program (HPP) cooperative agreement —that focus on preparedness capabilities. CDC' s 1 5 p u b l i s h e a l t h p r i4lFadthrcacregbmpaeresln�ess oapabioitaesb i l i t i 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 Pr o g r a m); a n d t h e R e s i l i e n c e Di r e c t Regional Resilience Assessment Program (RRAP). However, coordination is not limited to grant funding. It also includes leveraging assessments such a Transportation Security A g e n c y' s ( T S A) Assessment for Security Enhancement (BASE), reporting from the Intelligence Community, risk information such as USCG' 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' National Highway Traffic Safety Administration (NHTSA). Collaboration with Health Care Coalitions (HCCs) HCCs are regional entities comprised of health care, public health, emergency management, and emergency medical services organizations that plan and respond together, leverage resources, and address o r a t e/ 1 Basel HSGP Appen&3$2-0:93 8/20/2 -32 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 (hiips://www.phe. og v/Preparedness/planning/hpp/reports/Documents/2017-2022-healthcare-pr- capablities.pdD. Collaboration with Nonprofit Organizations SHSP and UASI recipients are encouraged to work with the nonprofit community to address terrorism and all -hazards prevention concerns, seek input on the needs of the nonprofit sector, and support the goals of their investments. Collaboration with Tribes FEMA strongly encourages states, high -risk urban areas, and territories to work with tribal nations in overall initiatives, such as whole community preparedness and emergency management planning. Whole Community Preparedness SHSP and UASI recipients should engage with the whole community to advance community and individual preparedness and to work as a nation to build and sustain resilience. Recipients should consider the three goals of the 2022-2026 FEMA Strategic Plan in their program design and delivery, specifically Strategic Objective 1.3: Achieve equitable outcomes for those we serve, and Goal 3: Promote and sustain a ready FEMA and prepared nation. Recipients should integrate program design and delivery practices that ensure representation and services for under -represented diverse populations that may be more impacted by disasters including children, seniors, individuals with disabilities or other access and functional needs, individuals with diverse culture and language use, individuals with lower economic capacity, and other underserved populations. Individual preparedness must be coordinated by an integrated body of government and nongovernmental representatives as well, including but not limited to, elected officials, the private sector (especially privately owned critical infrastructure), private nonprofits, nongovernmental organizations (including faith -based, community -based, and voluntary organizations), advocacy groups for under -represented diverse populations that may be more impacted by disasters including children, seniors, individuals with disabilities or other access and functional needs, individuals with diverse culture and language use, individuals with lower economic capacity, and other underserved populations. FEMA has programming designed to increase the resilience of individual Americans and communities. Please email Prepare&fema.dhs.gov t o c o n t a c t o n e o f t h e A g e n c y' s s u b guidance and assistance. The following tools, trainings, and products may be ordered directly, free of charge f r o m F Eh4 A/%ors�ers.�p�rove/iclpddICuFV.aspx;ankany of them aliaftbte costs, but recipients and subrecipients should ensure that these activities can also help build target capabilities for preventing, preparing for, protecting against, and responding to acts of terrorism. Community Emergency Response Team (CERT) programs, which educate volunteers about disaster preparedness for the hazards that may impact their area and train them in basic disaster response skills, such as fire safety, light search and rescue, team organization, and disaster medical operations. CERT offers a consistent, nationwide approach to volunteer training and organization that professional responders can rely on during disaster situations, allowing them to focus on more complex tasks. HSGP Appendig$2-0:$4 8/20/2 -33 Financial Resilience: FEMA partners with philanthropic and nonprofit organizations to increase the financial resilience of the public in advance of disasters, including acts of terrorism. Activities include helping the public to organize finances and increasing the understanding of what FEMA assistance can provide. Partnerships with local financial wellness organizations such as credit unions, financial counselors, community banks, and others that reach a variety of audiences are encouraged. The Emergency Financial First Aid Kit (EFFAK) provides individuals, families, and businesses the ability to organize critical financial, medical, and household information. It includes a checklist of important documents and forms to compile your relevant information. Building Capacity with Community Based Organizations: Community -Based Organizations serve as a critical safety net for Americans disproportionately impacted by disasters, including acts of terrorism. Allowable activities include Whole Community exercises, trainings, and activities focused on staff preparedness; information sharing with clients and government; and continuity of essential functions in the event of an emergency. In 2019, FEMA launched the Organizations Preparing for Emergency Needs Training (OPEN). OPEN includes both a web - based, self -guided training, and a downloadable instructor kit that will guide participants on how to identify risks, locate resources, and take preparedness actions. When Community -Based Organizations, such as food pantries, daycares, and nonprofits, are unable to sustain operations during an emergency incident, individuals who rely on them are exponentially impacted. Because of their importance in keeping the community going, OPEN is designed to empower these organizations to better prepare for incidents. Community -Based Organizations include but are not limited to food banks, food pantries, homeless shelters, school readiness and after school centers, adult day care centers, job training centers, legal assistance centers, and cultural centers. Preparedness Actions: FEMA curates validated guidance for decision -making (protective actions) for the public in order to increase survival rates and improve disaster recovery, including from acts of terrorism. Recipients may order, free of charge, hazard information sheets on 17 d i f f e r e n t t y p e s o f t h r e a t s a n d h a z a r d s, create an emergency communications plan for a family, and a breadth of depth of other material at hgps:Horders.gpo.gov/icpd/ICPD.aspx. Youth Preparedness Resources are available on www.ready.ovg /kids. Bolstering youth preparedness across the nation is a priority for FEMA as the Agency works with state, local, tribal, and territorial partners to create a culture of preparedness in the United States. Information on youth -centric educational curricula, games, planning materials, and other relevant resources can be found at www.ready.gov/kids. The following are examples of youth preparedness activities that grantees are encouraged to undertake as allowable costs: o Reach out to a local school board or elementary school to encourage the adoption of the Student Tools for Emergency Planning (STEP) curriculum. STEP is a classroom -based emergency preparedness curriculum for 4th- and 51h-graders in an easy, ready -to -teach format. Students will learn about disasters, emergencies, and hazards, and how to create a disaster supply kit and family emergency communication plan. An overview of the STEP program along with the instructor guide and student activity book is available at https://www.readygov/student-tools-emergency_planning-step; and o Sponsor the creation of a Teen CERT in your jurisdiction. The CERT Program is a national program of volunteers trained in disaster preparedness and emergency response. Volunteers come from all ages and all walks of life, including teenagers. Additional information, including a step-by-step guide on how to start a Teen CERT, is available at https://www.ready.gov/teen-cert. t h e The following tools are available to order fr HSGP Appendig$Ngo' 8/20/2 -34 o "Pr e p a r e wi t h P e d r o" i s a j of nt pr o d u c t of "Pr e p a r e wi t h Pedro: Di s a s t er Pr e p a r e d n e s s children and their families about how to stay safe during disasters and emergencies. The book follows Pedro around the United States and offers safety advice through crosswords, coloring pages, matching games, and more. Additional information, including an ordering form, is available at hgps://www.ready.gov/prepare-pedro; and o The Ready 2 Help card game is a fun way for kids to learn how to respond to emergencies by working with friends and using skills that will help in a real emergency. Ready 2 Help teaches five simple steps to stay safe and make a difference until help arrives: • Stay Safe; • Stay Calm; • Get Help; • Give Info; and • Give Care. Ready 2 Help is designed for children ages 8 and up. Additional information, including an ordering form, is available at https://www.ready.aov/ready-2-help. Supplemental OPSG Program Guidance OPSG supports enhanced cooperation and coordination among CBP, USBP, and federal and SLTT law enforcement agencies to improve overall border security. OPSG provides funding to support joint efforts t o s e c u r e t he Uni t ed St at es' b o r der s al o n g r out e include travel corridors in states bordering Mexico and Canada, as well as states and territories with international water borders. OPSG also further enhances the sharing of threat information and intelligence between federal, state, local, tribal, and territorial law enforcement agencies through the development and sustainment of a capable workforce of analysts that have the necessary experience and training, access to open source, unclassified and classified information, products, data, suspicious activity reporting, tips/leads, and online/social media -based threats, as well as necessary services and technology to facilitate analytic capabilities and collaboration. SLTT law enforcement agencies will utilize their own law enforcement authorities to support the CBP and USBP border security mission and will not receive any additional authority as a result of participation in the grant. An OPSG award does not provide any additional authority to SLTT law enforcement agencies. More specifically, SLTT law enforcement agencies are not empowered through OPSG to enforce immigration authorities under Title 8 of the U.S. Code (i.e., the Immigration and Nationality Act). SLTT law enforcement agencies are expected utilize their own jurisdictional authority in support of enhanced border security unless some other agreement applies. SLTT law enforcement agencies are further expected to operate within the bounds of all applicable laws, to include federal laws, state statutes, and local laws, policies, and procedures. OPSG is intended to support border states and territories of the United States in accomplishing the following objectives: Increase intelligence and operational capabilities to prevent, protect against, and respond to border security issues; Increase coordination and collaboration among federal and SLTT law enforcement agencies; Continue the distinct capability enhancements required for border security and border protection; HSGP Appendig$2-A:96 8/20/2 -35 • 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, suspicious activity reporting, tips/leads, and online/social media -based threats, and the necessary services and technology to facilitate these analytic activities. OPSG funds must be used to provide an enhanced law enforcement presence and to increase operational and intelligence capabilities of federal and SLTT law enforcement, promoting a layered, coordinated approach to law enforcement within border states and territories of the United States. Federal and SLTT OPSG Integrated Planning Team (IPT). Federal and SLTT partners must establish and maintain a formalized OPSG IPT with representation from all participating law enforcement agencies, co-chaired by representatives from USBP, the SAA, and participating law e n f o r cement a g e n c i es' OPSG pr ogr am r epr esent a No fewer than two IPT meetings must take place during every funding year: o Prior to submitting the Concept of Operations (application) o Prior to submitting the Campaign Plan OPSG funds may be used for travel and per diem in support of the IPTs and OPSG strategic planning events as long as the costs are otherwise compliant with other program and regulatory requirements. Coordination Requirements All operational plans should be crafted in cooperation and coordination among federal and SLTT partners. Consideration will be given to applications that are coordinated across multiple jurisdictions. All applicants must coordinate with the USBP Sector Headquarters with geographic responsibility for the a p p l i c a n t' s l o c asutbmi itdinrg aniOpneratid)ncs Ordeerlvthpani embWddeal huddget 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. After awards are announced, prospective recipients will re -scope the draft Operations Order and resubmit it as a final Operations Order with an embedded budget based on actual dollar amounts awarded. The appropriate Sector Headquarters will approve final Operations Orders and forward those orders to Headquarters, Office of Border Patrol, Washington, DC, before funding is released. Recipients may not begin operations, obligate, or expend any funds until FEMA and USBP Headquarters have approved the final Operations Order and the embedded budget and removed any existing special conditions and/or restrictions. HSGP Appendig$2-9:$7 8/20/2 -36 Transportation Costs and Costs Related to the Provision of Acute Medical Care Vehicle, fuel, mileage, operational overtime, and other types of costs otherwise allowable under an OPSG a wa r d' s HS GP NOF O are a l t o wa b l e wh e r e t h e c o s t s individuals interdicted while carrying out allowable OPSG-funded activities or operations from the point of interdiction to an applicable law enforcement facility. When transporting individuals interdicted in the course of carrying out allowable OPSG-funded activities or operations from the point of interdiction, non -Federal entities may charge vehicle, fuel, mileage, o p e r at i onal over t i me, and of her t y p e s of c os t s o associated with necessary transportation to provide acute medical care for individuals being transported from the point of interdiction. In such cases, non -Federal entities may also charge operational overtime for personnel that monitor a detained individual receiving acute medical care where the individual remains in the custody of the non -Federal law enforcement agency. Costs incurred beyond the acute phase of medical care (e.g., upon admission to the hospital, or after transfer from an acute care facility to the hospital) and costs incurred once the custodial responsibility of the individual is transferred to CBP are not allowable under OPSG. Costs described above are allowable regardless of what entity or agency initially makes the interdiction. Personnel costs incurred by non -Federal law enforcement agencies eligible under OPSG (including deputies, corrections officers, or detention officers) for costs described above are allowable. OPSG Operations Order Template and Instructions Operations Order Template Instructions To access the OPSG Operations Order Template: Find the Homeland Security Grant Program posting via the search function on Grants.gov; Select the Related Documents tab on the posting; and Click on the OPSG Operations Order Template and fill out all sections of the template. Executive Summary Overview Operations Order Executive Summary Operations Order Executive Summary must: • Identify the organization name, point of contact, committees, and other structures accountable for implementing OPSG in the jurisdiction (typically this will be a program lead or manager overseeing operations and individuals assigned to that agency); and • Describe how federal and SLTT law enforcement agencies will work together to establish and enhance coordination and collaboration on border security issues. Budget Requirements Overview Operations Order Detailed Annual Budget must: • Explain how costs and expenses were estimated; and • Provide a narrative justification for costs and expenses. Supporting tables describing cost and expense elements (e.g., equipment, fuel, vehicle maintenance costs) may be included. Submission Requirements Operations Orders must meet the following submission requirements: HSGP Appendig$2-0:98 8/20/2 -37 Must be submitted as an Adobe PDF document; All documents submitted must use the unique identifier created by the OPSG data management system from the original associated operation order; and Applicable OPSG sector representatives must coordinate with the SAA and OPSG participants to submit an accurate inventory of all specified OPSG purchased property with each Operations Order/FRAGO. Due to the competitive nature of this program, separate attachments will neither be accepted nor reviewed. OPSG Operational Guidance This section provides operational guidance to OPSG applicants on the development of a concept of operations and campaign planning, the tactical operation period, and reporting procedures. This guidance also delineates specific roles and responsibilities, expectations for operations, and performance measures. Successful execution of these objectives will promote situational awareness among participating agencies and ensure a rapid, fluid response to emerging border -security conditions. OPSG uses an integrated approach to address transnational criminal activity. Federal and SLTT partners are required to establish and maintain an OPSG IPT with representation from all participating law enforcement agencies, co-chaired by representatives from USBP, the SAA, and participating local law e n f o r c e m e n t a g e n c i e s tives.GakhSopGbratipDntal(ordgerrmdlhnddressesppecrifi(c s e threats, gaps, and vulnerabilities tidentified 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 se c t o r' s C h i o f P a t r o l A g e n t o 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 wi t h g e o g r a p h i c r e s p o n s i bi l i t y f or t he appl i s ant 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. HSGP Appendig$NM 8/20/2 -38 Law Enforcement Presence includes activities and costs associated to having an SLTT partner provide a law enforcement patrol presence in an area designated by the USBP Sector in support of border security efforts. Situational Awareness includes technology to provide current and immediately relevant information about currently active border security threats. Intelligence Collection and Distribution includes both technology and manpower related to the gathering and analysis of intelligence with a nexus to border security. The terms of an OPSG award do not extend to an SLTT partner any authority to enforce additional laws, statues, or regulations beyond their own authorities; SLTT partners are not empowered through OPSG to enforce immigration authorities under Title 8 of the U.S. Code (i.e., the INA). Participation in the grant does not grant participants the power to operate outside of their own jurisdictional boundaries. Concept of Operations and Campaign Planning Post -Allocation Announcement/Pre-Award The overarching operational cycle involves three stages: 1) application; and 2) concept of operations to formulate a Campaign Plan, which are all developed by the IPT. All Operations Orders: Concept of Operations (CONOPS), Operation Orders (00) or Campaign Plans and FRAGOs shall be submitted through the CBP Stonegarden Data Management System. All OPSG grant Application packages shall be submitted to the SAA for entry into Grants.gov. Application: Please refer to the current fiscal year' kISGP NOFO and relevant information in this Manual. Campaign Plan: After awards are announced, participants will create and submit an operations order that forms a campaign plan and captures the initial, generalized -budgetary intent to their IPT. T h e c a m p a i g n p l a n s h o u t d a r-tetrmi hprdef seacutritey objechive s anpd a r t i s goals designed to mitigate bordep 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 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 a n n o u n c e m e n t a n d t h e d e m a n. cSes•tor ap1prov1edhcaempaggnr plamstmIuslo p e r 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 pr i or wr i t t en a p p r oval , i n a c or d a n c e wi t HSGP Appendi3Q2-02MO 8/20/2 -39 In the event that changes must be made to the original operational plan, such as additional funding requests or other changes to the original scope or objectives, a FRAGO must be submitted in HSIN to o b t a i n F E MA' s p r i o r w r iintact;oredamce wit1k P G.FcRv§a2010.308(cf)(1).s u c h c h These modifications will be annotated in the annexe section of the FRAGO. Operational Execution In the event that changes or additional funding requests to the original operational order must be made, a FRAGO will be created. These modifications will be annotated in the annex section of the FRAGO. Operational discipline is necessary for the success of OPSG. Deliberate, adaptive, integrated, and intelligence -driven planning is critical to conducting targeted enforcement operations consistent with the objectives of the OPSG. By participating in the OPSG, the state, local, tribal, and territorial agencies agree to conduct operations designed to reduce border -security risk. Operations are composed of six critical elements: 1) a pre -planning meeting with the IPT; 2) specified beginning and ending dates; 3) the integration of intelligence and border security; 4) use of targeted enforcement techniques; 5) clearly stated objectives; and 6) an after -action meeting. These operations require deliberate on -going planning to ensure command, staff, and unit activities synchronize to current and future operations. The cyclical nature of the process will ensure OPSG activities align with the fluctuating border -security threats and vulnerabilities. The IPT should leverage information provided by the fusion center, Border Intelligence Centers, or other local intelligence center, when possible, and establish a common operational vision. The USBP Se c t or ' s Chi e f Pat r of Agent , or hi s / her de s i intelligence has a clear nexus to border security. Intelligence will be shared and vetted for border security value, driving the focus of operations. Once intelligence -driven targets are identified, the IPT will decide on operational objectives that reflect the intended impact of operations. The objectives should outline how the operation will deter, deny, degrade, or dismantle the operational capacity of the targeted transnational criminal organizations. Each operational period will begin on a predetermined date and end on a predetermined date, but the dates may be subject to change commensurate with emerging security conditions. The starting date of the operational period should be established to allow sufficient time for the order to be submitted and approved by the corresponding USBP Sector and in concurrence with its SAA and USBP Headquarters. The USBP Sectors will upload copies of operations order in the corresponding folder in the CBP Stonegarden Data Management System. Reporting Procedures Participation in OPSG requires accurate, consistent, and timely reporting of how funds are used, and how the state, loca 1 a n d t r i b a l a g e n c i e s' o p e r a t i o n s h a v e i m p threat or vulnerability and the overall reduction of risk. Reporting will focus on monitoring program performance; determining the level of integration and information sharing; and developing best practices for future operations. To ensure consistent reporting each state, local, and tribal agency will identify a single point of contact to represent their agency as a member of the IPT and to coordinate the submission of reports or execute other aspects of the grant. The Daily Activity Report (DAR), which can be found by selecting the link for the current fiscal year HSGP NOFO on F E MA13reparedness grants page(htt2s://www.fema.gov/homeland-securiiy-grant- progra ) 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 mu t be s u b m i t t ed t o t he US BP s e c t or or hotzrshe par t HSGP Appendi$Q2-02M1 8/20/2 -40 of the conclusion of each OPSG shift. Subrecipients and Sectors are responsible to ensure that DARs are submitted in the proper format and in a timely manner. DARs will be submitted using the CBP Stonegarden Data Management System. Friendly Forces receiving funding through a subrecipient will submit DARs within 48 hours. Border Patrol Sectors and OPSG subrecipients will implement internal protocols to ensure operational data from subrecipients and friendly force DARs are properly collected following the established guidelines. In addition to the ongoing reporting of outputs, subrecipient participants will be required to submit AARs to USBP sectors within 10 days of closing the operational POP for that funding year. The AAR should carefully articulate outcomes and outputs as well as how the results of the operation compare with the objectives identified during the pre -planning meeting. Failure to submit the AAR in a timely manner may prevent the approval of future operations requests. All AARs and other OPSG reporting requirements will be submitted through the CBP Stonegarden Data Management System. Sectors are responsible for submitting AARs into Border Patrol Enforcement Tracking System (BPETS) as applicable. Operational Roles and Responsibilities To achieve unity of effort, it is essential that each participant know the roles and responsibilities within the IPT. T h e U S B P s ePactrot 1 Agrenl, or hisQhehr ilesdgfiee, will: • Coordinate and chair the area IPT' s m e; e t i n g s • Coordinate with all interested and eligible SLTT a g e n c i e s i n t h e s e c t o r s the open period of the OPSG application process by: o Assisting applicants in completing the operations planning portion of the application, which is like the Operations Order used by the USBP; o Forwarding the approved operation portion of the application to CBP/USBP Headquarters as well as to the SAA to complete the application process set by FEMA; and o Detailing what operational support the USBP Sector anticipates for specific periods and matching the capabilities of partners to fill those gaps. • Following the announcement of grant awards, coordinate and chair a meeting with SLTT agencies that received OPSG awards to develop an individualized campaign plan. This includes: o Working with SLTT agencies, along with other federal law enforcement agencies to determine the dates, focus, and needs of each operational period, ensuring that each operation has a nexus to border security; o Receiving the first periodic operations order from the SLTT agencies and ensuring that the operation is conducted as outlined in the Campaign Planning section; o Monitoring and supporting the Operational Cycle throughout the performance period o Ensuring the DAR and the AAR are submitted by state, local, and tribal agencies in the proper format and within the established timeframes; o Providing instruction, when possible, to state, local, and tribal agencies regarding techniques, methods, and trends used by transnational criminal organizations in the area; o Providing a single point of contact to participants as a subject -matter expert in OPSG that can coordinate, collect, and report operational activities within the established reporting procedures; o Providing verification that operations are conducted; o Documenting and conducting random, on -site operational verification of OPSG patrols by subrecipients and friendly forces; o Verifying that subrecipients are performing OPSG enforcement duties in accordance with the applicable grant, statute, and regulatory guidance and instructions; and WittdiMA HSGP Appendi$Q2-022 8/20/2-41 o Ensuring that grant funds are appropriately expended to meet sector border enforcement operational requirements and assist in enhancing subrecipient/friendly force capabilities to provide for enhanced enforcement presence, operational integration, and intelligence sharing in border communities. The state, local or tribal agency lead, or their designee, will: • Coordinate with the SAA on all grant management matters including but not limited to the development and review of operations orders, expenditure of funds, allowable costs, reporting requirements; • Upon receiving a grant award, coordinate and meet as a member of the IPT to develop an individualized campaign plan that covers the length of the grant performance period; • Work within the IPT to develop an initial Operational Cycle and determine the duration of the first operational period based on the tactical needs specific to the area; • Submit all operations orders for review and submit the operations order to the Border Patrol and ensure the operation meets the six criteria established in the Operations Section: o Conduct operations on an as -needed basis throughout the length of the grant performance period; o Integrate law enforcement partners from contiguous counties and towns into their tactical operations to expand the layer of security beyond existing areas; o Ensure all required reports, including reports from friendly forces, are submitted to the Border Patrol and the SAA, when applicable, in the proper format and within established timeframes; o Ensure applicable OPSG-derived data is shared with the designated fusion center in the state or high -risk urban areas; o Ensure applicable intelligence is shared with the designated fusion center in the state and/or 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; o Provide the SAA and USBP a single point of contact that maintains subject -matter expertise in OPSG who can coordinate, collect, and report operational activities within the established reporting procedures; and o Assist as required with the coordination, management, and operational aspects of the grant. The SAA will: • Actively engage in the IPT meetings; • Work in direct coordination and communication with the local or tribal agency lead on all grant management matters; • Review all operations orders created by the local or tribal agency; • Acts as the fiduciary agent for the program and provide expertise in state policy and regulations; • Enter into a subaward agreement to disburse the allocated funding awarded through FEMA; • Generate biannual reports to F E MA c a p t u r i n g t h e s andu dxpienelitwr�spfi e n t s funds; • De er mi ne i f t he gr ant ' s per f or manfedeerallyper i od r established 36-month period; • Conduct audits of the program to ensure that the subrecipients are following program guidance; and HSGP Appendi$Q2-02M 8/20/2 -42 • Assist as required with the coordination, management, and operational aspects of the grant. Definitions (OPSG only) Area of Interest: A specific area, areas, or facilities known to be used by transnational criminal organizations in furtherance of their criminal activity. Border -security related crime: Any action or enterprise that constitutes an offense which is punishable by law: • That results in a favorable environment for criminal enterprise network, transnational criminal, or terrorist organizations; the smuggling/trafficking of humans, contraband, narcotics, or weapons of mass destruction across or in proximity to the U.S. border or; • That has a direct nexus to illicit cross -border activity; and • For which prosecution would serve established border security goals as outlined by the CBP for a whole of community approach. Campai.n�: The first Operational Order based on the CONOP aimed at accomplishing a strategic or operational objective within a given time and space. Concept of Operations (CONOP): A written statement that clearly and concisely expresses what the State, local, or tribal commander intends to accomplish and how it will be done using available resources (and funding). It is also the operational equivalent of the OPSG grant application. Fra mg entary Order (FRAGO): A fragmentary order is a modification of the approved campaign plan, reflecting changes to the scope or objective pursuant to 2 C.F.R. § 200.308(c)(1). After an operation order has been a p p r owed, any change s t o a c a m p a i gn pl an approval. S u b s e q u e n t F R A G O s a r e p e r m i s s appbovl alp co, nsistend b j e c t o with the requirements of 2 C.F.R. §§ 200.308, 200.407t Friendly Forces: Local law enforcement entities with whom OPSG subrecipients provide funding to support border security operations. Integrated PlanningTeam eam (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 (00): A formal description of the action to be taken to accomplish or satisfy a CONOP, Campaign Plan, or FRAGO. The 00 includes a detailed description of actions to be taken and required logistical needs to execute an operation. Opioid Receptor Antagonists: Any medically approved drug or medical substance that can be utilized by first responder personnel in an emergency situation that is designed to counteract the effects of an opioid overdose. HSGP Appendi3$2-02M4 8/20/2a 43 Performance Measure: A numerical expression that quantitatively conveys how well the organization is doing against an associated performance goal, objective, or standard. Risk: Potential for an adverse outcome assessed as a function of threats, vulnerabilities, and consequences associated with an incident, event, or occurrence. Targeted Enforcement: The leveraging of all available assets against a specific action, area, individual, or organization and using those deemed most appropriate to mitigate risk. Target of Interest: A specific person, group of persons, or conveyance known to be part of, or used by transnational criminal organizations to advance their criminal activity. Threat: Information expressing intent to conduct illegal activity often derived from intelligence sources, the overall context, a specific event or series of events, or observation of suspicious activity. Tier: Tier refers to the geographical location of a municipality, county, or tribe with respect to the United States national border, i.e., Tier 1 is a county located on the border; a Tier 2 county is a county contiguous to a Tier 1 county; and a. Tier 3 is a county not located on the physical border but is a contiguous to a Tier 2 county. Unity of Effort: Coordination and cooperation among all organizational elements, even though they may not be part of the same command structure, to achieve success. Vulnerability: The protective measures in place are less than the protective measures needed to mitigate risk. HSGP Supplemental Material FEMA collaborates with various subject -matter experts and acknowledges the value and expertise these Federal partner agencies provide to help shape the development and implementation of the HSGP. This continued partnership and collaboration helps provide recipients with the greatest number of resources required to effectively manage and implement funds as well as promotes transparency. Therefore, FEMA is providing hyperlinks to information on various subjects and policies that are relevant to the mission and intent of the FEMA and its preparedness grant programs. Chemical, Biological, Radiological, and Nuclear (CBRN) Detection The Countering Weapons of Mass Destruction (CWMD) Office is a support component within DHS established in December 2017 to counter attempts by terrorists or other threat actors to carry out an attack against the United States or its interests using a weapon of mass destruction. The CWMD Office provides guidance to improve national coordination on CBRN issues and works with federal and SLTT agencies to ensure operators have better access to current data and subject matter expertise they need. The National Preparedness Assessments Division at FEMA offers implementation support on the THIRA/SPR for SLTT partners and the CWMD Office offers technical assistance 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 CWMD-THIRA(aghq.dhs.gov. National Information Exchange Model (NIEM) NIEM is a common vocabulary that enables efficient information exchange across diverse public and private organizations. NIEM can save time and money by providing consistent, reusable data terms and definitions and repeatable processes. To support information sharing, all recipients of grants for projects HSGP Appendi3Q2-02M5 8/20/2-44 implementing information exchange capabilities are required to use NIEM and to adhere to the NIEM compliance rules. Go to https://niem.gov/ for guidance on how to utilize FEMA award funding for information sharing, exchange, and interoperability activities. The NIEM Emergency Management domain supports emergency -related services (including preparing first responders and responding to disasters), information sharing, and activities such as homeland security and resource and communications management. The NIEM Emergency Management domain has an inclusive governance structure that includes federal, state, local, industry, and, where necessary, international partnerships. The NIEM Emergency Management domain is committed to community support via technical assistance and NIEM training. For more information on the NIEM Emergency Management domain, to request training or technical assistance or to just get involved, go to h1Ltps://niem.gov/EM. Infrastructure Resilience Planning Framework (IRPF) State, local, tribal, and territorial (SLTT) governments are faced with complex long-term decisions, limited sources of revenue, and changing populations. CISA developed the 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 Infrastructure Resilience Planning Framework (IRPF) (cisa.gov). Integrated Public Alert and Warning System (IPAWS) The current IPAWS Supplemental Guidance on Public Alert and Warning provides guidance on eligible public alert and warning activities and equipment standards for prospective SLTT recipients. The intent of this document is to promote consistency in policy across federal grant programs and to ensure compatibility among federally funded projects. For more information on the IPAWS, go to hqps://www.fema.gov/informational-materials. Homeland Security Information Network (HSIN) HSIN is a user -driven, web -based, information sharing platform that connects all homeland security professionals including the DHS and its federal, state, local, tribal, territorial, international, and private sector partners across all homeland security mission areas. HSIN is used to support daily operations, events, exercises, natural disasters, and incidents. To support user mission needs, HSIN provides three sets of services for secure information sharing. The first service provides a shared place for communities to securely collaborate on homeland security issues and includes core functions such as a web conferencing and instant messaging tools with white boarding, video, and chat services for real-time communication and situational awareness. The second set provides secure dissemination and sharing capabilities for homeland security alerts, reports, and products. The third set allows users to access and query a variety of shared data and services from all homeland security mission areas and trusted federal partners. Preparedness grant funds may be used to support planning, training and development costs associated with developing and managing, mission critical, HSIN communities of interest and sites. Learn more about HSIN at HSIN HSGP Guidance I Homeland Security (dhs.gov). SLTT Cybersecurity Engagement Program CISA is responsible for enhancing the security, resilience, and reliability of the Natio n ' s c y b e r a n d 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" . g o v " d o innagoi venmmontfnetwcoriksmnid to collaborate with the private sector— t h e c onto" incrdaoethea sei currity of critical networks. HSGP Appendi$Q2-026 8/20/2-45 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 c y b e r s e c u r i t y e f f o r t s w i t h i t s S L T T cyber interests. More information on all of the CISA resources available to support SLTT governments is available at Resources I CISA. 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 " F r a me wo r k " ) d e v e l o p e d b y t h e Na t i o n a l I n s t i t u t e 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' 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 Critical Infrastructure Cyber Community C3 Voluntary Program I CISA. DHS ' s E n h a n critey 8erviCcesy(EbGS)rprs>gcramc is an example of a resource that protecting U. S.absWd *ublic and private entities and combines key elements of capabilities under the " D e t e c t" a n d "Prot e c t" f u n c t i o n s outteomes df thel fi v e r a n i 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 bl o c k c e r t a n t y p e s of ma i ci o u s t r of f i c fr om en subscribing to ECS must contract directly with a CSP in order to receive services. Please visit Enhanced Cybersecurity Services (ECS) CISA for a current list of ECS CSP points of contact. Regional Resiliency Assessment Program (RRAP) The RRAP is a cooperative assessment of specific critical infrastructure within a designated geographic area and a regional analysis of the surrounding infrastructure that address a range of infrastructure resilience issues that could have regionally and nationally significant consequences. These voluntary, non -regulatory RRAP projects are led by the Infrastructure Security Division and are selected each year by DHS with input and guidance from federal, state, and local partners. For additional information on the RRAP, visit Regional Resiliency Assessment Program I CISA. Law Enforcement Support Office (LESO), or 1033 Program The LESO facilitates a law enforcement support program, which originated from the National Defense Authorization Act of Fiscal Year 1997. This law allows the transfer of excess Department of Defense property that might otherwise be destroyed by law enforcement agencies across the United States and its territories. HSGP Appendi3Q2-027 8/20/2 -46 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 i t e m s u s e d b y --Oaiuthingianod offices suppniii s,ltoiolst, andrre)scue equipment, small arms, ancVnWckesThere is no fee for the equipment itself, however, the law enforcement agencies are responsible for the shipping costs. For additional information on the LESO, please visit: http://www.dla.mil/DispositionServices/Offers/Reutilization/LawEnforcement. aspx. Supplemental Emergency Communications Guidance Lessons learned from recent major disasters, unplanned events, and full-scale exercises have identified a need for greater coordination of emergency communications among senior elected officials, emergency management agencies, and first responders at all levels of government. Federal responders arriving on the scene of a domestic incident are not always able to communicate with SLTT response agencies, as well as key government officials. State and local first responders sometimes experience similar problems, particularly when the incident requires a multi -agency, regional response effort or when primary communications capabilities fail. This lack of operability and interoperability between federal and SLTT agencies —further complicated by problems with communications survivability and resilience —has hindered the ability to share critical information, which can compromise the unity -of -effort required for an effective incident response. Departments and agencies at all levels of government have identified a need for improvement in a number of high -priority areas, including Governance, Planning, Training and Exercises, Operational Coordination, and Technology. In addition, communications resilience and continuity should be viewed as a critical component within each of these areas. These priorities are explained in detail in Section 2 of the SAFECOM Guidance. By addressing these priorities, which are reflective of proven best practices, emergency communications can be significantly improved at all levels of government. The end goal is to ensure operable, interoperable, and resilient communications that maintain a continuous flow of critical information, under all conditions, among multi jurisdictional and multi -disciplinary emergency responders, command posts, agencies, critical infrastructure sectors, and government officials for the duration of an emergency response operation, and in accordance with NIMS and the National Emergency Communications Plan, which describes goals and objectives for improving emergency communications nationwide. To help meet this goal, the SAFECOM Guidance outlines requirements for grant applications, including alignment to national, regional, and state communications plans (e.g., NECP, Statewide Communication Interoperability Plan (SLIP), 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, F E MA' s f o r ma l p l a n n i n g p r o c e s s tedh scats andoorr o d u c e d 1 0 RE tribal/territorial annexes that identify emergency communications capability shortfalls and potential resource requirements. Grant recipients are encouraged to leverage these planning resources as a source of input and reference for all emergency communications grant applications and investment justifications. In addition, FEMA formally recognizes several statewide emergency communications governance bodies (e.g., SWIC, SIGB, Statewide Interoperability Executive Committee (SIEC), FirstNet State Single Point of Contact (SPOC)), and strongly encourages grant recipients to closely coordinate with these entities HSGP Appendi3$2-02M 8/20/2 -47 when developing an emergency communications investment to ensure projects support the state or t e r r i t o r y' s s t rcoantnuenigaty onstcapabilitiem Ixitrh thevgoeal oft achhicviingr fully operable, interoperable, and resilient communications. In addition, grant applicants should work with public and private entities, and across jurisdictions and disciplines, to demonstrate engagement with the Whole Community in accordance with Presidential Policy Directive-8 (PPD-8). For regional, cross -border initiatives, FEMA requires applicants to coordinate projects with national level emergency communications coordination bodies, such as the National Council of Statewide Interoperability Coordinators (NCSWIC) and the Regional Emergency Communications Coordination Working Groups (RECCWGs). The NCSWIC promotes and coordinates state -level activities designed to ensure the highest level of public safety communications across the nation. RECCWGs are congressionally mandated planning and coordination bodies located in each FEMA Region and provide a collaborative forum to assess and address the survivability, sustainability, operability, and interoperability of emergency communications systems at all levels of government. Grant -funded investments that are coordinated with these bodies will help ensure that federally funded emergency communications investments are interoperable and support national policies. Resilient Communications Guidance Nothing better demonstrates a modern nation than its ability to effectively communicate. The risk imposed by the reliance on communication systems by government and the private sector can be reduced by understanding dependencies, analyzing effects, and taking action. Entities planning to use HSGP funding for communications investments are encouraged to work with state emergency management agencies, SWICs, SIGBs, and appropriate stakeholders at the regional, state, local, territorial, and tribal levels to: • Establish robust, resilient, reliable, and interoperable communications capabilities. Account for the mission impact of communication system disruptions in your planning; • Ensure mission -related communications (voice, video, data, and network security requirements) are adequately planned for and understood. It is important to maintain current documentation of your communication systems architecture and perform regular audits. Your ability to continue operations is dependent on the availability of and access to communications systems with sufficient resiliency, redundancy, and accessibility to perform essential functions and provide critical services during a disruption; • Ensure critical communication systems connectivity among key government leadership, internal elements, other supporting organizations, and the public under all conditions. As such, organizations should ensure current copies of vital records, including electronic files and software, are backed -up and maintained off -site; • Ensure all communications systems/networks are traced from end to end to identify all Single Points of Failure (SPF). In doing so, grantees should work with communication service providers to add redundancy at key critical infrastructure facilities as needed; • Ensure key communication systems resiliency through: o Ensuring availability of backup systems; o Ensuring diversity of network element components and routing; o Ensuring geographic separation of primary and alternate transmission media; o Ensuring availability of back-up power sources; o Ensuring availability and access to systems that are not dependent on commercial infrastructure; o Maintain spares for designated critical communication systems; and o Work with commercial suppliers to remediate communication Single Points of Failure. All communications system owners are encouraged to address the following issues: HSGP Appendi$Q2-02M9 8/20/2 -48 o Integrate communications needs into continuity planning efforts by incorporating mitigation options to ensure uninterrupted communications support; o Establish a cybersecurity plan that includes continuity of a communications component such as Radio Frequency (RF)-based communications that do not rely on public infrastructure; o Maintain communications capabilities to ensure their readiness when needed; o Frequently train and exercise personnel required to operate communications capabilities o Test and exercise communications capabilities; and o Consider Electromagnetic Pulse (EMP) protective measures for communications systems where practical. DHS/FEMA Communications Support Services CISA and FEMA offer a variety of technical assistance and other support services to assist state and local entities in their efforts to comply with the above requirements, including the SAFECOM Guidance, with the goal of ensuring interoperable and resilient emergency communications. A summary of DHS/FEMA support services is provided below. Grant recipients are encouraged to refer to the respective websites for additional information. CISA Support: CISA assists agencies through a myriad of services, including direct TA and training provided at no cost to the jurisdiction. The TA offerings include (but are not limited to): • Coordinated statewide governance (e.g., State Mapping Tool, Interoperable Communications Reference Guides); • Comprehensive emergency communications planning (e.g., SCIPs, TICPs, and Field Operations Guides); • Next Generation 911 planning and implementation; • Data operability and interoperability; • Alerts and warnings; • Broadband deployment; • Cybersecurity education and awareness; and • Communications Unit (COMU) planning and procedures. Information on these services is available at https://www.cisa.gov/safecom/ictapscip-resources and https://www.cisa. gov/interoperable-communications-technical-assistance-program. FEMA Disaster Emergency Communications Division (DEC) Support: The DEC, within FEMA H e a d q u a r t e r s' R bass dpveolorpesi StateDoimmuenicationsr a t e, Annexes for all 56 states and territories. DEC provides technical assistance, coordinated through the FEMA Region' Regional Emergency Communications Coordinator (RECC) in scheduling with the states and territories for major updates to the Annexes. Major updates are scheduled on a 3 to 5-year cycle. FEMA DEC supports the major update with a team of communications and emergency management specialists that facilitate a process of interaction with state representatives. This process is coordinated through the SWIC or state designated representative. All documentation is the responsibility of the FEMA support team and validated through state interaction. Minor yearly updates to the State Annexes are accomplished through the RECCWG process. FEMA DEC support staff, working in coordination with the region -specific RECC, incorporate pertinent update information provided by state and local representatives. Additionally, operational information identified through exercises and incident response activities is a source of update data. The FEMA RECC, with the HSGP Appendi3$2-01310 8/20/2 -49 support of the DEC team, is responsible for maintaining the State Annexes — changes and modifications to the Annexes are validated with the state through RECC coordination with the SWIC or designated state representative. FEMA National Preparedness Directorate (NPD) Support: NPD provides training, exercises, and technical assistance to SLTT stakeholders that support operational and emergency communications. Descriptions and resources specific to operational communication are a v a i l a b l e o n htFt ////1 wA .fama•�vove/cores-cia iq1�t -d(evelopment-sheets) within the Response Mission Area and include the following information to support jurisdictions: • Description of the operational communications core capability; • Training for building and sustaining operational communication with specific course titles: o Trainings can also be found at https://www.firstrespondertraining.gov/. • Example capability targets to complete a THIRA: o Help in developing targets can be found at www.preptoolkit.fema. og v/urt or requested at FEMA-SPR&fema. dhs. gov. • Resource types that support operational communications: o Additional resource types and position qualifications can be found at https://www.fema.gov/preparedness-checklists-toolkits. • Tools to validate capabilities through exercises: o Technical assistance and support from subject matter experts can be requested through www.fema.gov/national-exercise-program. FEMA Office of National Continuity Programs (ONCP) Support: NC P' s s u p p o r t s e r v i c e s f o c u s o n h o t i s t i s c o n t i n u important component. Currently, continuity communications training and technical assistance is limited to the FEMA National Radio System (FNARS) and IPAWS and is delivered either on an ad hoc basis at the request of the state entity, through a FEMA Region, or via a requirement for terms of use. Entities interested in ONCP support services should contact FEMA-CGCkfema.dhs.gov or consult ON C P ' s Continuity Resources Toolkit webpage at https://www.fema.gov/emergency-managers/national- preparedness/continuity/toolkit. HSGP Appendi$$2-0111 8/20/2 -50 Program Appendix B: Tribal Homeland Security Grant Program (THSGP) As a reminder, while this appendix contains THSGP-specific information and requirements, the main content of this Manual (non -appendix information) contains important information relevant to all preparedness grant programs, including the THSGP. Please be sure to read the main content of this Manual in addition to the program -specific appendices. Alignment of THSGP to the National Preparedness System The THSGP plays an important role in the implementation of the National Preparedness Goal by supporting the building, sustainment, and delivery of the core capabilities. The core capabilities are essential for the execution of critical tasks for each of the five mission areas outlined in the Goal. Delivering core capabilities requires the combined effort of the whole community, rather than the exclusive effort of any single organization or level of government. THSGP allowable costs support efforts to build and sustain core capabilities across the prevention, protection, mitigation, and response mission areas described in the Goal. Particular emphasis in THSGP will be placed on capabilities that address the greatest risks to the security and resilience of tribal communities and the United States and that provide a clear nexus to preventing acts of terrorism. Funding will support deployable assets that can be utilized through automatic assistance and mutual aid agreements. THSGP supports investments that improve the ability of jurisdictions nationwide to: • Prevent a threatened or an actual act of terrorism; • Protect our citizens, residents, visitors, and assets against the greatest threats and hazards; • Mitigate the loss of life and property by lessening the impact of future disasters; • Respond quickly to save lives, protect property and the environment, and meet basic human needs in the aftermath of a catastrophic incident; and/or To support building, sustaining, and delivering these core capabilities, recipients will use the components of the National Preparedness System, which include Identifying and Assessing Risk, Estimating Capability Requirements, Building and Sustaining Capabilities, Planning to Deliver Capabilities, Validating Capabilities, and Reviewing and Updating. Additional information on the National Preparedness System is available at: http://www.fema.gov/national-preparedness-s, sue. FEMA requires recipients to prioritize grant funding to demonstrate how investments support identified national priorities and building capability, closing capability gaps, or sustaining capabilities as defined by CPG 201: THIRA/SPR Guide-3rd Edition. In addition to capability gaps they have identified at their level, recipients should consider areas where community capability gaps have consistently been the largest, which are outlined in the most recent National Preparedness Report. They include cybersecurity, economic recovery, housing, infrastructure systems, natural and cultural resources, and supply chain integrity and security. Addressing these areas for improvement will enhance preparedness nationwide. Minimum funding amounts are not prescribed by the Department for these priorities; however, recipients are expected to support state, local, regional, and national efforts in achieving the desired outcomes of these priorities. THSGP Append361.2-M12 8/20/2 B-1 Reporting on the Implementation of the National Preparedness System By December 31, 2023, any new THSGP recipients during calendar year 2023 are required to complete a THIRA/SPR that addresses all 32 core capabilities and is compliant with the Comprehensive Preparedness Guide (CPG) 201, Third Edition. THSGP recipients must complete every step of the THIRA/SPR for the following eight core capabilities: Cybersecurity; Infrastructure Systems; Mass Care Services; Mass Search and Rescue Operations; On - scene Security, Protection, and Law Enforcement; Operational Communications; Operational Coordination; and Public Information and Warning. For the remaining 24 core capabilities, THSGP recipients are only required to indicate planning, organization, equipment, training, and exercise gaps in functional areas related to those capabilities. THSGP recipients may optionally complete additional portions of the THIRA/SPR for these 24 core capabilities. THSGP recipients are required to respond to a series of planning -related questions as part of the THIRA/SPR. THSGP recipients are required to submit a THIRA every three years to establish a consistent baseline for assessment. While the THIRA is only required every three years, THSGP recipients are required to submit an SPR annually. For additional guidance on the THIRA/SPR, please refer to the Comprehensive Preparedness Guide (CPG) 201, Third Edition. Recipients must align THSGP grant investments in building and sustaining capabilities with closing capability gaps and/or sustaining capabilities they identified in their THIRA and SPR. Reporting Requirements • THSGP recipients must submit their THIRA/SPR through the Unified Reporting Tool (URT) on Prep Toolkit no later than December 31 for the years they have open THSGP grant awards. If a recipient has completed closeout for their THSGP grant award period of performance, they do not have to submit any more THIRA/SPR updates as the requirement does not apply to closed awards. While UASIs are not required to complete a THIRA/SPR, it is encouraged. • Calendar year 2022 is the start of the new 3-year THIRA/SPR cycle and baseline assessment year for existing recipients. Any new grant recipients during calendar year 2023, for which the THIRA/SPR requirement applies, will start their new 3-year THIRA/SPR cycle and baseline assessment year in 2023. Please contact FEMA-SPR(a�fema.dhs.gov if you have questions. • In each THSGP r e c i pBianenumltSt'rategy and Implementation Report (BSIR), as part of programmatic monitoring, recipients will be required to describe how investments support building capability, closing capability gaps, or sustaining capabilities identified in the THIRA/SPR. THSGP recipients will, on a project -by -project basis, check one of the following: o Building a capability with THSGP funding; or o Sustaining a capability with THSGP funding. National Incident Management System (NIMS) Implementation Recipients receiving THSGP funding are required to implement the National Incident Management System (NIMS). NIMS guides all levels of government, nongovernmental organizations (NGO), and the private sector to work together to prevent, protect against, mitigate, respond to, and recover from incidents. NIMS provides stakeholders across the whole community with the shared vocabulary, systems, and processes to successfully deliver the capabilities described in the National Preparedness Goal. THSGP recipients must utilize standardized resource management concepts such as typing, credentialing, and inventorying resources that facilitates the effective identification, dispatch, deployment, tracking and recovery of their resources. THSGP Append361.2-M13 8/20/2P1 B-2 The NIMS Implementation Objectives for Local, State, Tribal, and Territorial Jurisdictions clarifies the NIMS implementation requirements in FEMA preparedness grant Notices of Funding Opportunities (NOFOs). As recipients and subrecipients of federal preparedness (non -disaster) grant awards, jurisdictions and organizations must achieve, or be actively working to achieve, all of the NIMS Implementation Objectives. The objectives can be found on the NIMS webpage at NIMS Implementation and Training I FEMA.gov. Reporting Requirements Recipients report in the applicable secondary NIMS assessment portion of the URT as part of their THIRA/SPR submission, as outlined in the THSGP NOFO. Planning to Deliver Capabilities Recipients shall develop and maintain a jurisdiction -wide, all threats and hazards Emergency Operations Plans (EOPs) consistent with CPG 101 Version 2.0 (CPG 101 v2). Recipients must submit an EOP once during the period of performance. Reporting Requirements Recipients report EOP compliance with Developing and Maintaining Emergency Operations Plans by completing the secondary CPG 101 v2 assessment portion of the URT as part of their THIRA/SPR submission, as outlined in the THSGP NOFO. Validating Capabilities All recipients will develop and maintain a progressive exercise program consistent with Homeland Security Exercise and Evaluation Program (HSEEP) guidance in support of the National Exercise Program (NEP). The NEP serves as the principal exercise mechanism for examining national preparedness and measuring readiness. The NEP is a two-year cycle of exercises across the nation that validates capabilities in all preparedness mission areas. The two-y e a r N E P c y c l e i s g u i d 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 real -world events and exercises; external requirements such as state or national preparedness reports, homeland security policy, and industry reports; and accreditation standards, regulations, or legislative requirements. Recipients should document these priorities and use them to deploy a schedule of preparedness events in a multi -year Integrated Preparedness Plan (IPP). Information related to IPPs and Integrated Preparedness Planning Workshops (IPPWs) can be found on the HSEEP website at Homeland Security Exercise and Evaluation Program am I FEMA.gov and Welcome - Preparedness Toolkit (fema.gov). The NEP provides exercise sponsors the opportunity to receive exercise design and delivery assistance, tools and resources, enhanced coordination, and the ability to directly influence and inform policy and preparedness programs. If you have any questions or would like to request assistance through the NEP, please visit the NEP website at Exercises I FEMA.gov or reach out to the NEP directly at NEPgfema. dhs. gov. Reporting Requirements THSGP Append361-2-M14 8/20/2P1 B-3 Recipients must have a current multi -year IPP that identifies preparedness priorities and activities. The current multi -year IPP must be submitted to hseepgfema.dhs.gov before January 31 of each year: o Recipients are encouraged to enter their exercise information into the Preparedness Toolkit at https://preptoolkit.fema.goy/. Recipients must submit After -Action Report (AAR)/Improvement Plans (IPs) to hseep(&fema.dhs.g-ov a n d i n d i c a t e w h i c h f (iif appdica1blle); y e a r Submission of AAR/IPs must occur within 90 days after completion of the single exercise or progressive series: o Recipients are encouraged to submit AAR/IPs reflecting tabletop exercises that validate critical plans or those reflecting large-scale functional or full-scale exercises that took place at the state, territorial, tribal, or UASI level. Recipients are discouraged from submitting AAR/IPs specific to local jurisdictions that reflect drills; o If a recipient endures a significant real -world incident during the calendar year that delays or prevents conduct of a grant -funded exercise, they can submit the AAR from that event in place of the exercise AAR. Jurisdictions submitting real world AARs should include an explanation with the AAR submission to hseepkfema.dhs.gov; and o Recipients can access a sample AAR/IP template at hops ://preptoolkit. fema. gov/web/hseep-resources/improvement-planning. THSGP Funding Guidelines Recipients and subrecipients must comply with all applicable requirements of the Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards located at 2 C.F.R. Part 200. In administering a THSGP grant award, recipients must comply with the following general requirements: THSGP Priorities See the annual THSGP NOFO. Allowable Costs Management and Administration (M&A) M&A activities are those defined as directly relating to the management and administration of THSGP funds, such as financial management and monitoring. Recipients may use up to 5% of the amount of the award for M&A, and where applicable, subrecipients may use up to 5% for M&A of the amount they receive. Reasonable costs of grant management training are also allowable. Indirect Costs s f u n Indirect costs are allowable under this program. S e e t h e " P r o c e d u r e s f o r E s t a b Sect i ol-Suibnmi"sBrieon I of or mat i on" f or mor e i of or mat i Allowable Direct Costs The following pages outline global allowable costs guidance specifically applicable to THSGP. Allowable activities made in support of the national priorities, as well as other capability -enhancing projects must fall into the categories of planning, organization, equipment, training, or exercises (POETE). Additional detail about each of these allowable expense categories, as well as sections on additional activities including explicitly unallowable costs is provided. In general, recipients should THSGP Append361-2-M15 8/20/2P1 B-4 consult their FEMA Preparedness Officer prior to implementing any investment to ensure that it clearly meets the allowable expense criteria established by the guidance. Recipients are encouraged to use grant funds for evaluating grant -funded project effectiveness and return on investment aligned to the relevant POETE element, and FEMA encourages grant recipients to provide the results of that analysis to FEMA. Planning Planning efforts can include prioritizing needs; conducting risk and resilience assessments on increasingly connected cyber and physical systems, on which security depends, using the Infrastructure Resilience Planning Framework and related CISA resources; updating preparedness strategies; and allocating resources across stakeholder groups (e.g., law enforcement, fire, emergency medical services, health care systems, public health, behavioral health, public works, rural water associations, agriculture, information technology, emergency communications, and the general public, including people with disabilities) and levels of government. Planning provides a methodical way to engage the whole community in thinking through the life cycle of potential crises, determining required capabilities, and establishing a framework for roles and responsibilities. Planning must include participation from all stakeholders in the community who are able to contribute critical perspectives and may have a role in executing the plan. Planning should be flexible enough to address incidents of varying types and magnitudes. Planning activities should focus on the prevention, protection, mitigation, and response mission areas outlined in the Goal. All jurisdictions are encouraged to work with Citizen Corps Whole Community Councils, nongovernmental entities, and the general public in planning activities. Whole community planning should integrate program design and delivery practices that ensure representation and services for under -represented diverse populations that may be more impacted by disasters including children, seniors, individuals with disabilities or other access and functional needs, individuals with diverse culture and language use, individuals with lower economic capacity and other underserved populations. Recipients must use the CPG 101 v2, Third Edition in order to develop robust and effective plans. For additional planning and resource information, please see: • FEMA CPG 101 v.2 - http://www.fema.gov/pdf/about/divisions/npd/CPG_101_V2.pdf • CISA Infrastructure Resilience Planning Toolkit - hqp://www.cisa.aov/idr-program • FEMA Citizen Corps - http://www.readygov/citizen-corps • FEMA CERT - http://www.fema.aov/community-emergency-response-teams • Ready.gov - www.ready.gov/kids • Emergency Planning with Children - http://www.fema.�,yov/media-libr4ry/assets/documents/94775 • National Disaster Recovery Framework - https://www.fema.gov/sites/default/files/2020- 06/national_disaster recovery framework 2nd.pdf Additionally, THSGP funds may be used for planning activities related to 911 call capabilities, alert and warning capabilities, and implementation of the REAL ID Act (Pub. L. No. 109-13). Continuity Capability FEMA is responsible for developing, managing, and promulgating national continuity planning, guidance, training, and exercise programs for the whole community. To support this role, FEMA provides direction and guidance to assist in developing capabilities for continuing federal and state, local, tribal, and territorial (SLTT) government jurisdictions and private sector organizations' essential functions across a broad spectrum of emergencies. THSGP Append36J -2-M16 8/20/2P1 B-5 Presidential Policy Directive 40: National Continuity Policy, Federal Continuity Directive (FCD) 1, FCD 2, and Continuity Guidance Circular (CGC) outline continuity requirements for agencies and organizations and provide guidance, methodology, and checklists. For additional information on continuity programs, guidance, and directives, visit the Continuity Resource Toolkit at https://www.fema. aov/emergency-managers/national-preparedness/continuity/toolkit. Organization Recipients may use grant funds for organization activities: Organizational activities may include, paying salaries and benefits for personnel, including individuals employed to serve as qualified intelligence analysts. Personnel hiring, overtime, and backfill expenses are permitted under this grant only to the extent that such expenses are for the allowable activities within the scope of the grant. Other organization activities may include implementing standardized resource management concepts such as typing, inventorying, organizing, and tracking to facilitate the dispatch, deployment, and recovery of resources before, during, and after an incident. Additionally,mi gr at i ng onl i ne s er vi ce s t o t he ". g o v " i nt Equipment The 21 allowable prevention, protection, mitigation, response, and recovery equipment categories and equipment standards for THSGP are listed on the web -based version of the Authorized Equipment List (AEL). Unless otherwise stated, equipment must meet all mandatory regulatory and DHS-adopted standards to be eligible for purchase using these funds. In addition, recipients and subrecipients, as applicable, agencies will be responsible for obtaining and maintaining all necessary certifications and licenses for the requested equipment. Recipients may purchase equipment not listed on the AEL, but only if they first seek and obtain prior approval from FEMA. Grant funds must comply with 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. Recipients should analyze the costs and benefits of purchasing versus leasing equipment, especially high -cost items, and those subject to rapid technical advances. Large equipment purchases must be identified and explained. For more information regarding property management standards for equipment, please reference 2 C.F.R. Part 200, including 2 C.F.R. §§ 200.310, 200.313, and 200.316. Also see 2 C.F.R. §§ 200.216, 200.471, and FEMA Policy #405-143-1, Prohibitions on Expending FEMA Award Funds for Covered Telecommunications Equipment or Services, issued May 10, 2022. In addition, recipients that are using THSGP funds to support emergency communications equipment activities must comply with the SAFECOM Guidance on Emergency Communications Grants, including provisions on technical standards that ensure and enhance interoperable communications. This SAFECOM Guidance can be found at Funding Resources I CISA. Additionally, THSGP funds may be used for equipment purchases related to 911 call capabilities, alert and warning capabilities, and implementation of the REAL ID Act (Pub. L. No. 109-13). Requirements for Small Unmanned Aircraft System 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 i n c l u d e a d e s c r i p t i o n o f t h e p o t i c i e s a n d p r o c e d u r THSGP Append36J -2-M17 8/20/2P1 B-6 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 THSGP 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 THSGP 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. The U. S. D e p a r t m e n t o f Ho me l a rstsdthe &cdpicenit fAiy dxpgofe data P r i v a c Of transmission and storage issues with vendors toyeduce the possibility of data breaches. Additionally, the Joint Explanatory Statement (JES) accompanying the FY 2023 DHS Appropriations Act 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 foreign - made versus domestic sUAS. Acquisition and Use of Technology to Mitigate UAS (Counter-UAS) In August 2020, FEMA was alerted of an advisory guidance document issued by DHS, the Department of Justice, the Federal Aviation Administration, and the Federal Communications Commission: hops://www.dhs.gov/publication/intera eg_ncy-legal-advisory-uas-detection-and-mitigation-technoloig_es. The purpose of the advisory guidance document is to help non-federal public and private entities better understand the federal laws and regulations that may apply to the use of capabilities to detect and mitigate threats posed by UAS operations (i.e., Counter-UAS or C-UAS). The Departments and Agencies issuing the advisory guidance document, and FEMA, do not have the authority to approve non-federal public or private use of UAS detection or mitigation capabilities, nor do they conduct legal reviews of commercially available product compliance with those laws. The advisory does not address state and local laws nor potential civil liability, which UAS detection and mitigation capabilities may also implicate. It is strongly recommended that, prior to the testing, acquisition, installation, or use of UAS detection and/or mitigation systems, entities seek the advice of counsel experienced with both federal and state criminal, surveillance, and communications laws. Entities should conduct their own legal and technical analysis of each UAS detection and/or mitigation system and should not rely solely on vendors' representations of the systems' legality or functionality. Please also see the DHS press release on this topic for further information: https://www.dhs.gov/news/2020/08/17/interagency-issues-advisory-use- technology-detect-and-mitigate-unmanned-aircraft. Training and Exercises Tribes are strongly encouraged to use THSGP funds to develop or maintain a homeland security training program. Allowable training -related costs under the THSGP include the establishment, support, conduct, and attendance of training specifically identified under the THSGP or in conjunction with emergency preparedness training by other federal agencies (e.g., the Department of Health and Human Services or the Department of Transportation). Training conducted using THSGP funds should address a performance gap identified through an assessment or contribute to building a capability that will be evaluated through a formal exercise. Exercises should be used to provide the opportunity to demonstrate and validate skills learned in training, as well as to identify training gaps. Any training or training gaps evaluated though a formal exercise, including those for vulnerable populations including children, the elderly, pregnant women, and individuals with disabilities or other access and functional needs should be identified in an AAR/IP. THSGP Append361-2-M18 8/20/2P1 B-7 All training and exercises conducted with THSGP funds should support the development and testing of the j u r i s d i c t i UOper'atsons Ham (EOr N, eonnsi(steyit with the priorities in the National Preparedness System. Recipients are encouraged to use existing training rather than developing new courses. When developing new courses, recipients are encouraged to apply the Analysis, Design, Development, Implementation, and Evaluation (ADDIE) model of instruction design, available with additional training information at First Responder Training_ System and First Responder Training Systemhtlps://www.firstrespondertraining_gov/fits/trdc/state/development. FEMA supports and encourages the coordination of all emergency preparedness training towards the achievement of the Goal. To this end, FEMA supports the establishment of a Tribal Training Point of Contact (TTPOC). The role of the TTPOC is to coordi n a t a t h e t r i b e s' t r a i n i n g F E MA a n d feldeTalAAin'ing partners and holds the same authority and roles that state training points of contact serve within SAAs nationwide. FEMA will coordinate with Tribal Training Officers (TTOs) as it relates to FEMA training when notified by recipients. Per FEMA Grant Programs Directorate IB 432, Review and Approval Requirements for Training Courses Funded Through Preparedness Grants, issued on July 19, 2018, states, territories, tribal entities, and high -risk urban areas are no longer required to request approval from FEMA for personnel to attend non- DHS/FEMA training as long as the training is coordinated with and approved by the state, territory, tribal, or high -risk urban ar e a T P O C a n d f a l i s w i t h i n t h e F E.316AL m i s s 1 additional information on review and approval requirements for training courses funded with preparedness grants, please refer to Review and Approval Requirements for Training Courses Funded Through Preparedness Grants Policy (fema.gov)hltps://www.fema.gov/sites/default/files/2020- 09/fema gpd-review-approval-requirements-training-policy 09-10-13.pdf. DHS/FEMA Provided Training and Education FEMA offers tuition -free training and education programs and courses through several providers including the Center for Domestic Preparedness, the Emergency Management Institute, and the National T r a i n i n g a n d E cTruindng Parinecr PlrogrDrni (TvPP).sTPPoiniclu' dess the Center for Homeland Defense and Security, National Domestic Preparedness Consortium, Rural Domestic Preparedness Consortium, and training partners through the Continuing Training Grants program. FEMA's National Preparedness Course Catalog This online searchable catalog features a wide range of course topics in multiple delivery modes to meet F E MA' s m i s s i o n s c o p e a s we l l eras, s tate,flochali; terriitoriak ande a s i n g t tribal audiences. The catalog can be accessed at NTED I National Preparedness Course Catalog Home (firstrespondertraining.gov). Training Not Provided by DHS/FEMA These trainings include courses that are either state sponsored or federal sponsored (non-DHS/FEMA), coordinated and approved by the SAA or their designated TPOC, and fall within the FEMA mission scope to prepare SLTT personnel to prevent, protect against, mitigate, and respond to acts of terrorism or catastrophic events. State Sponsored Courses. These courses are developed for and/or delivered by institutions or organizations other than federal entities or FEMA and are sponsored by the SAA or their designated TPOC. Joint Training and Exercises with the Public and Private Sectors. These courses are sponsored and coordinated by private sector entities to enhance public -private partnerships for training personnel to prevent, protect against, mitigate, and respond to acts of terrorism or THSGP Append361.2-M19 8/20/2P1 B-8 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 First Responder Training System. Training Information Reporting System ("Web -Forms") Web -Forms is an electronic data management system built to assist SAAs, designated TPOCs, and federal agencies with submitting non -National Training and Education Division provided training courses for inclusion in the State/Federal-Sponsored Course Catalog through electronic forms. The information collected is used in a two-step review process to ensure the training programs adhere to the intent of the HSGP guidance and the course content is structurally sound and current. As these programs may be delivered nationwide, it is vital to ensure each training program's viability and relevance to the Homeland Security mission. Reporting training activities through Web -Forms is not required under FY 2023 THSGP. 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. Exercises For additional information on conducting exercises under THSGP, please refer to the earlier section in this appendix t i t l e d "Val i d ompagie B-A. C a p a b i l i t i e s" Personnel Activities Personnel hiring, overtime, and backfill expenses are permitted under this grant in order to perform allowable THSGP planning, training, exercise, and equipment activities. Not more than 50% of total THSGP funds may be used for personnel activities as directed by the Homeland Security Act of 2002, as amended by the Personnel Reimbursement for Intelligence Cooperation and Enhancement (PRICE) of Homeland Security Act (Pub. L. No. 110-412) (6 U.S.C. §609(b)(2)(A)). This 50% cap may be waived, however, per 6 U.S.C. § 609(b)(2)(B). For further details, THSGP recipients should refer to IB 421b, or contact their FEMA HQ Preparedness Officer. THSGP funds may not be used to support the hiring of any personnel for the purposes of fulfilling traditional public safety duties or to supplant traditional public safety positions and responsibilities. Construction and Renovation Construction projects are only permitted where they will assist the recipient to achieve target capabilities related to preventing, preparing for, protecting against, or responding to acts of terrorism, including through the alteration or remodeling of existing buildings for the purpose of making them secure against acts of terrorism. THSGP funding may not be used for construction and renovation projects without prior written approval from FEMA. All recipients of THSGP funds must request and receive approval from FEMA before any THSGP funds are used for any construction or renovation. Additionally, recipients are required to submit an SF-424C Form containing budget detail citing the construction project costs and an SF-424D Form for standard assurances for the construction project. The total cost of any construction or renovation paid for using THSGP funds may not exceed the greater amount of $1 million or 15% of the THSGP award. All construction and renovation projects require Environmental Planning and Historic Preservation (EHP) review. Recipients and subrecipients are encouraged to have completed as many steps as possible for a successful EHP review in support of their proposal for funding (e.g., coordination with their State Historic Preservation Office to identify potential historic preservation issues and to discuss the potential THSGP Append3612420 8/20/2P1 B-9 for project effects, compliance with all state and local EHP laws and requirements). Projects for which the recipient believes an EA may be needed, as defined in DHS Instruction Manual 023-01-001-01, Revision 01, FEMA Directive 108-1, and FEMA Instruction 108-1-1, must also be identified to the FEMA HQ Preparedness Officer within six months of the award and completed EHP review materials must be submitted no later than 12 months before the end of the period of performance. EHP policy guidance and the EHP Screeniniz F� can both be found on FEMA.gov. EHP review materials should be sent to gpdehpinf69fema. dhs. gov. THSGP recipients using funds for construction projects must comply with the Davis -Bacon Act (codified as amended at 40 U.S.C. §§ 3141 et seq.). See 6 U.S.C. § 609(b)(4)(B) (cross-referencing 42 U.S.C. § 51960)(9), which cross-references Davis -Bacon). Grant recipients must ensure that their contractors or subcontractors for construction projects pay workers no less than the prevailing wages for laborers and mechanics employed on projects of a character similar to the contract work in the civil subdivision of the 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 following website Davis -Bacon and Related Acts I U.S. Department of Labor (dol.gov). Communications Towers For the purposes of the limitations on funding levels only, communications towers are not considered construction. When applying for construction funds, including communications towers, at the time of application, recipients must submit evidence of approved zoning ordinances, architectural plans, and any other locally required planning permits. When applying for funds to construct communication towers, recipients and subrecipients must submit evidence that the Federal C o m m u n i c a t i o n Commission's S e c t i o and submit all documentation resulting from that review, with a FEMA Grant Programs Directorate EHP Screening Form, to FEMA a s p a r t o f t h e p r o f. Reccipfien'tssand FubHeEipieAtse bre encouraged to have completed as many steps as possible for a successful EHP review in support of their proposal for funding (e.g., coordination with their Tribal Historic Preservation Office to identify potential historic preservation issues and to discuss the potential for project effects; compliance with all state and local EHP laws and requirements). Projects for which an EA may be needed, as defined in DHS Instruction Manual 023-01-001-01, Revision 01, FEMA Directive 108-1, and FEMA Instruction 108-1-1, must also be identified to the FEMA HQ Preparedness Officer within six months of the r e c i p i e n of the award. Completed EHP review materials for communication tower projects must be submitted no later than 12 months before the end of the period of performance. EHP Policy guidance and the EHP Screening can both be found on FEMA.gov. EHP review materials should be sent to gpdehpinf6Afema. dhs. gov. Multiple Purpose or Dual -Use of Funds Many activities that support the achievement of target capabilities related to terrorism preparedness may simultaneously support enhanced preparedness for other hazards unrelated to acts of terrorism. See 6 U.S.C. § 609I. However, all THSGP-funded projects must assist recipients and subrecipients in achieving target capabilities related to preventing, preparing for, protecting against, or responding to acts of terrorism. Whole Community Preparedness In addition to the Citizen Corps Whole Community Councils and Community Emergency Response Team (CERT) programs mentioned above, youth preparedness activities are another allowable cost. Bolstering youth preparedness across the nation is a priority for FEMA as the Agency works with state, local, tribal, and territorial partners to create a culture of preparedness in the United States. Information on youth- n 106 v i e w ' s THSGP Append3612421 8/20/2 -10 centric educational curricula, games, planning materials, and other relevant resources can be found at https://www.ready.aov/kids. F u r t h e r m o r e, F E MA hity Prel)aneddneissvDividioui a l a n d (ICPD) and regional based Community Preparedness Officers (CPOs) are available to provide grant recipients with guidance and assistance. Please email FEMA-Preparegfema.dhs.gov to contact one of the Agency' s s u b j e c t mat t er exper t s . The following are examples of youth preparedness activities that grantees are encouraged to undertake as allowable costs: Reach out to a local school board or elementary school to encourage the adoption of the Student Tools for Emergency Planning (STEP) curriculum. STEP is a classroom -based emergency preparedness curriculum for 4th- and 5th-graders in an easy, ready -to -teach format. Students will learn about disasters, emergencies, and hazards, and how to create a disaster supply kit and family emergency communication plan. An overview of the STEP program along with the instructor guide and student activity book is available at htt2s://www.ready.gov/student-tools-emergency- planning-step; and Sponsor the creation of a Teen CERT in your jurisdiction. The CERT Program is a national program of volunteers trained in disaster preparedness and emergency response. Volunteers come from all ages and all walks of life, including teenagers. Additional information, including a step- by-step guide on how to start a Teen CERT, is available at https://www.ready.gov/teen-cert. The following tools are available to order "Prepare with Pedro" is a joint product of FEMA and the American Red Cross. The "Prepare with Pedro: Disaster Preparedness Activity Book" is designed to teach young children and their families about how to stay safe during disasters and emergencies. The book follows Pedro around the United States and offers safety advice through crosswords, coloring pages, matching games, and more. Additional information, including an ordering form, is available at https://www.ready.gov/prepare-pedro; and The Ready 2 Help card game is a fun way for kids to learn how to respond to emergencies by working with friends and using skills that will help in a real emergency. Ready 2 Help teaches five simple steps to stay safe and make a difference until help arrives: o Stay Safe; o Stay Calm; o Get Help; o Give Info; and o Give Care. Ready 2 Help was designed for children ages 8 and up. Additional information, including an ordering form, is available at htt2s://www.ready.gov/ready-2-help. Other Allowable Costs Maintenance and Sustainment The use of FEMA preparedness grant funds for maintenance contracts, warranties, repair or replacement costs, upgrades, and user fees are allowable under all active and future grant awards, unless otherwise noted. Preparedness grant funds may be used to purchase maintenance contracts or agreements, warranty coverage, licenses, and user fees. These contracts may exceed the period of performance if they are purchased incidental to the original purchase of the system or equipment as long as the original purchase of the system or equipment is consistent with that which is typically provided for, or available through, these types of agreements, warranties, or contracts. When purchasing a stand-alone warranty or extending f r o m THSGP Append361 2422 8/20/2-11 an existing maintenance contract on an already -owned piece of equipment system, coverage purchased may not exceed the period of performance of the award used to purchase the maintenance agreement or warranty. As with warranties and maintenance agreements, this extends to licenses and user fees as well. Grant funds are intended to support the National Preparedness Goal and fund projects that build and sustain the core capabilities necessary to prevent, protect against, mitigate the effects of, and respond to those threats that pose the greatest risk to the security of the Nation. In order to provide recipients the ability to meet this objective, the policy set forth in 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 in (1) direct support of existing capabilities, (2) must be an otherwise allowable expenditure under the applicable grant program, and (3) be tied to one of the core capabilities in the five mission areas outlined in the Goal. Additionally, eligible costs must also be in support of equipment, training, and critical resources that have previously been purchased with either federal grant money or any other source of funding other than FEMA preparedness grant program dollars. Critical Emergency Supplies I n f u r t h e r a n c e o f DHS ' s m i s s i o ratable foord Prot dui cts, water, e me r g and basic medical supplies are an allowable expense under THSGP. Prior to allocating grant funds for stockpiling purposes, each Tribe must h a v e F E MA' s a pyelartvioblc invlentoroy f a f i v e management plan, an effective distribution strategy, and related sustainment costs if the planned grant expenditure is over $100,000. The inventory management plan and distribution strategy, to include sustainment costs, will be developed and monitored by FEMA. FEMA will provide program oversight and technical assistance as it relates to the purchase of critical emergency supplies under THSGP. FEMA will establish guidelines and requirements for the purchase of these supplies under THSGP and monitor development and status of the T r i b e' s i n v e n t o r y m a n a g e mlein>kages bptwl esnispecialicnpdojecth i s t r i b u t undertaken with THSGP funds and strategic goals and objectives will be highlighted through regular required reporting mechanisms. If grant expenditures exceed the minimum threshold, the five-year inventory management plan will be developed and monitored by FEMA. Secure Identification THSGP funds may be used to support the development and production of enhanced tribal documents (e.g., Enhanced Tribal Cards) designed to meet the requirements of the Western Hemisphere Travel Initiative (WHTI). More information on the WHTI may be found at hlt2://www.dhs.gov/files/proaams/jzc ams/g_c 1200693579776.shtm and https://www.cbpgov/travel/us- citizens/western-hemisphere-travel-initiative. When completing the Investment Justification, refer to the National Preparedness Goal at for a list of the core capabilities that best fit the proposed activities and costs. For additional assistance in determining the core capabilities that fit the proposed WHTI project, please contact the CSID by phone at (800) 368-6498 or by e-mail at askcsidkfema.gov. Fidelity Bonds Reasonable costs of fidelity bonds (or like insurance as provided for by applicable state or tribal laws) covering the maximum amount of THSGP funds the officer, official, or employee handles at any given time for all personnel who disburse or approve disbursement of THSGP funds may be allowable if required by the terms and conditions of the award or if generally required by the tribe in its general operations. If a fidelity bond is required by a tribe in its general operations, those costs must be charged as indirect costs. See 2 C.F.R. § 200.427. THSGP Append3612423 8/20/2 -12 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 " F r a me wo r k " ) d e v e l o p e d b y t h e Na t i o n a l I n s t i t u t e 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. CI S A' s Cr i t i c a l I n f r a s t r u c t u r e Cy b e r Community C3 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 hqp://www.cisa.gov/ccubedyp. D H S' s E n h a n c e d C y b e r s e c u r i t y e ctf xrersoywr edhaet assists inE C S protecting U.S.-based public and priv4te entities and combines key elements of capabilities under the " De t e c t" a n d "Prot e c t" f u n c t i o n s t o d e l fi v e r 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 t r a f f i c f r o m e n t e r i n g a c o m p a n subscribing to ECS must contract directly with a CSP in order to receive services. Please visit Enhanced Cybersecurity Services (ECS) CISA for a current list of ECS CSP points of contact. THSGP 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—r e q u i r e F E MA' s p r i o r w r i t t e n a p p 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 CY 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 -by -case 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 ND Grants as a Scope Change Amendment. The amendment request must include the following: p r o g a n y' s n A w r i t t e n r e q u e s t o n t h e r e c i p i e n t', aicludl inT t 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; 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 o v a 1 t e r h THSGP Append361 .2-M24 8/20/2-13 • The request must also address whether the proposed changes will impact t h e r e c i p i e n t' c o mp l e t e t h e p r o j e c t wi t h i n t h e a wa r d' s p e r i o Recipients may not proceed with implementing any scope or objective changes until they receive prior written approval from FEMA through ND Grants. THSGP Append361 2-0225 8/20/2-14 Program Appendix C: Nonprofit Security Grant Program (NSGP) As a reminder, while this appendix contains NSGP-specific information and requirements, the main content of this Manual (non -appendix information) contains important information relevant to all preparedness grant programs, including the NSGP. Please be sure to read the main content of this Manual in addition to the program -specific appendices. NSGP grant recipients (e.g., State Administrative Agencies [SAA]) 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. Grant funds may not be used for matching funds for other federal grants or 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. Pre -award costs are allowable only with the prior written approval of FEMA and if they are included in the award agreement. To request pre -award costs a written request must be included with the application, signed by the Authorized Organizational Representative (AOR) of the entity. The letter must outline what the pre -award costs are for, including a detailed budget break-out of pre -award costs from the post -award costs, and a justification for approval. The following information outlines general allowable and unallowable NSGP costs guidance. NSGP Funding Guidelines Recipients and subrecipients must comply with all applicable requirements of the Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards located at 2 C.F.R. Part 200. In administering a NSGP grant award, recipients must comply with the following general requirements: NSGP Priorities See the annual NSGP NOFO. Allowable Costs Management and Administration (M&A) M&A costs are for activities directly related to the management and administration of the award. M&A activities are those defined as directly relating to the management and administration of NSGP funds, such as financial management and monitoring, for that fiscal year. For example, FY 2023 M&A funding can only be used to cover administrative costs incurred in the management of FY 2023 NSGP grant awards. M&A expenses must be based on actual expenses or known contractual costs. Requests that are simple percentages of the award, without supporting justification, will not be allowed or considered for reimbursement. 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. Examples include preparing and submitting required programmatic and financial reports, establishing and/or maintaining equipment inventory, documenting operational and equipment expenditures for financial accounting NSGP Appendi3Q2-02F26 8/20/2 C-1 purposes, and responding to official informational requests from state and federal oversight authorities. M&A costs include the following categories of activities: • Hiring of full-time or part-time staff or contractors/consultants responsible for activities relating to the management and administration of NSGP funds. Hiring of contractors/consultants must follow the applicable federal procurement requirements at 2 C.F.R. §§ 200.317-200.327; and • Meeting -related expenses directly related to M&A of NSGP funds. M&A costs are allowed under this program as described below: SAA (Recipient) for NSGP-Urban Area (NSGP-UA) and NSGP-State (NSGP-S) M&A: SAAs may use and expend up to the percent noted in the relevant fiscal year (FY) NOFO for M&A purposes (5% for FY 2023) associated with their NSGP-UA and NSGP-S awards. SAAs must be able to separately account for M&A costs associated with the NSGP-UA award from those associated with the NSGP-S, and neither can exceed the percent noted in the relevant FY NOFO (5% of each award for FY 2023). Nonprofit (Subrecipient) for NSGP-UA and NSGP-S, and Community Project Funding M&A: Nonprofit organizations that receive a subaward under this program may use and expend up to the percent noted in the relevant FY NOFO for M&A purposes associated with the subaward (5% of each subaward for FY 2023). Indirect Costs Indirect costs are allowable under this program. S e e t h e P r o c e d u r e s f o r E s t a b Sect i o nS uibnmi "sgri eon I n f o r ma t i o n" f o r mo r e i n f o r ma t i National Incident Management System (NIMS) Implementation Recipients receiving NSGP funding are strongly encouraged to implement NIMS. NIMS guides all levels of government, nongovernmental organizations (NGO), and the private sector to work together to prevent, protect against, mitigate, respond to, and recover from incidents. NIMS provides stakeholders across the whole community with the shared vocabulary, systems, and processes to successfully deliver the capabilities described in the National Preparedness System. Incident management activities require carefully managed resources (personnel, teams, facilities, equipment, and supplies). 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 delivery of core capabilities. Recipients should manage resources purchased or supported with FEMA grant funding according to NIMS resource management guidance. Additional information on resource management and NIMS resource typing definitions and job t i t l e s/ p o s i t i o n q u a l i afNIMcSaCotrriDornemt&s - Guislanco and TEoFs MA ' s w e b s FEMA.gov. Additional information about NIMS in general is available at National Incident Management System I FEMA.gov. NSGP Appendi$Q2-02j27 8/20/2 C-2 Allowable Direct Costs Planning Funding may be used for security or emergency planning expenses and the materials required to conduct planning activities. Planning must be related to the protection of the facility and the people within the facility and should include consideration of access and functional needs as well as those with limited English proficiency. Planning efforts can also include conducting risk and resilience assessments on increasingly connected cyber and physical systems, on which security depends, using the Infrastructure Resilience Planning Framework and related CISA resources. Examples of planning activities allowable under this program include: • Development and enhancement of security plans and protocols; • Development or further strengthening of security assessments; • Emergency contingency plans; • Evacuation/Shelter-in-place plans; • Coordination and information sharing with fusion centers; and • Other project planning activities with prior approval from FEMA. Equipment Allowable costs are focused on facility hardening and physical security enhancements. Funding can be used for the acquisition and installation of security equipment on real property (including buildings and improvements) owned or leased by the nonprofit organization, specifically in prevention of and/or protection against the risk of a terrorist or other extremist attack. This equipment is limited to select items on the Authorized Equipment List (AEL): • 030E-03-MEGA System, Public Address, Handheld or Mobile • 04AP-05-CRED System, Credentialing • 04AP-09-ALRT Systems, Public Notification and Warning • 04AP-11-SAAS Applications, Software as a Service • 05AU-00-TOKN System, Remote Authentication • 05EN-00-ECRP Software, Encryption • 05HS-00-MALW Software, Malware/Anti-Virus Protection • 05HS-00-PFWL System, Personal Firewall • 05NP-00-FWAL Firewall, Network • 05NP-00-IDPS System, Intrusion Detection/Prevention • 06CP-01-PORT Radio, Portable • 06CC-02-PAGE Services/Systems, Paging • 06CP-03-ICOM Intercom • 06CP-03-PRAC Accessories, Portable Radio • 10GE-00-GENR Generators • 131T-00-ALRT System, Alert/Notification • 14CI-00-COOP System, Information Technology Contingency Operations • 14EX-00-BCAN Receptacles, Trash, Blast -Resistant • 14EX-00-BSIR Systems, Building, Blast/Shock/Impact Resistant • 14SW-01-ALRM Systems/Sensors, Alarm • 14SW-01-DOOR Doors and Gates, Impact Resistant • 14SW-01-LITE Lighting, Area, Fixed • 14SW-01-PACS System, Physical Access Control • 14SW-01-SIDP Systems, Personnel Identification NSGP Appendi3Q2-02M8 8/20/2 C-3 • 14SW-01-SIDV Systems, Vehicle Identification • 14SW-01-SNSR Sensors/Alarms, System and Infrastructure Monitoring, Standalone • 14SW-01-VIDA Systems, Video Assessment, Security • 14SW-01-WALL Barriers: Fences; Jersey Walls • 15SC-00-PPSS Systems, Personnel/Package Screening • 21 GN-00-INST Installation • 21 GN-00-TRNG Training and Awareness Unless otherwise stated, equipment must meet all mandatory statutory, regulatory, and FEMA-adopted standards to be eligible for purchase using these funds, including the Americans with Disabilities Act. In addition, recipients will be responsible for obtaining and maintaining all necessary certifications and licenses for the requested equipment, whether with NSGP funding or other sources of funds (see the Maintenance and Sustainment section below for more information). In addition, subrecipients that are using NSGP funds to support emergency communications equipment activities must comply with the SAFECOM Guidance on Emergency Communications Grants, including provisions on technical standards that ensure and enhance interoperable communications. This SAFECOM Guidance can be found at Funding Resources I CISA. Recipients and subrecipients may purchase equipment not listed on the AEL, but only if they first seek and obtain prior approval from FEMA. NOTE: Nonprofits should indicate in their budget narratives if a cost includes shipping and/or tax. It is not required to break the costs out as separate from the relevant purchase(s). Applicants and subapplicants should analyze the cost benefits of purchasing versus leasing equipment, especially high -cost items and those subject to rapid technical advances. Large equipment purchases must be identified and explained. For more information regarding property management standards for equipment, please reference 2 C.F.R. Part 200, including but not limited to 2 C.F.R. §§ 200.310, 200.313, and 200.316. Also see 2 C.F.R. §§ 200.216, 200.471, and FEMA Policy #405-143-1, Prohibitions on Expending FEMA Award Funds for Covered Telecommunications Equipment or Services, regarding prohibitions on covered telecommunications equipment or services. The installation of certain equipment may trigger Environmental Planning and Historic Preservation (EHP) requirements. Please reference the EHP sections in the NOFO and this Manual for more information. Additionally, some equipment installation may constitute construction or renovation. Please see the Construction and Renovation section of this appendix for additional information. Exercises Funding may be used to conduct security -related exercises. This includes costs related to planning, meeting space and other meeting costs, facilitation costs, materials and supplies, and documentation. Exercises afford organizations the opportunity to validate plans and procedures, evaluate capabilities, and assess progress toward meeting capability targets in a controlled, low risk setting. All shortcomings or gaps —including those identified for children and individuals with access and functional needs —should be identified in an improvement plan. Improvement plans should be dynamic documents with corrective actions continually monitored and implemented as part of improving preparedness through the exercise cycle. The Homeland Security Exercise and Evaluation Program (HSEEP) provides a set of guiding principles for exercise programs, as well as a common approach to exercise program management, design and development, conduct, evaluation, and improvement planning. For additional information on HSEEP, refer to Homeland Security Exercise and Evaluation Program I FEMA.gov. In accordance with HSEEP NSGP Appendi$Q2-02j29 8/20/2 C-4 guidance, subrecipients are reminded of the importance of implementing corrective actions iteratively throughout the progressive exercise cycle. This link provides access to a sample After Action Report (AAR)/Improvement Plan (IP) template: Improvement Plannin—g - HSEEP Resource—s - Preparedness Toolkit (fema.gov). Recipients are encouraged to enter their exercise data and AAR/IP in the Preparedness Toolkit. Maintenance and Sustainment The use of FEMA preparedness grant funds for maintenance contracts, warranties, repair or replacement costs, upgrades, and user fees are allowable under all active and future grant awards, unless otherwise noted. Preparedness grant funds may be used to purchase maintenance contracts or agreements, warranty coverage, licenses, and user fees. These contracts may exceed the period of performance if they are purchased incidental to the original purchase of the system or equipment as long as the original purchase of the system or equipment is consistent with that which is typically provided for, or available through, these types of agreements, warranties, or contracts. When purchasing a stand-alone warranty or extending an existing maintenance contract on an already -owned piece of equipment system, coverage purchased may not exceed the period of performance of the award used to purchase the maintenance agreement or warranty. As with warranties and maintenance agreements, this extends to licenses and user fees as well. Grant funds are intended to support the National Preparedness Goal (the Goal) and fund projects that build and sustain the core capabilities necessary to prevent, protect against, mitigate the effects of, respond to, and recover from those threats that pose the greatest risk to the security of the Nation. In order to provide recipients the ability to meet this objective, the policy set forth in 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 that must be in (1) direct support of existing capabilities, (2) must be an otherwise allowable expenditure under the applicable grant program, and (3) be tied to one of the core capabilities in the five mission areas outlined in the Goal. Additionally, eligible costs may also support equipment, training, and critical resources that have previously been purchased with either federal grant or any other source of funding other than FEMA preparedness grant program dollars. Construction and Renovation NSGP funding may not be used for construction and renovation projects without prior written approval from FEMA. In some cases, the installation of equipment may constitute construction and/or renovation. If you have any questions regarding whether an equipment installation project could be considered construction or renovation, please contact your Preparedness Officer. All recipients of NSGP funds must request and receive prior approval from FEMA before any NSGP funds are used for any construction or renovation. Additionally, recipients are required to submit a SF-424C Budget and budget detail citing the project costs and an SF-424D Form for standard assurances for the construction project. The total cost of any construction or renovation paid for using NSGP funds may not exceed the greater amount of $1 million or 15% of the NSGP award. All construction and renovation projects require EHP review. Recipients and subrecipients are encouraged to have completed as many steps as possible for a successful EHP review in support of their proposal for funding (e.g., coordination with their State Historic Preservation Office to identify potential historic preservation issues and to discuss the potential for project effects, compliance with all state and local EHP laws and requirements). Projects for which the recipient believes an Environmental Assessment (EA) may be needed, as defined in DHS Instruction Manual 023-01-001-01, Revision 01, FEMA Directive 108-1, and FEMA Instruction 108-1-1, must also be identified to the FEMA HQ Preparedness Officer within six months of the award and completed EHP review materials must be submitted no later than 12 months before the end of the period of performance. Additional information on EHP policy and EHP review can be found online at Environmental & Historic Preservation Grant Preparation Resources I FEMA.gov. EHP review packets should be sent to gpdehpinfogfema.gov. NSGP Appendi$Q2-02F30 8/20/2i C-5 NSGP 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. § 51960)(9), which cross-references Davis -Bacon). Grant recipients must ensure that their contractors or subcontractors for construction projects pay workers no less than the prevailing wages for laborers and mechanics employed on projects of a character similar to the contract work in the civil subdivision of the 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 following website: https://www.dol.gov/whd/govcontracts/dbra.htm. Training Nonprofit organizations may use NSGP funds for the following training -related costs: • Employed or volunteer security staff to attend security -related training within the United States; • Employed or volunteer staff to attend security -related training within the United States with the intent of training other employees or members/congregants upon completing the training (i.e., " t r-thae-it n a i n e r" bny p e c o u r s e s); • N o n p r o f i t o r g a n i z a t i o n' s e in p l o ysi(teeecsur,ity trainring.m e in b e Allowable training -related costs under the NSGP are limited to attendance fees for training and related expenses, such as materials, supplies, and/or equipment. Overtime, backfill, and travel expenses are not allowable costs. Allowable training topics are limited to the protection of critical infrastructure key resources, including physical and cybersecurity, facility hardening, and terrorism/other extremism awareness/employee preparedness such as Community Emergency Response Team (CERT) training, indicators and behaviors indicative of terrorist/other extremist threats, Active Shooter training, and emergency first aid training. A d d i t i onal exampl e s of al 1 owabl e t r a ni kits/equipment, a n d t r a i n i n g a i d s; F i r s t Ai d a n d o t h training, kits/equipment, and training aids; and Automatic External Defibrillator (AED) and AEDBasic Life Support training, kits/equipment, and training aids. Training conducted using NSGP funds must address a specific threat and/or vulnerability, as identified in t h e n o n p r o f iIntvestmoentgusatifricaitiozn4IJt). Treinring should provide the demonstra pndun>WAte skills learned as well as to identify any gaps in these skills. Proposed attendance at training courses and all associated costs using the NSGP must be included in the nonprofit organization's IJ. Contracted Security Personnel Contracted security personnel are allowed under this program only as described in the NOFO and Manual and comply with guidance set forth in IB 421b and IB 441. NSGP funds may not be used to purchase equipment for contracted security. The subrecipient must be able to sustain this capability in future years without NSGP funding, and a sustainment plan will be required as part of the closeout package for any award funding this capability. Additionally, NSGP recipients and subrecipients may not use more than 50% of their awards to pay for personnel activities unless a waiver is approved by FEMA. For more information on the 50% personnel cap and applicable procedures for seeking a waiver, please see IB 421 b. Clarification on the Personnel Reimbursement for Intellizence Cooperation and Enhancement ofHomeland Securitv Act of 2008 (Public Law 110-412 — the PRICE Act). n g c o u r e r n o v i NSGP Appendi$Q2-02MJ 8/20/2 C-6 Unallowable Costs The following projects and costs are considered ineligible for award consideration: • Organization costs, and operational overtime costs; • Hiring of public safety personnel; • General -use expenditures; • Overtime and backfill; • Initiatives that do not address the implementation of programs/initiatives to build prevention and protection -focused capabilities directed at identified facilities and/or the surrounding communities; • The development of risk/vulnerability assessment models; • Initiatives that fund risk or vulnerability security assessments or the development of the IJ; • Initiatives in which federal agencies are the beneficiary or that enhance federal property; • Initiatives which study technology development; • Proof -of -concept initiatives; • Initiatives that duplicate capabilities being provided by the Federal Government; • Organizational operating expenses; • Reimbursement of pre -award security expenses; • Cameras for license plate readers/license plate reader software; • Cameras for facial recognition software; • Weapons or weapons -related training; and • Knox boxes. NSGP 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—r e q u i r e F E MA' s p r i o r w r i t t e n 2D0p3P8(c)01)v, a l i n 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 ND Grants 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,i n c l u d i n g t h e a p p r o v e d p r o f e c t s f r o m t h e objective significance allocated to those projects, the proposed changes, and any resulting reallocations as a result of the change of scope or objective; • 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 c o mp l e t e t h e p r o f e c t wi t h i n t h e a wa r d' s p e r i o FEMA will generally not approve NSGP change -of -scope requests resulting from the following situations: NSGP Appendi$Q2-02F32 8/20/2 C-7 • Subrecipients that relocate their facilities after submitting their application who are requesting a change of scope to allow them to use NSGP funds towards projects at the new facility; or • 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 ND Grants 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. 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 successful nonprofit applicants 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: • 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. " R e c e i p t o f t h e f u n d s d6ceptcs thecawuarrd or 15ecailent dahr dayr s w h after the SAA receives notice of the award, whichever ie earlier. SAAs are sent notification of NSGP awards via the ND Grants system. If an SAA accepts its award within 15 calendar days of receiving notice of the award in the ND Grants 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 within 15 calendar days of NSGP Appendi$Q202M3 8/20/2 C-8 receiving notice of the award in the ND Grants system, the 45-calendar days pass -through period will begin 15 calendar days after the award notification is sent to the SAA via the ND Grants system. It is important to note that the period of performance 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 August 20, 2023, while the period of performance dates for that award are September 1, 2023, through August 31, 2026. In this example, the 45-day pass -through period will begin on the date the SAA accepts the NSGP award or September 4, 2023 (15 calendar days after the SAA was notified of the award), whichever date occurs first. The period of performance start date of September 1, 2023 would not affect the timing of meeting the 45-calendar day pass -through requirement. SAM/UEI Requirements for Recipients and Subrecipients As the direct applicant and recipient of NSGP funding, the SAA is required to have a Unique Entity Identifier (UEI) number and be registered in the System for Award Management (SAM) and must maintain the currency of the 'AA's information in SAM until the SAA submits the final financial report required under the award or receives final payment, whichever is later. First tier subrecipients, including nonprofit organizations under the NSGP, will only be required to register in SAM.gov to obtain the UEI, but will not be required to maintain an active registration in SAM.gov. Further guidance on obtaining a UEI in SAM.gov can be found at GSA UEI Update and here SAM.gov Update. NSGP Appendi$Q202M4 8/20/2 C-9 Program Appendix D: Transit Security Grant Program (TSGP) As a reminder, while this appendix contains TSGP-specific information and requirements, the main content of this Manual (non -appendix information) contains important information relevant to all preparedness grant programs, including the TSGP. Please be sure to read the main content of this Manual in addition to the program -specific appendices. TSGP grant recipients may only use TSGP grant funds for the purpose set forth in the Notice of Funding Opportunity (NOFO), and all investments must be consistent with the statutory authority for the award. Grant funds may not be used for matching funds for other federal awards, lobbying, or intervention in federal regulatory or adjudicatory proceedings. In addition, federal funds may not be used to sue the Federal Government or any other government entity. TSGP Funding Guidelines Costs charged to a TSGP 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. For more information on 2 C.F.R. Part 200, please see Information Bulletin (IB) 400, F E MA ' s I m p l e2m e n t a t i C.F.R. Part 200, the Uniform Administrative Requirements, Cost Principles, and Audit Requirements for F e d e r a l Awards (" S u p e r, daCteid Decemu liera23r, 2D 14,o' re g `h O nd ii in g C iF rE dVI Al implementation of these provisions prazr to the recent 2020 revisions. For information on the recent revisions to these regulations, see 2 CFR Grants Management PolicyUpdates. Pre -Award Costs Pre -award costs are not allowable and will not be approved, with the exception of costs resulting from pre -award grant writing services provided by an independent contractor that shall not exceed $1,500.00. See below for more information on these costs. TSGP Priorities See the annual TSGP NOFO. Security Plan Requirements 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: A p r i o r i t i z e d l i s t o f a l l i t e ms i n c l u d e d i n t that have not yet been addressed; A detailed list of any additional capital and operational improvements identified by DHS or the public transportation agency a n d a c e r t i f i c a t i o n o f t h e p u b l i capacity for operating and maintaining any security equipment that may be identified in such list; TSGP Appendig$2-A2M 8/20/21 D-1 • Specific procedures to be implemented or used by the public transportation agency in response to a terrorist attack, including evacuation and passenger communication plans and appropriate evacuation and communication measures for the elderly and individuals with disabilities; • A coordinated response plan that establishes procedures for appropriate interaction with state and local law enforcement agencies, emergency responders, and federal officials in order to coordinate security measures and plans for response in the event of a terrorist attack or other major incident; • 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; • 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. Allowable Direct Costs Specific investments made in support of the funding priorities in the annual TSGP NOFO generally fall into one of the following six allowable expense categories: • Planning; • Operational Activities; • Equipment and Capital Projects; • Training and Awareness Campaigns; • Exercises; and • Management and Administration. The following provides guidance on allowable costs within each of these areas: Planning Planning activities address the Soft Targets/Crowded Places; Cybersecurity; and Planning Priorities. TSGP funds may be used for the following types of planning activities: • Development and enhancement of system -wide security risk management plans that ensure the continuity of essential functions, to include cyber; • Development or further strengthening of continuity plans, response plans, station action plans, risk assessments, and asset -specific remediation plans; • Development or further strengthening of security assessments, including multi -agency and multi - jurisdictional partnerships and conferences to facilitate planning activities; • Hiring of full or part-time staff and contractors or consultants to assist with planning activities only to the extent that such expenses are for the allowable activities within the scope of the grant (not for the purpose of hiring public safety personnel); hiring of contractors/consultants must follow the applicable federal procurement requirements at 2 C.F.R. § § 200.317-200.327; • Materials required to conduct planning activities; TSGP Appendig$2-A2M 8/20/2 D-2 • Conducting risk and resilience assessments on increasingly connected cyber and physical systems, on which security depends, using the Infrastructure Resilience Planning Framework and related CISA resources; • Planning activities related to alert and warning capabilities; and • Other project planning activities with prior approval from FEMA. Operational Activities Operational Activities address the Soft Targets/Crowded Places Priority. FEMA encourages applicants to develop innovative operational approaches to enhance the security of transit systems. Projects that use visible, unpredictable deterrence, to include operational packages dealing with explosive detection canine teams, mobile screening teams, and anti -terrorism teams, directly support enhancing the protection of soft targets and crowded places. Implementation of one of the three Operational Package (OPack) models discussed below complements existing security systems and provides an appropriate, practical, and cost-effective means of protecting assets. Agencies may submit Investment Justifications (IJ) to fund transit security police forces/law enforcement providers for patrols and activities on overtime, such as directed patrols, additional canine teams, mobile screening teams, or anti -terrorism team patrols. These activities must be dedicated to the transit environment and must be anti -terrorism in nature. Agencies must identify the type of activity, length of operation (hours), number of personnel, and cost based on length of operation and personnel. Agencies should also provide a risk -based justification for the request, to include linkage to a known event, such as hosting a significant regional sporting or political event; or a period of heightened awareness, such as a national holiday. Three OPack types have been developed to support operational activities and are available for funding under the TSGP: Explosives Detection Canine Teams (EDCTs). When combined with the existing capability of a transit security/police force, the added value provided through the addition of an EDCT is significant. EDCTs are a proven, reliable resource to detect explosives and are a key component in a balanced counter -sabotage program. The TSGP will provide funds to establish dedicated security/police force canine teams. Each canine team will be composed of one dog and one handler. Anti -Terrorism Teams (ATTs). The ATT capability provided through TSGP funding is for uniformed, dedicated transit patrols on a normal operational basis, rather than using teams only for a surge capacity as provided by FEMA in the past. ATTs do not supersede other local transit security forces; rather, they augment current capabilities. Each ATT will consist of four individuals, including two overt elements (e.g., uniformed transit sector law enforcement officer, canine team, mobile explosive screeners), and two discreet observer elements. Mobile Explosive Screening Teams (MESTs). The MESt OPack will allow recipients the flexibility to deploy combinations of certified explosive ordinance technicians with mobile explosive screening technologies, including during local National Special Security Events. This screening technology will be coupled with mobile explosive screening technologies. Each MEST should have a minimum of two members and one mobile explosive screening apparatus. Note: Funds for canine teams may not be used to fund drug detection and apprehension technique training. Only explosives detection training for the canine teams will be funded. TSGP Appendi8$2-A2Pi7 8/20/2 D-3 Five -Year Security Capital Plan and Operational Sustainment Applicant requests for OPack funding must include the submission of a Five -Year Security Capital and Operational Sustainment Plan in ND Grants. This plan must include how the agency proposes to implement capital projects and demonstrate how the agency will sustain the operational investments (including officers hired with federal funding) and capabilities after grant funding has been expended. Requests for OPacks will not be funded if the applicant does not have a Security Capital and Operational Sustainment Plan. Funding Availability for OPacks OPacks have the potential to be funded for up to a 36-month period from the award date. The monetary figures presented below are stated in terms of cost per period of performance (which indicates actual/complete funding for the 36-month period). Additionally, any OPack costs after the 36-month period of performance (including expenses related to the maintenance, personnel, equipment, etc.) are the responsibility of the applicable transit system. If these positions are not sustained, the public transportation agency may not be eligible for this personnel support in the future. The table below identifies the maximum funding available for the different OPack types. Available Funding for OPacks OPack Requirements TSGp OPack funds may be used for new positions or to sustain existing capabilities/programs (e.g., canine teams) already supported by the recipient. Applicants submitting IJs for both new OPacks and sustainment funding for existing OPacks must clearly indicate which is their highest priority if funding is available for only one of the IJs. Additionally, applicants must provide the number of existing teams (EDCT, ATT, and MEST) already in place with either in-house funding or TSGP funding. The table below identifies specific OPack requirements. OPack Requirements TSGP Appendig$2-A2M 8/20/2 D-4 Specific for the Canine Team within the ATT: • Each canine team, composed of one dog and one handler, must be certified by an appropriate, qualified organization; • Canines should receive an initial basic training course and also weekly maintenance training sessions thereafter to maintain the certification; • The basic training averages 10 weeks for the team, with weekly training and daily exercising (comparable training and certification standards, such as those promulgated by the Anti -Terrorism Teams Transportation Security Administration (TSA) Explosive Detection Canine Program), the National Police Canine Association (NPCA), the United States Police Canine Association (USPCA), or the International Explosive Detection Dog Association (IEDDA) may be used to meet this requirement; • The individuals hired for the covert and overt elements must be properly trained law enforcement officers; and • Certifications should be on file with the recipient and must be made available to FEMA upon request �obile Explosives Screening Team Certifications should be on file with the recipient and must be Allowable Expenses for OPacks The below table identifies allowable expenses for the various OPacks. Please see the inserted notes for clarification of certain allowable costs. Allowable Expenses for OPacks Specific Guidance on EDCTs EDCT Certification. Each 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 TSGP Appendig$2-A2Pi9 8/20/21 D-5 and state regulations. The recipient (i.e., TSGP-grant supported) will maintain certification, utilization, and training data to show their compliance in meeting or exceeding those guidelines set forth by the Scientific Working Group on Dog and Orthogonal Detection Guidelines (SWGDOG), as of September 14, 2007, in addition to requirements set forth in the NOFO. EDCT 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 E x p l o s i v e s' P u b l i c a t i o n Fed-'er4l Uxl)lo. sire La(wAn'H Regullation5; 3) The recipient will ensure that Oertified EDCTs are available to respond to situations 24 hours a day, seven days per week on an on -duty or off -duty on call basis. If TSGP-funded EDCTs are not available, other non-TSGP-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) E D C T s u n d e r t h i s g r a n t a r e s i n g lexq)losipveTs only rents " s i m u 1 a t e d EDCTes mgstlnoa lmvie receivsed previous training to detect any other substances; 5) Recipient EDCTs will ensure that each EDCT receives on -site proficiency training at a minimum of four hours per week per duty cycle. This training shall include, but not be limited to mass transit passenger cars, terminal/platform, luggage, freight/warehouse, 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 TSGP grant 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 affect public safety or mass transit operations. Recipient EDCTs will also ensure that such activities include, over a period of time, 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) Recipient EDCTs 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 the mass transit system, handl e resade' nces, 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) Recipient EDCTs 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. Equipment and Capital Projects Equipment and Capital Projects address the Soft Targets/Crowded Places; Cybersecurity; and Equipment/Capital Projects Priorities. and TSGP Appendig$2-A2040 8/20/2 D-6 Priority projects include Top Transit Asset List (TTAL) risk remediation and protection of other high - risk, high -consequence areas or systems that have been identified through system -wide risk assessments. These costs include: Projects related to physical security enhancements at rail and bus stations in Urban Area Security Initiative (UASI) jurisdictions including security cameras, security screening equipment for people and baggage, and access control (e.g., fences, gates, barriers, etc.); and Projects related to cybersecurity of access control, sensors, security cameras, badge/ID readers, Industrial Control System (ICS)/Supervisory Control and Data Acquisition (SCADA) systems, process monitors and controls, etc. or passenger/vehicle/cargo security screening equipment support. Cybersecurity assessments are allowable. Equipment Acquisition TSGP funds must comply with FEMA Policy 207-22-0002, Prohibited or Controlled Equipment Under FEMA Awards. TSGP funds may be used for the following categories of equipment. A comprehensive listing of allowable equipment categories and types is found in the Authorized Equipment List (AEL). These costs include: • Personal protection equipment; • Explosive device mitigation and remediation equipment; • Chemical, biological, radiological, nuclear, and explosive (CBRNE) operational search and rescue equipment, logistical support equipment, reference materials, or incident response vehicles • Interoperable communications equipment, including alert and warning capabilities; • Components or systems needed to address flaws in the computerized systems that control generators, switching stations, and electrical substations as well as other threats to infrastructure critical to the U.S. economy; • Detection Equipment; • Power equipment; • Terrorism incident prevention equipment; and • Physical security enhancement equipment. Recipients and subrecipients may purchase equipment not listed on the AEL, but only if they first seek and obtain prior approval from FEMA. Unless otherwise noted, equipment must be certified as meeting required regulatory and FEMA-adopted standards to be eligible for purchase using TSGP funds. Equipment must comply with the Occupational Safety and Health Act requirement for certification of electrical equipment by a nationally recognized testing laboratory and demonstrate compliance with relevant FEMA-adopted standards through a suppl i e r ' s decl a at i on of c o n f or mi t y wi t h a p p r op Organization for Standardization/Intemational Electro-technical Commission (ISO/IEC) 17050, Parts One and Two. Agencies must have all necessary certifications and licenses for the requested equipment, as appropriate, prior its purchase. DHS adopted standards are found at DHS Implementation Statement Regarding Standard Terms and Conditions for Research Grants I Homeland Security. In addition, recipients that are using TSGP funds to support emergency communications equipment activities must comply with the SAFECOM Guidance on Emergency Communications Grants, including provisions on technical standards that ensure and enhance interoperable communications. This SAFECOM Guidance can be found at https://www.cisa.gov/safecom/funding. TSGP Appendig$2-A2041 8/20/21 D-7 Equipment: 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 pr o c e d u r e s i n p l a c e t o s a f e g u a r d i 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 TSGP 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 TSGP 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. The U. S. De p a r t me n t o f Home 1 and S e c u r i t y' s P r i v a c y Of transmission and storage issues with vendors to reduce the possibility of data breaches. Additionally, the Joint Explanatory Statement (JES) accompanying the FY 2023 DHS Appropriations Act 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 foreign - made versus domestic sUAS. Acquisition and Use of Technology to Mitigate UAS (Counter-UAS) In August 2020, FEMA alerted of an advisory guidance document issued by DHS, the Department of Justice, the Federal Aviation Administration, and the Federal Communications Commission: https://www.dhs. gov//publication/interaaency-legal-advisory-uas-detection-and-mitigation-technologies. The purpose of the advisory guidance document is to help non-federal public and private entities better understand the federal laws and regulations that may apply to the use of capabilities to detect and mitigate threats posed by UAS operations (i.e., Counter-UAS or C-UAS). The Departments and Agencies issuing the advisory guidance document, and FEMA, do not have the authority to approve non-federal public or private use of UAS detection or mitigation capabilities, nor do they conduct legal reviews of commercially available product compliance with those laws. The advisory does not address state and local laws nor potential civil liability, which UAS detection and mitigation capabilities may also implicate. It is strongly recommended that, prior to the testing, acquisition, installation, or use of UAS detection and/or mitigation systems, entities seek the advice of counsel experienced with both federal and state criminal, surveillance, and communications laws. Entities should conduct their own legal and technical analysis of each UAS detection and/or mitigation system and should not rely solely on vendors' representations of the systems' legality or functionality. Please also see the DHS press release on this topic for further information: https://www.dhs.gov/news/2020/08/17/interagency-issues-advisory-use- technology-detect-and-mitigate-unmanned-aircraft. Cybersecurity Projects TSGP funds may be used for projects that enhance the cybersecurity of: • Access controls, sensors, security cameras, badge/ID readers, ICS/SCADA systems, process monitors and controls (such as firewalls, network segmentation, predictive security cloud, etc.); and • Passenger/vehicle/cargo security screening equipment (cybersecurity assessments are allowable). TSGP Appendig$2-A2042 8/20/2 D-8 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 "Fr a me wo r k" ) d e v e l o p e d b y t h e Na t i o n.aThleFralmewsortki t u t gathers existing international standards and practices to help organizationrunderstand, 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. T h e C y b e r s e c u r i t y a n d I CISAr) Grilictaliinfiraetrtzctuzrr CeyberSC®mcmunrityi t a g 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 http://www.cisa.gov/ccubedvp. D H S Enkanced 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 " D e t e c t" a n d "Prot e c t" f u anceltatiiveotonthsy outtcomes df thel i v e a n i 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 b l o c k c e r t a i n t y p e s o f m a t i c i o u Croupt s intarefstl diinc f r o m e n subscribing to ECS must contract directly with a CSP in order to receive services. Please visit http://www.cisa.jzov/enhanced-cybersecurity-services-ecs for a current list of ECS CSP points of contact. Capital (Construction) Projects Guidance Capital expenditures are defined in 2 CFR 200.1 Definitions 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 CFR 200.439. Recipients must obtain written approval from FEMA prior to the use of any TSGP funds for construction or renovation projects. When applying for construction funds, including communications towers, at the time of application, recipients must submit evidence of approved zoning ordinances, architectural plans, and any other locally required planning permits. Additionally, recipients are required to submit a SF-424C and budget detail citing the project costs and an SF-424D Form for standard assurances for the construction project. All construction and renovation projects require Environmental Planning and Historic Preservation (EHP) review. Recipients are also 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, instances must also be identified to the FEMA HQ Preparedness Officer within the first six months of the award, regardless of the period of performance. Completed EHP review materials for construction and communication tower projects must be submitted no later than 12 months before the end TSGP Appendig$2-A2043 8/20/2 D-9 of the period of performance. EHP policy guidance and the EHP Screening Form can both be found on FEMA.gov. EHP review materials should be sent to gpdehpinfokfemaAhs.gov. Training and Awareness Campaigns Training and Awareness Campaigns address the Soft Targets/Crowded Places; Cybersecurity; and Training and Awareness Campaign Priorities. Training TSGP funds may be used for the following training activities: • Training Topics. Priority topics include active shooter training, security training for employees, and public awareness/preparedness campaigns. • Training Workshops. Grant funds may be used to plan and conduct training workshops to include costs related to planning, meeting space and other meeting costs, facilitation costs, materials and supplies, travel, and training plan development. Recipients are strongly encouraged to use free public space/locations/facilities, whenever available, prior to the rental of space/locations/facilities. Training should provide the opportunity to demonstrate and validate skills learned, as well as to identify any gaps in these skills. Any training or training gaps, including those for children and individuals with disabilities or other access and functional needs, should be identified in an After -Action Report/Improvement Plan (AAR/IP) and addressed in the training cycle. • Hiring of Full or Part -Time Staff or Contractors/Consultants. Full or part-time staff or contractors/consultants may be hired to support training -related activities. Hiring of contractors/consultants must follow the applicable federal procurement requirements at 2 C.F.R. § § 200.317-200.327. Reimbursement of these costs should conform with the policies of the state or local unit§ of government or the awarding agency, whichever is applicable. Such costs must be included within the funding allowed for program management personnel expenses, which must not exceed 10% of the total allocation. Dual compensation is unallowable. That is, an employee of a unit of government may not receive compensation from their unit or agency of government and from an award for a single period of time (e.g., 1:00 p.m. to 5:00 p.m.), even though such work may benefit both activities. Personnel hiring, overtime, and backfill expenses are permitted under this grant only to the extent that such expenses are for the allowable activities within the scope of the grant. • Overtime and Backfill Costs. The entire amount of overtime costs, including payments related to backfilling personnel, that are the direct result of attendance at FEMA and approved training courses and programs are allowable. Reimbursement of these costs should follow the policies of the state or local u§(s) of government or the awarding agency, whichever is applicable. In no case is dual compensation allowable. • Travel. Domestic travel costs (e.g., airfare, mileage, per diem, and hotel) are allowable as expenses by employees who are on travel status for official business related, approved training, subject to the restrictions at 2 C.F.R. Part 200. International travel is not an allowable expense. • Supplies. Supplies, items that are expended or consumed during the course of the planning and conduct of the training p§ect(s) (e.g., gloves and non -sterile masks), are allowable expenses. • Funds Used to Develop, Deliver, and Evaluate Training, including costs related to administering the training, planning, scheduling, facilities, materials and supplies, reproduction of materials, and equipment are allowable expenses. Training should provide the opportunity to demonstrate and validate skills learned, as well as to identify any gaps in these skills. Any training or training gaps, including those for children and individuals with disabilities or other access and functional needs, should be identified in the AARAP and addressed in the training cycle. TSGP Appendig$N2M4 8/20/24"-10 Recipients are encouraged to use existing training rather than developing new courses. When developing new courses, recipients are encouraged to apply the Analysis, Design, Development, Implementation, and Evaluation (ADDIE) model of instruction design. Information on FEMA-approved training can found at http://www.firstrespondertraining_gov/. Awareness Campaigns TSGP funds may be used for the development and implementation of awareness campaigns to raise public awareness of indicators of terrorism and terrorism -related crime, and for associated efforts to increase the sharing of information with public and private sector partners, including nonprofit organizations. DHS currently sponsors or supports a number of awareness campaigns. Please review materials, strategies, and resources at htlps://www.dhs.gov/dhs-campaigns before embarking on the development of an awareness campaign for local constituencies and stakeholders. Note: DHS requires that all public and private sector partners wanting to implement and/or expand the DHS "If You See Something, Say Something®" campaign using grant funds work directly with the DHS Office of Partnership and Engagement (OPE). This will help ensure that the awareness materials (e.g., videos, posters, trifolds, etc.) remain consistent with D H S hic%saging and strategy for the campaign and compliant with the initiative's trademark, which is licensed to DHS by the New York Metropolitan Transportation Authority. Coordination with OPE, through the C a in p a Dfgicz (seesay@hq.dhs.gov), must be facilitated by the FEMA HQ Preparedness Officer. Exercises Exercise activities address the Soft Targets/Crowded Places; Cybersecurity; and Exercises Priorities. TSGP funds may be used for the following exercise activities: Funds Used to Design, Develop, Conduct and Evaluate an Exercise. This includes costs related to planning, meeting space, and other meeting costs, facilitation costs, materials and supplies, travel, and documentation. Exercises afford organizations the opportunity to validate plans and procedures, evaluate capabilities, and assess progress toward meeting capability targets in a controlled, low risk setting. Any shortcoming or gap identified, including those for children and individuals with disabilities or other access and functional needs, should be identified in an effective corrective action program that includes development of improvement plans that are dynamic documents, with corrective actions continually monitored and implemented as part of improving preparedness through the exercise cycle. Hiring of Full or Part -Time Staff or Contractors/Consultants. Full or part-time staff may be hired to support exercise -related activities. In order to be eligible for reimbursement, the costs for hiring staff must conform to the policies of the non-federal entity and federal statutes, where applicable. See, e.g., 2 C.F.R. § 200.430(a). The costs for hiring contractors or consultants must comply with the applicable federal procurement standards at 2 C.F.R. §§ 200.317 — 200.327. The costs for hiring staff, consultants, or contractors to support exercise -related activities costs must be included within the funding allowed for program management personnel expenses, which must not exceed 10% of the total allocation. Dual compensation is never allowable, meaning, in other words, that an employee of a unit of government may not receive compensation from their unit or agency of government and from an award for a single period of time (e.g., 1:00 p.m. to 5:00 p.m.), even though their work may benefit both entities. Personnel hiring, overtime, and backfill expenses are permitted under this grant only to the extent that such expenses are for the allowable activities within the scope of the grant. TSGP Appendig$N2M5 8/20/24"-11 • Overtime and Backfill Costs. The entire amount of overtime costs, including payments related to backfilling personnel, which are the direct result of time spent on the design, development and conduct of exercises are allowable expenses. These costs are allowed only to the extent the payment for such services is in accordance with the policies of the state or unit§ of local government and has the approval of the state or the awarding agency, whichever is applicable. Dual compensation is never allowable. • Travel. Domestic travel costs are allowable as expenses by employees who are on travel status for official business related to the planning and conduct of exercise proj§(s), subject to the restrictions at 2 C.F.R. Part 200. International travel is not an allowable expense. • Supplies. Supplies are items that are expended or consumed during the course of the planning and conduct of the exercise p§ect(s) (e.g., gloves, non -sterile masks, and disposable protective equipment). • Other Items. These costs include the rental of space/locations for exercise planning and executing, rental of equipment, etc. Recipients are encouraged to use free public space/locations/facilities, whenever available, prior to the rental of space/locations/facilities. These also include costs that may be associated with inclusive practices and the provision of reasonable accommodations and modifications to provide full access for children and adults with disabilities. Management and Administration (M&A) Management and administration costs are allowed under this program. M&A costs are activities directly related to managing and administering the award. Recipients may use up to 5% of the amount of the award for their M&A. FY 2023 TSGP funds may be used for the following M&A costs: • Hiring of full-time or part-time staff, including contractors and consultants, to execute the following: o Management of the current fiscal year TSGP Award; o Design and implementation of the current fiscal year TSGP submission meeting compliance with reporting/data collection requirements, including data calls; o Information collection and processing necessary to respond to FEMA data calls; o Domestic -only travel expenses related to TSGP grant administration, in compliance with 2 C.F.R. Part 200; and o Acquisition of authorized office equipment, including personal computers or laptops for TSGP M&A purposes. Allowable Indirect Costs Indirect costs are allowable under this. S e e R rhoe c e" d u r e s i n--SPlibeni s s i on I of or mat i on" f or Unallowable Costs Specific unallowable costs include: for Establishing mor e i of or mat i on • 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 equipment. firearms, ammunition, grenade launchers, bayonets, or weaponized aircraft, vessels, or vehicles of any kind with weapons installed. Additional prohibited equipment expenditures include items TSGP Appendig$N2W 8/20/24"-12 unrelated to grant allowable activities, such as general -use software, general -use computers, and related equipment (other than for allowable M&A activities or otherwise associated preparedness or response functions), general -use vehicles, and licensing fees; • Personnel costs (except as detailed above); • Activities unrelated to the completion and implementation of the TSGP; and • Other items not in accordance with the AEL or not previously listed as allowable costs. Maintenance and Sustainment Costs The use of FEMA preparedness grant funds for maintenance contracts, warranties, repair or replacement costs, upgrades, and user fees are allowable under all active and future grant awards, unless otherwise noted. Preparedness grant funds may be used to purchase maintenance contracts or agreements, warranty coverage, licenses, and user fees. These contracts may exceed the period of performance if they are purchased incidental to the original purchase of the system or equipment as long as the original purchase of the system or equipment is consistent with that which is typically provided for, or available through, these types of agreements, warranties, or contracts. When purchasing a stand-alone warranty or extending an existing maintenance contract on an already -owned piece of equipment system, coverage purchased may not exceed the period of performance of the award used to purchase the maintenance agreement or warranty. As with warranties and maintenance agreements, this extends to licenses and user fees as well. Grant funds are intended to support the National Preparedness Goal and fund projects that build and sustain the core capabilities necessary to prevent, protect against, mitigate the effects of, respond to, and recover from those threats that pose the greatest risk to the security of the Nation. In order to provide recipients the ability to meet this objective, the policy set forth in 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 that must be in (1) direct support of existing capabilities; (2) must be an otherwise allowable expenditure under the applicable grant program, and (3) be tied to one of the core capabilities in the five mission areas outlined in the Goal. Additionally, eligible costs may also be in support of equipment, training, and critical resources that have previously been purchased with either federal grant or any other source of funding other than FEMA preparedness grant program dollars. Encouraged Use of Certain Products Produced in the United States Pursuant to Executive Order 13858, " S t r e n g t 1AmeiriciannPWfereBicu syfor ctlire F E MA e n ofeodetrat enatiges undenthics grant program to use, to the greatest practicable and cmtait;tent with the law, iron and aluminum as well as steel, cement, and other manufactured products produced in the United States, in projects funded by an award under this grant program affecting surface transportation, including roadways, bridges, railroads, and transit; aviation; ports, including navigational channels; water resources projects; energy production, generation, and storage, including from fossil -fuels, renewable, nuclear, and hydroelectric sources; electricity transmission; gas, oil, and propane storage and transmission; electric, oil, natural gas, and propane distribution systems; broadband internet; pipelines; stormwater and sewer infrastructure; drinking water infrastructure; and cybersecurity. Notwithstanding this encouragement, non-federal entities must take care that all procurements and contract actions are consistent with law, the Preparedness Grants Manual and a p p l i c a b l e a p p e n d i c e s t h e g acuaemn etit stapidrardos gt p G.FnR'. N O F 200.317-200.326. TSGP Appendig$N2W 8/20/24"-13 Program Appendix E: Intercity Bus Security Grant Program (IBSGP) As a reminder, while this appendix contains IBSGP-specific information and requirements, the main content of this Manual (non -appendix information) contains important information relevant to all preparedness grant programs, including the IBSGP. Please be sure to read the main content of this Manual in addition to the program -specific appendices. IBSGP grant recipients may only use IBSGP grant funds for the purpose set forth in the Notice of Funding Opportunity (NOFO), and all investments must be consistent with the statutory authority for the award. Grant funds may not be used for matching funds for other federal awards, lobbying, or intervention in federal regulatory or adjudicatory proceedings. In addition, federal funds may not be used to sue the Federal Government or any other government entity. IBSGP Funding Guidelines Costs charged to an 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. For more information on 2 C.F.R. Part 200, please see IB 400 r e g a r d i n igipleliiieFintMAi'ofsthese provisions prior to the recent 2020 revisions. For information on the recent revisions to these regulations, see 2 CFR Grants Management PolicyUpdates. IBSGP Priorities See the annual IBSGP NOFO. Pre -Award Costs Pre -award costs are not allowable and will not be approved, with the exception of costs resulting from pre -award grant writing services provided by an independent contractor that shall not exceed $1,500. See the IBSGP NOFO for more information. Allowable Direct Costs Specific investments made in support of the funding priorities discussed in the annual IBSGP NOFO generally fall into one of the following six allowable expense categories: 1. Planning; 2. Operational Activities; 3. Equipment and Capital Projects; 4. Training and Awareness Campaigns; 5. Exercises; and 6. Management and Administration. The following provides guidance on allowable costs within each of these areas. IBSGP Append3$ 20148 8/20/20Z4 E-1 Planning Planning activities should address the Soft Targets/Crowded Places; Cybersecurity; and Planning Priorities. IBSGP funds may be used for the following types of planning activities: • Development and enhancement of system -wide security risk management plans, to include cyber; • Development or further strengthening of continuity of operations plans, response plans, station action plans, risk assessments, and asset -specific remediation plans; • Development or further strengthening of security assessments, including multi -agency and multi - jurisdictional partnerships and conferences to facilitate planning activities; • Hiring of full- or part-time staff and contractors or consultants to assist with planning activities only to the extent that such expenses are for the allowable activities within the scope of the grant (not for the purpose of hiring public safety personnel); hiring of contractors/consultants must follow the applicable federal procurement requirements at 2 C.F.R. § § 200.317-200.327; • Materials required to conduct planning activities; • Conducting risk and resilience assessments on increasingly connected cyber and physical systems, on which security depends, using the Infrastructure Resilience Planning Framework and related CISA resources; • Planning activities related to alert and warning capabilities; and • Other project planning activities with prior approval from FEMA. Operational Activities Operational Activities should address the Soft Targets/Crowded Places Priority. FEMA encourages applicants to develop innovative operational approaches to enhance the security of transportation systems. Examples include: Establishing or improving emergency communication systems linking drivers and over -the -road buses to company operation centers, law enforcement agencies or emergency response personnel; Acquiring and installing equipment or systems that collect, store or exchange passenger and/or driver information with established government databases for security purposes; and Implementing and operating established methodologies for screening passengers, their carry -on baggage, and/or their checked baggage, for weapons and/or explosives. Equipment and Capital Projects Equipment and Capital Projects should address the Soft Targets/Crowded Places; Cybersecurity; and Equipment/Capital Projects Priorities. Equipment — Vehicle/Driver Security Enhancements Vehicle Security Enhancements focus on vehicle disabling and anti -theft devices, real-time bus inventory and inventory control, tracking, monitoring, alert and warning capabilities, and locating technologies. Driver security enhancements focus on protection for the bus driver to prevent would-be terrorists from immobilizing the driver and/or hijacking the bus. Applicants are discouraged from submitting projects that propose the use of closed-circuit television (CCTV) alone as an on -board deterrent to terrorism. Rather, any cameras should have the capability and protocols in place for incident -based real-time monitoring. CCTV Systems that are primarily archival, and do not clearly specify the ability for live monitoring in the Investment Justification (IJ) will not be funded. IBSGP AppendW 2-01-49 8/20/2P1 E-2 Capital Projects — Facility Security Enhancements • Projects related to physical security enhancements at bus stations, or operator -owned facilities including but not limited to lighting, security cameras, security screening equipment for people and baggage, and access control (e.g., fences, gates, barriers); • Projects related to cybersecurity of access control, sensors, security cameras, badge/ID readers, Industrial Control System (ICS)/Supervisory Control and Data Acquisition (SCADA) systems, process monitors and controls, etc. or passenger/vehicle/cargo security screening equipment support. Cybersecurity assessments are allowable; and • Full or Part -Time Staff or Contractors/Consultants. Full or part-time staff or contractors/consultants may be hired to support security enhancement -related activities. Personnel hiring, overtime, and backfill expenses are permitted under this grant only to the extent that such expenses are for the allowable activities within the scope of the grant. Hiring of contractors/consultants must follow the applicable federal procurement requirements at 2 C.F.R. § § 200.317-200.327. Note: All Capital and Vehicle/Driver security enhancement projects that include cameras, video surveillance, or alarm systems MUST either be live monitored 24/7 or have the capability for real-time incident -based monitoring. CCTV Systems that are primarily archival and do not clearly specify the ability for live monitoring in the IJ will not be funded. Equipment Acquisition IBSGP funds must comply with FEMA Policy 207-22-0002, Prohibited or Controlled Equipment Under FEMA Awards, and may be used for the following categories of equipment. A comprehensive listing of allowable equipment categories and types is found in the Authorized Equipment List (AEL). These costs include: • Personal protection equipment; • Explosive device mitigation and remediation equipment; • Chemical, biological, radiological, nuclear, and explosive (CBRNE) operational search and rescue equipment, or logistical support equipment; • Interoperable emergency communications equipment; • Detection equipment; • Terrorism incident prevention equipment; and • Physical security enhancement equipment. Recipients may purchase equipment not listed on the AEL, but only if they first seek and obtain prior approval from FEMA. Unless otherwise noted, equipment must be certified as meeting required regulatory and DHS- adopted standards to be eligible for purchase using these funds. Equipment must comply with the Occupational Safety and Health Act requirement for certification of electrical equipment by a nationally recognized testing laboratory and demonstrate compliance with relevant DHS-a d o p t e d s t a n d a r d s t h r o e declaration of conformity with appropriate supporting data and documentation per International Organization for Standardization/International Electro-technical Commission (ISO/IEC) 17050, Parts One and Two. Agencies must have all necessary certifications and licenses for the requested equipment, as appropriate, prior to the request. In addition, recipients that are using IBSGP funds to support emergency communications equipment activities must comply with the SAFECOM Guidance on Emergency Communications Grants, including provisions on technical standards that ensure and enhance interoperable communications. SAFECOM Guidance can be found at: hlt2s://www.cisa.aov/safecom/funding. IBSGP AppendW 2-01.50 8/20/2P1 E-3 Cybersecurity Projects IBSGP funds may be used for projects that enhance the cybersecurity o£ • Access controls; sensors; security cameras; badge/ID readers; ICS/SCADA systems; process monitors and controls (such as firewalls, network segmentation, predictive security cloud, etc.). CCTV Systems that are primarily archival, and do not clearly specify the ability for live monitoring in the IJ will not be funded; and • Passenger/vehicle/cargo security screening equipment (cybersecurity assessments are allowable). 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( " T h e F r a me w o r k " ) d e v e l o p e d b y t h e N a t i o n .aThl e FraInxewsorik i t u t 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. The Cybersecurity and Infrastructure S e c u r i t y CISAV Critical :�nfrastruct(ure 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 http://www.cisa.gov/ccubedvp. D H 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 " D e t e c t " and "Prot ect" f u n c t i o n s t o del i v e r an i Cybersecurity Framework. Specifically, ECS offers intrusion prevention and analysis services that help U.S.-based companies and state, local, tribal, and territorial (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 blo c k c e r t a i n t y p e s o f ma t i c i o u s. t r a f f i Groups interested in subscribing to ECS must contract directly with a CSP in order to receive services. Please visit Enhanced Cybersecurity Services (ECS) CISA for a current list of ECS CSP points of contact. Capital (Construction) Projects Guidance Recipients must obtain written approval from FEMA prior to the use of any IBSGP funds for construction or renovation projects. When applying for construction funds, including communications towers, at the time of application, recipients must submit evidence of approved zoning ordinances, architectural plans, any other locally required planning permits. Additionally, recipients are required to submit a SF-424C and budget detail citing the project costs and an SF-424D Form for standard assurances for the construction project. All Capital (Construction) projects require Environmental Planning and Historic Preservation (EHP) review. Recipients are also 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 EHP laws and requirements). IBSGP AppendW 2-01.51 8/20/2P1 E-4 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, instances must also be identified to the FEMA HQ Preparedness Officer within the first six months of the award. Completed EHP review materials for construction and communication tower projects must be submitted no later than 12 months before the end of the period of performance. EHP policy guidance and the EHP Screening can both be found on FEMA.gov. EHP review materials should be sent to gpdehpinfogfema.gov. Training and Awareness Campaigns Training and Awareness Campaigns address the Soft Targets/Crowded Places; Cybersecurity; and Training and Awareness Campaign Priorities. Training IBSGP funds may be used for the following training activities: • Training Topics. Priority topics include active shooter training, security training for employees, and public awareness/preparedness campaigns. The IJ narrative for Training should include: o A course syllabus, curriculum, or topic plan identifying the proposed course material and contents; and o Provide the total cost of the training course, the number of participants, and the cost per participant breakdown. • Training Workshops. Grant funds may be used to plan and conduct training workshops or conferences including costs related to planning, meeting space and other meeting costs, facilitation costs, materials and supplies, travel, and training plan development. • Hiring of Full or Part -Time Staff or Contractors/Consultants. Full or part-time staff may be hired to support training -related activities. Hiring of contractors/consultants must follow the applicable federal procurement requirements at 2 C.F.R. §§ 200.317-200.327. The services of contractors/consultants may also be procured in the design, development, conduct, and evaluation of CBRNE training. Personnel hiring, overtime, and backfill expenses are permitted under this grant only to the extent that such expenses are for the allowable activities within the scope of the grant. • Overtime and Backfill Costs. Overtime and backfill costs associated with the design, development, and conduct of training are allowable expenses. Payment of overtime expenses will be for work performed by recipient or subrecipient employees in excess of the established work week related to the planning and conduct of the trainin§roject(s). Furthermore, overtime payments and backfill costs associated with sending personnel to training are allowable. Grant funds cannot be used for personnel or direct salary costs for employees to attend training sessions. Recipients seeking to claim overtime or backfill costs will be required to submit verification. Straight time costs are not eligible expenses. • Travel. Domestic travel costs (e.g., airfare, mileage, per diem, hotel, etc.) are allowable as expenses by employees who are on travel status for official business related to the planning and conduct of the trai§g project(s) or for attending courses. These costs must be in accordance with applicable state law and regulations as well as the principles at 2 C.F.R. Part 200. International travel is not an allowable cost under IBSGP. • Supplies. Supplies are items that are expended or consumed during the course of the planning and conduct of the t§ning project(s) (e.g., copying paper, gloves, tape, and non -sterile masks). • Funds Used to Develop, Deliver, and Evaluate Training, including costs related to administering the training, planning, scheduling, facilities, materials and supplies, reproduction of materials, and equipment are allowable expenses. Training should provide the opportunity to IBSGP AppendW 2-01-2 8/20/2P1 E-5 demonstrate and validate skills learned, as well as to identify any gaps in these skills. Any training or training gaps, including those for individuals with disabilities or other access and functional needs, should be identified in the AAR/IP and addressed in the training cycle. Developing New Courses. Recipients are encouraged to use existing training rather than developing new courses. When developing new courses, recipients are encouraged to apply the Analysis, Design, Development, Implementation, and Evaluation (ADDIE) model of instructional design. Information on FEMA-approved training can found at First Responder Training System. Other Items. These costs include the rental of space/locations for planning and conducting training, badges, etc. Recipients are encouraged to use free public space/locations, whenever available, prior to the rental of space/locations. Awareness Campaigns IBSGP funds may be used for the development and implementation of awareness campaigns to raise public awareness of indicators of terrorism and terrorism -related crime, and associated efforts to increase the sharing of information with public and private sector partners, including nonprofit organizations. DHS currently sponsors or supports a number of awareness campaigns. Please review materials, strategies, and resources at htWs://www.dhs.gov/dhs-campaigns before embarking on the development of an awareness campaign for your local constituencies and stakeholders. Note: DHS requires that all public and private sector partners wanting to implement and/or expand the DHS "If You See Something, Say Something®" campaign using grant funds work directly with the DHS Office of Partnership and Engagement (OPE). This will help ensure that the awareness materials (e.g., videos, posters, trifolds, etc.) remain consistent with the Department's messaging and strategy for the campaign and compliant with the initiative's trademark, which is licensed to DHS by the New York Metropolitan Transportation Authority. Coordination with OPE, through the Campaign's Office (seesayghq.dhs. og_v), must be facilitated by the FEMA HQ Preparedness Officer. Exercises Exercise activities should address the Soft Targets/Crowded Places; Cybersecurity; and Exercises Priorities. IBSGP funds may be used for the following exercise activities: Funds Used to Design, Develop, Conduct, and Evaluate an Exercise. This includes costs related to planning, meeting space, and other meeting costs, facilitation costs, materials and supplies, travel, and documentation. Exercises afford organizations the opportunity to validate plans and procedures, evaluate capabilities, and assess progress toward meeting capability targets in a controlled, low risk setting. Any shortcoming or gap identified, including those for children and individuals with disabilities or other access and functional needs, should be identified in an effective corrective action program that includes development of improvement plans that are dynamic documents, with corrective actions continually monitored and implemented as part of improving preparedness through the exercise cycle. Hiring of Full or Part -Time Staff or Contractors/Consultants. Full or part-time staff may be hired to support exercise -related activities. The services of contractor/consultant staff may be procured to support exercise -related activities. The services of contractors/consultants may also be procured to support the design, development, conduct, and evaluation of terrorism exercises. Hiring of contractors/consultants must follow the applicable federal procurement requirements at 2 C.F.R. §§ 200.317-200.327. Overtime and Backfill Costs. Overtime and backfill costs associated with the design, development, and conduct of terrorism exercises are allowable expenses. Payment of overtime IBSGP AppendW 2-01-3 8/20/2P1 E-6 expenses will be for work performed in excess of the established work week related to the planning and conduct of the exercise project(s). Further, overtime payments and backfill costs associated with sending personnel to exercises are allowable, provided that the event being attended is a DHS sponsored exercise. For positions not funded by the grant award, grant funds cannot be used for personnel or straight salary costs for employees to attend exercises, meaning straight time costs for non -grant funded employees to attend exercise are not allowable. Instead, for positions not funded by the grant award, only overtime and backfill costs will be allowable for those employees to attend exercises. Recipients seeking to claim overtime or backfill costs will be required to submit verification. Travel. Domestic travel costs (e.g., airfare, mileage, per diem, hotel, etc.) are allowable as expenses by employees who are on travel status for official business related to the planning and conduct of the exercise project(s). International travel is not allowable under this program. Supplies. Supplies are items that are expended or consumed during the course of the planning and conduct of the exercise project(s) (e.g., gloves, non -sterile masks, and disposable protective equipment). Other Items. These costs include the rental of space/locations for exercise planning and executing, rental of equipment, etc. Recipients are encouraged to use free public space/locations/facilities, whenever available, prior to the rental of space/locations/facilities. These also include costs that may be associated with inclusive practices and the provision of reasonable accommodations and modifications to provide full access for children and adults with disabilities. Management and Administration (M&A) Management and administration costs are allowed under this program. M&A costs are activities directly related to managing and administering the award. Recipients may use up to 5% of the amount of the award for their M&A. FY 2023 IBSGP funds may be used for the following M&A costs: • Hiring of full-time or part-time staff including contractors and consultants, to execute the following: o Management of the current fiscal year IBSGP award; and o Design and implementation of the current fiscal year IBSGP submission meeting compliance with reporting/data collection requirements, including data calls. • Information collection and processing necessary to respond to FEMA data calls; and • Domestic travel expenses related to IBSGP grant administration. Indirect Costs Indirect costs are allowable under this program. S e e t h e " P r o c e d u r e s f o r E s t a b Rat e s" Se6tuibonvi sisri o`hPrIenf or mat i on" f or mor e i of or m Unallowable Costs Specific unallowable costs include: • 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 equipment. firearms, ammunition, grenade launchers, bayonets, or weaponized aircraft, vessels, or vehicles of any kind with weapons installed; IBSGP Append36 2 154 8/20/2P1 E-7 • General -use facility expenditures, to include, but not limited to ordinary facility maintenance, contracts for maintenance, and specifically backup or emergency generators; • General vehicle maintenance, service contracts, or warranties. This is different from maintenance and sustainment costs that are allowable, but only for projects funded under a grant award. For projects or equipment not funded by the grant award, general maintenance, service contracts, and warranties are not allowable; • Expenditures for items such as general -use software (word processing, spreadsheet, graphics, etc.), general -use computers and related equipment (other than for allowable M&A activities, or otherwise associated preparedness or response functions), general -use vehicles, licensing fees, recurring operating costs (e.g., cell phone services, maintenance contracts); • Organizational operating expenses; • Personnel costs, to include, but not limited to, overtime and backfill (except as detailed above); • Activities unrelated to the completion and implementation of the IBSGP; • Other indirect costs (meaning property purchase, depreciation, or amortization expenses); • Initiatives in which federal agencies are the beneficiary or that enhance federal property; • Initiatives which study technology development; • Proof -of -concept initiatives; • Initiatives that duplicate capabilities being provided by the Federal Government; • Other items not in accordance with the AEL, in accordance with FEMA Policy 207-22-0002, Prohibited or Controlled Equipment Under FEMA Awards, or not previously listed as allowable costs; and • Pre -award costs are not allowable and will not be approved, with the exception of costs resulting from pre -award grant writing services provided by an independent contractor that shall not exceed $1,500, a s d e t 4iw la (r d U n s atiMrOthe IBStGPo NOFO. Other Allowable Costs Maintenance and Sustainment Costs The use of FEMA preparedness grant funds for maintenance contracts, warranties, repair or replacement costs, upgrades, and user fees are allowable under all active and future grant awards, unless otherwise noted. Preparedness grant funds may be used to purchase maintenance contracts or agreements, warranty coverage, licenses, and user fees. These contracts may exceed the period of performance if they are purchased incidental to the original purchase of the system or equipment as long as the original purchase of the system or equipment is consistent with that which is typically provided for, or available through, these types of agreements, warranties, or contracts. When purchasing a stand-alone warranty or extending an existing maintenance contract on an already -owned piece of equipment system, coverage purchased may not exceed the period of performance of the award used to purchase the maintenance agreement or warranty. As with warranties and maintenance agreements, this extends to licenses and user fees as well. Grant funds are intended to support the National Preparedness Goal (the Goal) and fund projects that build and sustain the core capabilities necessary to prevent, protect against, mitigate the effects of, respond to, and recover from those threats that pose the greatest risk to the security of the Nation. In order to provide recipients the ability to meet this objective, the policy set forth in 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 in (1) direct support of existing capabilities; (2) must be an otherwise allowable expenditure under the applicable grant program, and (3) be tied to one of the core capabilities in the five mission areas outlined in the Goal. Additionally, eligible costs may also be in support of equipment, training, and critical resources that have previously been purchased with either federal grant or any other source of funding other than FEMA preparedness grant program dollars. IBSGP AppendW 2-01.55 8/20/2P1 E-8 Bonds Financial markets are not always predictable, and commercial suppliers are not always reliable; but there are options to provide resource contingencies to support an IBSGP award. Prepayment Bond: Prepayment Bonds provide a measure of economic security for an organization that is going to advance funds to a vendor(s). The prepayment bond generally may be obtained through the vendor or bank. The prepayment bond protects funds in the event a vendor fails to perform (e.g., not finishing/delivering contracted service/equipment, or going out of business). Prepayment bonds are chargeable to an award. o Encouraged Prepayment Bond: Recipients are strongly recommended, but not required, to obtain a prepayment bond for awarded acquisition activities that exceed the Simplified Acquisition Threshold (SAT) (currently $250,000, but the applicable dollar threshold will be the SAT amount in place at the time of procurement) when recipients are contractually required to advance a down payment and when such advances contain no federal funds (only local funds). o Required Prepayment Bond: Per 2 C.F.R. § 200.304(b), recipients are required to obtain a prepayment bond for awarded acquisition activities that exceed the SAT; a prepayment bond is required when recipients are contractually required to advance a down payment and when such advances contain only federal funds or a combination of federal and local funds. Fidelity Bond. Reasonable costs of fidelity bonds (or like insurance as provided for by applicable state or tribal laws) covering the maximum amount of IBSGP funds the officer, official, or employee handles at any given time for all personnel who disburse or approve disbursement of IBSGP funds may be allowable if required by the terms and conditions of the award or if generally required by the tribe in its generally operations. If a fidelity bond is required by a recipient in its general operations, those costs must be charged as indirect costs. See 2 C.F.R. § 200.427. Encouraged Use of Certain Products Produced in the United States Pursuant to Executive Order 13858 "Strengthening_BO-American Preferences for Infrastructure Projects, " F E MA e n cfeodetrat enatigee undenthics grant program to use, to the greatest practicable and cminittent with the law, iron and aluminum as well as steel, cement, and other manufactured products produced in the United States, in projects funded by an award under this grant program affecting surface transportation, including roadways, bridges, railroads, and transit; aviation; ports, including navigational channels; water resources projects; energy production, generation, and storage, including from fossil -fuels, renewable, nuclear, and hydroelectric sources; electricity transmission; gas, oil, and propane storage and transmission; electric, oil, natural gas, and propane distribution systems; broadband internet; pipelines; stormwater and sewer infrastructure; drinking water infrastructure; and cybersecurity. Notwithstanding this encouragement, non-federal entities must take care that all procurements and contract actions are consistent with law, this Manual and applicable appendices, t h e g r a n t p r o g r a m' s N O F O, a n d .FtR.h§§e 200f3le7-&0c0.i826. 1p r o c u r IBSGP Appendix 2-01,56 8/20/2P1 E-9 Program Appendix F: Intercity Passenger Rail (IPR) Program As a reminder, while this appendix contains IPR-specific information and requirements, the main content of this Manual (non -appendix information) contains important information relevant to all preparedness grant programs, including the IPR. Please be sure to read the main content of this Manual in addition to the program -specific appendices. The IPR grant recipient may only use IPR grant funds for the purposes set forth in the Notice of Funding Opportunity (NOFO), and all investments must be consistent with the statutory authority for the award. Grant funds may not be used for matching funds for other federal awards, lobbying, or intervention in federal regulatory or adjudicatory proceedings. In addition, federal funds may not be used to sue the Federal Government or any other government entity. IPR Funding Guidelines Costs charged to a an IPR award must be consistent with the uniform administrative requirements and audit requirements for federal awards, located at 2 C.F.R. Part 200, Subparts A-D and F. For more information on 2 C.F.R. Part 200, please see Information Bulletin (IB.) 400 r e g a r d i n g F E MA implementation of these provisions prior to the recent 2020 revisions. For information on the recent revisions to these regulations, see 2 CFR Grants Management Policy pdates I FEMA.gov. Costs charged to an IPR 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. IPR Priorities See the annual IPR NOFO. Security Plan Requirements 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: • A p r i o n t i z e d l i s t o f a l l i t e ms i n c l u d e d that have not yet been addressed; • A detailed list of any additional capital and operational improvements identified by DHS or the p u b l i s transport at i on a g e n c y a n d a c e r t i 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 and appropriate evacuation and communication measures for the elderly and individuals with disabilities; • A coordinated response plan that establishes procedures for appropriate interaction with state and local law enforcement agencies, emergency responders, and federal officials in order to coordinate security measures and plans for response in the event of a terrorist attack or other major incident; i n f i c a t IPR Appendix�1023157 8/20/2024 • A strategy and timeline for conducting training under 49 C.F.R. § 1570.109(b) and 49 C.F.R. Part 1580; • 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; • 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 system. Allowable Costs Specific investments made in support of the funding priorities discussed in the annual IPR NOFO generally fall into one of the following six allowable expense categories: 1) Planning; 2) Operational Activities; 3) Equipment and Capital Projects; 4) Training and Awareness Campaigns; 5) Exercises; and 6) Management and Administration. The following provides guidance on allowable costs within each of these areas. Planning Planning activities that address the Soft Targets/Crowded Places Priority. IPR funds may be used for the following types of planning activities: • Development and enhancement of system -wide security risk management plans that ensure the continuity of essential functions, to include cyber; • Development or further strengthening of continuity plans, response plans, station action plans, risk assessments, and asset -specific remediation plans; • Development or further strengthening of security assessments, including multi -agency and multi - jurisdictional partnerships and conferences to facilitate planning activities; • Hiring of full or part-time staff and contractors or consultants to assist with planning activities only to the extent that such expenses are for the allowable activities within the scope of this grant (not for the purpose of hiring public safety personnel); hiring of contractors/consultants must follow the applicable federal procurement requirements at 2 C.F.R. § § 200.317-200.327 • Materials required to conduct planning activities; • Conducting risk and resilience assessments on increasingly connected cyber and physical systems, on which security depends, using the Infrastructure Resilience Planning Framework and related CISA resources; • Planning activities related to alert and warning capabilities; and • Other project planning activities, with prior approval from FEMA. IPR Appendix31023158 8/20/2024 Operational Activities Operational Activities that address the Soft Targets/Crowded Places Priority. FEMA encourages applicants to develop innovative operational approaches to enhance the security of transit systems. Projects that use visible, unpredictable deterrence, including operational packages dealing with explosive detection canine teams, mobile screening teams, and anti -terrorism teams, directly support enhancing the protection of soft targets and crowded places. Implementation of one of the three Operational Package (OPack) models discussed below complements existing security systems and provides an appropriate, practical, and cost-effective means of protecting assets. Agencies may submit IJs to fund transit security police forces/law enforcement providers for patrols and activities on overtime, such as directed patrols, additional canine teams, mobile screening teams, or anti- terrorism team patrols. These activities must be dedicated to the transit environment and must be anti- terrorism in nature. Agencies must identify the type of activity, length of operation (hours), number of personnel, and cost based on length of operation and personnel. Agencies should also provide a risk -based justification for the request, including linkage to a known event, such as hosting a significant regional sporting or political event; or a period of heightened awareness, such as a national holiday. Three OPack types have been developed to support operational activities and are available for funding under the IPR: Explosives Detection Canine Teams (EDCTs). When combined with the existing capability of a transit security/police force, the added value provided through the addition of an EDCT is significant. EDCTs are a proven, reliable resource to detect explosives and are a key component in a balanced counter -sabotage program. The TSGP will provide funds to establish dedicated security/police force canine teams. Each canine team will be composed of one dog and one handler. Anti -Terrorism Teams (ATTs). The ATT capability provided through TSGP funding is for uniformed, dedicated transit patrols on a normal operational basis, rather than using teams only for a surge capacity as provided by FEMA in the past. ATTs do not supersede other local transit security forces; rather, they augment current capabilities. Each ATT will consist of four individuals, including two overt elements (e.g., uniformed transit sector law enforcement officer, canine team, mobile explosive screeners), and two discreet observer elements. Mobile Explosive Screening Teams (MESTs). The MEST OPack will allow recipients the flexibility to deploy combinations of certified explosive ordinance technicians with mobile explosive screening technologies, including during local National Special Security Events. This screening technology will be coupled with mobile explosive screening technologies. Each MEST should have a minimum of two members and one mobile explosive screening apparatus. Note: Funds for canine teams may not be used to fund drug detection and apprehension technique training. Only explosives detection training for the canine teams will be funded. Five -Year Security Capital Plan and Operational Sustainment Applicant requests for OPack funding must include the submission of a Five -Year Security Capital and Operational Sustainment Plan in ND Grants. This plan must include how the agency proposes to implement capital projects and demonstrate how the agency will sustain the operational investments (including officers hired with federal funding) and capabilities after grant funding has been expended. Requests for OPacks will not be funded if the applicant does not have and submit a Security Capital and Operational Sustainment Plan. IPR Appendix�1023159 8/20/2024 F-3 Funding Availability for OPacks OPacks have the potential to be funded for up to a 36-month period from the award date. The monetary figures presented below are stated in terms of cost per period of performance (which indicates actual/complete funding for a 36-month period). Additionally, any OPack costs after the period of performance (including expenses related to the maintenance, personnel, equipment, etc.) are the responsibility of the applicable transit system. Additional funding may be applied for in future grant cycles to maintain this operational capability, but future funding is not guaranteed and requires approval. If these positions are not sustained, the public transportation agency may not be eligible for this personnel support in the future. The table below identifies the maximum funding available for the different OPack types. Available Funding for OPacks OPack Requirements IPR OPack funds may be used for new positions or to sustain existing capabilities/programs (e.g., canine teams) already supported by the recipient. Applicants pursuing both new OPacks and sustainment funding for existing OPacks must indicate in their IJs which funding the higher priority for their agency is. Additionally, applicants must provide the number of existing teams (EDCT, ATT, and MEST) already in place, regardless of how they are funded. The below table identifies specific OPack requirements. OPack Requirements Operational EDCT Requirements Please refer to the pages below for detailed information regarding EDCTs under the IPR Specific for the Canine Team within the ATT: • Each canine team, composed of one dog and one handler, must be certified by an appropriate, qualified organization • Canines should receive an initial basic training course and also weekly maintenance training sessions thereafter to maintain the certification • The basic training averages 10 weeks for the team, with weekly training and daily exercising (comparable training and certification standards, such as ATT those promulgated by the Transportation Security Administration (TSA) Explosive Detection Canine Program), the National Police Canine Association (NPCA), the United States Police Canine Association (USPCA), or the International Explosive Detection Dog Association (IEDDA) may be used to meet this requirement • The individuals hired for the covert and overt elements must be properly trained law enforcement officers • Certifications should be on file with the recipient and must be made available to FEMA upon request MEST Certifications should be on file with the recipient and must be made available to FEMA upon request IPR Appendix36023160 8/20/2024 Allowable Expenses for OPacks The table below identifies allowable expenses for the various OPacks. Please see the accompanying notes for clarification of certain allowable costs. Allowable Expenses for OPacks Specific Guidance on EDCT EDCT Certification Each 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 September 14, 2007, in addition to the requirements set forth in the NOFO. EDCT 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 E x p l o s i v e s' P u b l i c a �(Oi9/Oo0)n Fed5erk1(E'xQ)1osiTe La(wAnTl Regu]Pation5; 4 0 0 3) The recipient will ensure that cer'lified 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 IPR-funded EDCTs are not available, other, non-IPR 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; IPR Appendix�6023161 8/20/2024 4) EDCTs under this gra n t a r e s i n g l e p u r p o s e a n d w i 1 1 b e t r n o t s i in u l a .tEDe GFs"musd rrotlJiabecres;eive)d presvious training to detect any other 5) Ti&siasi nt 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 affect public safety or mass transit operations. The recipient will also ensure that such activities include, over a period of time, 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 t r a n s i t s y s t e m, h a n d l e r s' r e sGanihecs must cot by leftcinr c o in 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. Equipment and Capital Projects Equipment and Capital Projects that address the Soft Targets/Crowded Places and Cybersecurity Priorities. Priority projects include Top Transit Asset List (TTAL) risk remediation and protection of other high - risk, high -consequence areas or systems that have been identified through system -wide risk assessments: Projects related to physical security enhancements at rail and bus stations in Urban Area Security Initiative (UASI) jurisdictions, including security cameras, security screening equipment for people and baggage, and access control (e.g., fences, gates, barriers, etc.); and Projects related to cybersecurity of access control, sensors, security cameras, badge/ID readers, Industrial Control System (ICS)/Supervisory Control and Data Acquisition (SCADA) systems, process monitors and controls, etc. or passenger/vehicle/cargo security screening equipment support. Cybersecurity assessments are allowable. Equipment Acquisition IPR funds may be used for the following categories of equipment. A comprehensive listing of allowable equipment categories and types is found in the Authorized Equipment List (AEL). These costs include: • Personal protection equipment; • Explosive device mitigation and remediation equipment; IPR Appendix36023162 8/20/2024 • Chemical, biological, radiological, nuclear, and high explosive (CBRNE) operational search and rescue equipment, logistical support equipment, reference materials, or incident response vehicles; • Interoperable communications equipment, including for alert and warning capabilities; • Components or systems needed to address flaws in the computerized systems that control generators, switching stations, and electrical substations as well as other threats to infrastructure critical to the U.S. economy; • Detection Equipment; • Power equipment; • Terrorism incident prevention equipment; and • Physical security enhancement equipment. Recipients may purchase equipment not listed on the AEL, but only if they first seek and obtain prior approval from FEMA. Unless otherwise noted, equipment must be certified as meeting required regulatory and FEMA-adopted standards to be eligible for purchase using IPR funds. Equipment must comply with the Occupational Safety and Health Act requirement for certification of electrical equipment by a nationally recognized testing laboratory and demonstrate compliance with relevant FEMA-adopted standards through a suppl i e r ' s decl a at i on of c o n f or in t y wi t h a p p r op Organization for Standardization/International Electro-technical Commission (ISO/IEC) 17050, Parts One and Two. The recipient must have all necessary certifications and licenses for the requested equipment, as appropriate, prior its purchase. In addition, recipients that are using IPR funds to support emergency communications equipment activities must comply with the SAFECOM Guidance on Emergency Communications Grants, including provisions on technical standards that ensure and enhance interoperable communications. This SAFECOM Guidance can be found at: https://www.cisa.gov/safecom/funding. 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 i n c l u d e a d e s c r i p t i o n o f t h e p o t i c i e s a n d p r o c e d u r 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 IPR 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 IPR 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. The U. S. De p a r t me n t o f Home 1 and S e c u r i t y' s P r i v a c y Of transmission and storage issues with vendors to reduce the possibility of data breaches. Additionally, the Joint Explanatory Statement (JES) accompanying the FY 2023 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 foreign - made versus domestic sUAS. IPR Appendix36023163 8/20/2024 Acquisition and Use of Technology to Mitigate UAS (Counter-UAS) In August 2020, FEMA was alerted you of an advisory guidance document issued by DHS, the Department of Justice, the Federal Aviation Administration, and the Federal Communications Commission: https://www.dhs.gov/publication/interagency-legal-advisory-uas-detection-and-miti atg ion- technolo ies. The purpose of the advisory guidance document is to help non-federal public and private entities better understand the federal laws and regulations that may apply to the use of capabilities to detect and mitigate threats posed by UAS operations (i.e., Counter-UAS or C-UAS). The Departments and Agencies issuing the advisory guidance document, and FEMA, do not have the authority to approve non-federal public or private use of UAS detection or mitigation capabilities, nor do they conduct legal reviews of commercially available product compliance with those laws. The advisory does not address state and local laws nor potential civil liability, which UAS detection and mitigation capabilities may also implicate. It is strongly recommended that, prior to the testing, acquisition, installation, or use of UAS detection and/or mitigation systems, entities seek the advice of counsel experienced with both federal and state criminal, surveillance, and communications laws. Entities should conduct their own legal and technical analysis of each UAS detection and/or mitigation system and should not rely solely on vendors' representations of the systems' legality or functionality. Please also see the DHS press release on this topic for further information: htlps://www.dhs.gov/news/2020/08/17/interagency-issues-advisory-use- technology-detect-and-mitigate-unmanned-aircraft. Cybersecurity Projects IPR funds may be used for projects that enhance the cybersecurity of: Access controls, sensors; security cameras, badge/ID readers, ICS/SCADA systems, process monitors and controls (such as firewalls, network segmentation, predictive security cloud, etc.); and • Passenger/vehicle/cargo security screening equipment (cybersecurity assessments are allowable). 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 Cybersecurily (the "Fr amewor k " ) , devel o p e d by t he Nat i o. The Hramelwnrks t i t ut 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 ways to improve their programs, such as through better communication with their leadership and suppliers about management of cyber risks. T h e C y b e r s e c u r i t y a n d I EISAr) Gri! iclaliinfirastrtictrarr CeyberSC®mcmuni tyi t a g 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 www.cisa.gov/ccubedvp. DHS ' s E n h a n c e d Cy b e r s e c u r i t y S e r v i c e s ( E C S) p r o g protecting U.S.-based public and private entities and combines key elements of capabilities under the " De t Malt '°` Pa o f e c t" f u n c t i o n s t o d e l i v e r a n i mp a c t f 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 IPR Appendix�6023164 8/20/2024 — "_ sensitive and classified Government Furnished Information. DHS then shares those indicators with accredited Commercial Service Providers (CSPs). Those CSPs in turn use the indicators to block certain t y p e s o f ma t i c i o u s t r a f f i cGrofips inotemcsted in Aubcscribingntog c o m p a must contract directly with a CSP in order to reservices. Please visit http://www.cisa.gov/enhanced- cybersecurity-services-ecs for a current list of ECS CSP points of contact. Capital (Construction) Projects Guidance The recipient must obtain written approval from FEMA prior to the use of any IPR 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, any other locally required planning permits. Additionally, the recipient is required to submit a SF-424C and budget detail citing the project costs and an SF-424D Form for standard assurances for the construction project. All construction or renovation projects require Environmental Planning and Historic Preservation (EHP) review. The recipient is also 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 the relevant 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, EHP Directive and Instruction, FEMA Directive 108-1, and FEMA Instruction 108-1-1, must also be identified to the FEMA HQ Preparedness Officer within the first six months of the award, regardless of the length of the period of performance. Completed EHP review materials for construction and communication tower projects must be submitted no later than 12 months before the end of the period of performance. EHP policy guidance and the EHP Screening Form can both be found on FEMA.gov. EHP review materials should be sent to gpdehpinfogfema. dhs. gov. If the recipient uses funds for construction projects, it must comply with the Davis -Bacon Act (codified as amended at 40 U.S.C. §§ 3141 et seq.). See 6 U.S.C. § 1163(h) (cross-referencing 49 U.S.C. § 24312, which cross-references Davis -Bacon). It must ensure that its 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 the Department of Labor (DOL) wage determinations, is available at https://www.dol.gov/whd/govcontracts/dbra.htm. Training and Awareness Campaigns Training and Awareness Campaigns that address the Soft Targets/Crowded Places and Cybersecurity Priorities. Training IPR funds may be used for the following training activities: • Training Topics. Priority topics include active shooter training, security training for employees, and public awareness/preparedness campaigns. • Training Workshops. Grant funds may be used to plan and conduct training workshops, including costs related to planning, meeting space and other meeting costs, facilitation costs, materials and supplies, travel, and training plan development. The recipient is strongly IPR Appendix36023165 8/20/2024 — " encouraged to use free public space, locations, or facilities, whenever available, prior to the rental of space, locations, or facilities. Training should provide the opportunity to demonstrate and validate skills learned as well as to identify any gaps in these skills. Any training or training gaps, including those for children and individuals with disabilities or other access and functional needs, should be identified in an After -Action Report/Improvement Plan (AAR/IP) and addressed in the training cycle. • Hiring of Full or Part -Time Staff or Contractors/Consultants. Full or part-time staff or contractors/consultants may be hired to support training -related activities. Reimbursement of these costs should conform with the policies of recipient, as well as any applicable federal and FEMA policies, rules, and regulations. Hiring of contractors/consultants must follow the applicable federal procurement requirements at 2 C.F.R. §§ 200.317-200.327. Dual compensation is unallowable, in other words, an employee of a unit of government may not receive compensation from their unit or agency of government and from an award for a single period of time (e.g., 1:00 p.m. to 5:00 p.m.), even though such work may benefit both activities. Personnel hiring, overtime, and backfill expenses are permitted under this grant only to the extent that such expenses are for allowable activities within the scope of the grant. • Overtime and Backfill Costs. The entire amount of overtime costs, including payments related to backfilling personnel, that are the direct result of attendance at FEMA and approved training courses and programs are allowable. Reimbursement of these costs should follow the policies of the recipient, as well as any applicable federal and FEMA policies, rules, and regulations. state. Dual compensation is never allowable. • Travel. Domestic travel costs (e.g., airfare, mileage, per diem, and hotel) are allowable as expenses by employees who are on travel status for official business related, approved training, subject to the restrictions at 2 C.F.R. Part 200. International travel is not an allowable expense. • Supplies. Supplies, items that are expended or consumed during the course of the planning and conduct of the training project(s) (e.g., gloves and non -sterile masks), are allowable expenses. • Funds Used to Develop, Deliver, and Evaluate Training. Funds used to develop, deliver, and evaluate training, including costs related to administering the training, planning, scheduling, facilities, materials and supplies, reproduction of materials, and equipment are allowable expenses. Training should provide the opportunity to demonstrate and validate skills learned as well as to identify any gaps in these skills. Any training or training gaps, including those for children and individuals with disabilities or other access and functional needs, should be identified in the AAR/IP and addressed in the training cycle. Recipients are encouraged to use existing training rather than developing new courses. When developing new courses, recipients are encouraged to apply the Analysis, Design, Development, Implementation, and Evaluation (ADDIE) model of instructional design. Information on FEMA-approved training can found at http://www.firstrespondertrainin�z. gov/. Awareness Campaigns IPR funds may be used for the development and implementation of awareness campaigns to raise public awareness of indicators of terrorism and terrorism -related crime and for associated efforts to increase the sharing of information with public and private sector partners, including nonprofit organizations. DHS currently sponsors or supports a number of awareness campaigns. Please review materials, strategies, and resources at https://www.dhs.gov/dhs-campaigns before embarking on the development of an awareness campaign for local constituencies and stakeholders. Note: DHS requires that all public and private sector partners wanting to implement and/or expand the DHS " I f Y o u S e e S o me t h i n g, S a y Some t h vior1r #ir&t'ly c a m p a with the DHS Office of Partnership and Engagement (OPE). This will help ensure that the awareness IPR Appendix36023166 8/20/2W-10 materials (e.g., videos, posters, trifolds, e t c. ) r e ma i n c o n s i s t e n t w i t h D H S campaign and compliant with t h e i n i t i a t i v e' s t r a d e m a r k, w h i c h i s Metropolitan Transportation Authority. C o o r d i n a t i o n w i t h OP E, t h r o u g h t h (seesay@hq.dhs.gov), must be facilitated by the FEMA Preparedness Officer. Exercises Exercise activities that address the Soft Targets/Crowded Places and Cybersecurity Priorities. IPR funds may be used for the following exercise activities: • Funds Used to Design, Develop, Conduct and Evaluate an Exercise. This includes costs related to planning, meeting space and other meeting costs, facilitation costs, materials and supplies, travel, and documentation. Exercises afford organizations the opportunity to validate plans and procedures, evaluate capabilities, and assess progress toward meeting capability targets in a controlled, low risk setting. Any shortcomings or gaps identified, including those for children and individuals with disabilities or other access and functional needs, should be identified in an effective corrective action program that includes development of improvement plans that are dynamic documents, with corrective actions continually monitored and implemented as part of improving preparedness through the exercise cycle. • Hiring of Full or Part -Time Staff or Contractors/Consultants. Full or part-time staff may be hired to support exercise -related activities. Reimbursement of these costs should conform with the policies of the recipient, as well as any applicable federal and FEMA policies, rules, and regulations. Dual compensation is not allowable, meaning, in other words, that an employee of a unit of government may not receive compensation from their unit or agency of government and from an award for a single period of time (e.g., 1:00 p.m. to 5:00 p.m.), even though their work may benefit both entities. Personnel hiring, overtime, and backfill expenses are permitted under this grant only to the extent that such expenses are for the allowable activities within the scope of the grant. The recipient must follow all applicable procurement regulations at 2 C.F.R. Part 200 when procuring contractor services. • Overtime and Backfill Costs. The entire amount of overtime costs, including payments related to backfilling personnel, which are the direct result of time spent on designing, developing, and conducting exercises are allowable expenses. These costs are allowed only to the extent the payment for such services is in accordance with the policies of the recipient and has the approval of the awarding agency, if applicable. Dual compensation is never allowable. • Travel. Domestic travel costs are allowable as expenses by employees who are on travel status for official business related to the planning and conduct of exercise project(s), subject to the restrictions at 2 C.F.R. Part 200. International travel costs are not allowable expenses. • Supplies. Supplies are items that are expended or consumed during the course of the planning and conduct of the exercise project(s) (e.g., gloves, non -sterile masks, and disposable protective equipment). • Other Items. These costs include the rental of space or locations for exercise planning and executing, rental of equipment, etc. The recipient is encouraged to use free public space, locations, or facilities, whenever available, prior to the rental of space, locations, or facilities. These also include costs that may be associated with inclusive practices and the provision of reasonable accommodations and modifications to provide full access for children and adults with disabilities. IPR Appendix36023167 8/20/2W-11 Management and Administration (M&A) Management and administration costs are allowed under this program. M&A costs are activities directly related to managing and administering the award. The recipient may use up to 5% of the amount of the award for its M&A costs. Fiscal Year 2023 IPR funds may be used for the following M&A costs: • Hiring of full-time or part-time staff, including contractors and consultants, to execute the following: o Management of the current fiscal year IPR Award; and o Design and implementation of the current fiscal year IPR submission meeting compliance with reporting/data collection requirements, including data calls. • Information collection and processing necessary to respond to FEMA data calls; • Domestic travel expenses related to IPR grant administration, in compliance with the Super Circular, 2 C.F.R. Part 200; and • Acquisition of authorized office equipment, including personal computers or laptops for IPR M&A purposes. Indirect Costs Indirect costs are allowable under this program as described in the Federal Acquisition Regulation (FAR). S e e t h e P r o c e d u r e s f o r E s t a b l-Si us bhmi insgs iI onnd i Ir ne fc of r mCaots more information. Unallowable Costs Specific unallowable costs include: • 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 prohibited equipment: firearms, ammunition, grenade launchers, bayonets, or weaponized aircraft, vessels, or vehicles of any kind with weapons installed. Expenditures for items unrelated to grant allowable activities, such as general -use software, general -use computers, and related equipment (other than for allowable M&A activities or for other associated preparedness or response functions), general -use vehicles, licensing fees, weapons systems, and ammunition are also prohibited; • Personnel costs (except as detailed above or otherwise allowed by statute); • Activities unrelated to the completion and implementation of the IPR program; • Other items not in accordance with the AEL or not previously listed as allowable costs; • Costs related to any matching or cost share requirement for any other federal award; • Costs related to lobbying or intervention in federal regulatory proceedings; • Costs related to suing the Federal Government or any other government entity; • Pre -award costs, unless approved in writing by FEMA and included in the grant award; and • Costs that are not consistent with the Cost Principles located in FAR 31.2, as applicable. Maintenance and Sustainment Costs The use of FEMA preparedness grant funds for maintenance contracts, warranties, repair or replacement costs, upgrades, and user fees are allowable under all active and future grant awards, unless otherwise noted. Preparedness grant funds may be used to purchase maintenance contracts or agreements, warranty coverage, licenses, and user fees. These contracts may exceed the period of performance if they are purchased incidental to the original purchase of the system or equipment as long as the original purchase IPR Appendix36023168 8/20/2W-12 of the system or equipment is consistent with that which is typically provided for, or available through, these types of agreements, warranties, or contracts. When purchasing a stand-alone warranty or extending an existing maintenance contract on an already -owned piece of equipment system, coverage purchased may not exceed the period of performance of the award used to purchase the maintenance agreement or warranty. As with warranties and maintenance agreements, this extends to licenses and user fees as well. Grant funds are intended to support the National Preparedness Goal and to fund projects that build and sustain the core capabilities necessary to prevent, protect against, mitigate the effects of, respond to, and recover from those threats that pose the greatest risk to the security of the Nation. In order to provide recipients with the ability to meet this objective, the policy set forth originally 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 that must be (1) in direct support of existing capabilities, (2) an otherwise allowable expenditure under the applicable grant program, and (3) tied to one of the core capabilities in the five mission areas outlined in the Goal. Additionally, eligible costs may also be in support of equipment, training, and critical resources that have previously been purchased with either federal grant or any other source of funding other than FEMA preparedness grant program dollars. Encouraged Use of Certain Products Produced in the United States P u r s u a n t t o E x e &reungtthienage BuyOArmdrican Preferin&ems fhr Inftastructure Projects, " F E MA e n cfealeiraf enatiges underrthics grant program to use, to the greatest pxic&able and consistent with the law, iron and aluminum as well as steel, cement, and other manufactured products produced in the United States, in projects funded by an award under this grant program affecting surface transportation, including roadways, bridges, railroads, and transit; aviation; ports, including navigational channels; water resources projects; energy production, generation, and storage, including from fossil -fuels, renewable, nuclear, and hydroelectric sources; electricity transmission; gas, oil, and propane storage and transmission; electric, oil, natural gas, and propane distribution systems; broadband internet; pipelines; stormwater and sewer infrastructure; drinking water infrastructure; and cybersecurity. Notwithstanding this encouragement, non-federal entities must take care that all procurements and contract actions are consistent with law, this Manual and applicable appendices, t h e g r a n t p r o g r a m' s N O F O, a n d t h e f e &W.B26.1 p r o c u r IPR Appendix36023169 8/20/2W-13 Program Appendix G: Port Security Grant Program (PSGP) As a reminder, while this appendix contains PSGP-specific information and requirements, the main content of this Manual (non -appendix information) contains important information relevant to all preparedness grant programs, including the PSGP. Please be sure to read the main content of this Manual in addition to the program -specific appendices. PSGP grant recipients and subrecipients may only use PSGP grant funds for the purposes set forth in the Notice of Funding Opportunity (NOFO), and all investments must be consistent with the statutory authority for the award. These grant funds may not be used for matching funds for other federal awards, lobbying, or intervention in federal regulatory or adjudicatory proceedings. In addition, federal funds may not be used to sue the Federal Government or any other government entity. PSGP Funding Guidelines Costs charged to a PSGP 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. For more information on 2 C.F.R. Part 200, please visit Information Bulletin (IB,) 400 r e g a r d i n igipleFneFntM&'ofsthese provisions prior to the recent 2020 revisions. For information on the recent revisions to these regulations, see 2 CFR Grants Management PolicyUpdates I FEMA.gov. PSGP Priorities See the annual PSGP NOFO. Limitations on Funding As part of the PSGP application process, applicants must complete the approved Investment Justification (IJ) template and included detailed budget sheets (incorporated into the IJ) provided addressing each initiative being proposed for funding. A single IJ should be submitted with each application. Each IJ should include all proposed projects in separate tabs within the IJ. Altered IJs or IJs that have been separated into multiple attachments will not be considered for funding. A corresponding detailed budget tab is included within the IJ and must be completed for each project, including the budget summary at the bottom of the form. Each project should represent the complete scope of work and materials required to achieve a single overall capability. For example, a project could be to procure a boat specifically designed and equipped as chemical, biological, radiological, nuclear and explosives (CBRNE) detection, prevention, response, and/or recovery platform. The IJ for this example project should include the CBRNE equipment in the same IJ as the vessel. The corresponding detailed budget should include a description of the equipment (i.e., 2 4 ' Response Vessel) and computation (i.e., 1 x $375,000, total $375,000; Vessel mounted Rad/Nuke detection device, 1 x $25,000, total $25,000). Additionally, the total computation for the Total Project Cost, Federal Share, and non -Federal Share must be included in the detailed budget (i.e., Total $400,000; Federal Share $300,000; non -Federal Share $100,000). This demonstrates that the applicant and FEMA understand the level of Federal funding requested, as well as a commitment to the Cost Share required by the applicant to compl et e the §ihaj ccbr Wtch'C6sit t he PSGP NOFO) PSGP Program Apo&4ixl M23 8/20/2(D24e G-1 In accordance with 46 U.S.C. § 70107(b)(2), PSGP funding for projects for the cost of acquisition, operation, and maintenance of security equipment or facilities to be used for security monitoring and recording, security gates and fencing, marine barriers for designated security zones, security -related lighting systems, remote surveillance, concealed video systems, security vessels, and other security -related infrastructure or equipment that contributes to the overall security of passengers, cargo, or crewmembers cannot exceed $1 million federal share per proiect. The $1 million per project limitation applies only to those projects funded under 46 U.S.C. § 70107(b)(2) and does not apply to projects funded under other provisions of Section 70107. Allowable Direct Costs Specific investments made in support of the funding priorities discussed in the annual PSGP NOFO generally fall into one of the following six allowable expense categories: • Planning; • Operational Activities; • Equipment and Capital Projects; • Training and Awareness Campaigns; • Exercises; and • Management and Administration. The following provides guidance on allowable costs within each of these areas. Planning Planning activities address the Soft Targets/Crowded Places; Cybersecurity; and Planning Priorities. PSGP funds may be used for the following types of planning activities: • Development or updating of port wide risk mitigation plan (PRMP), including the conduct of port security vulnerability assessments as necessary to support plan update/development; • Development and enhancement of security plans and protocols within the Area Maritime Security Plan (AMSP), PRMP, and the Business Continuity and Resumption of Trade Plans (BCRTP) in support of maritime security and risk mitigation planning; • Materials required to conduct planning activities noted in this section; • Travel and per diem related to the professional planning activities noted in this section; • Coordination and information sharing with fusion centers; • Planning activities related to alert and warning capabilities; • Conducting risk and resilience assessments on increasingly connected cyber and physical systems, on which security depends, using the Infrastructure Resilience Planning Framework and related CISA resources; • Other port wide maritime security project planning activities, which emphasize the ability to adapt to changing conditions and be prepared to withstand, and recover from, disruptions due to emergencies with prior approval from FEMA; and • Backfill, overtime, hiring of part-time temporary personnel, and contractors or consultants to assist with planning activities. Copies of PSGP-funded plans must be made available to FEMA and the U. S. Coast Guard (USCG) upon request. PSGP Program Apo&4ixl M23 8/20/2@24e G-2 Operational Activities Operational Activities address the Soft Targets/Crowded Places Priority. Explosive Detection Canine Teams (EDCTs) Use of canines (K-9) for explosive detection is one of the most effective solutions for the detection of vehicle -borne IEDs. When combined with the existing capability of a port or ferry security/police force, the added value provided through the addition of a canine team is significant. EDCTs are a proven, reliable resource to detect explosives and are a key component in a balanced counter -sabotage program. Eligibility for funding of EDCTs is restricted to: U.S. Ferry Systems regulated under 33 C.F.R. Parts 101, 103, 104, and the passenger terminals these specific ferries service under 33 C.F.R. Part 105; Maritime Transportation Security Act (MTSA) regulated facilities; and Port authorities, port police, and local law enforcement agencies that provide direct layered security for these U. S. Ferry Systems and MTSA-regulated facilities, and are defined in an AMSP, Facility Security Plan (FSP), or Vessel Security Plan (VSP). Applicants may apply for up to $450,000 ($150,000/year for three years) per award to support this endeavor. At the end of the grant period (36 months), recipients will still be responsible for continuing the heightened level of capability provided by the EDCT. A sustainment plan must be submitted with the applicant's IJ to address the 12-month period beyond the period of performance of the award. Eligible EDCT Costs Funds for these EDCTs may not be used to fund drug detection and apprehension technique training. Only explosives detection training for EDCTs will be funded. The PSGP EDCT funds may only be used for new or expanded capabilities/programs and cannot be used to pay for existing K-9 teams, personnel, or K-9 training costs already supported by the port area. Repair and replacement of existing EDCT equipment is allowed. Eligible costs include: • Contracted K-9 and handler providing services in accordance with PSGP guidance; • Salary and fringe benefits of new full- or part-time K-9 handler positions; • Training and certifications (travel costs associated with training for new or expanded full or part time agency handlers, and canines are allowable); • K-9 and handler equipment costs; • Purchase and train a new K-9 and handler for CBRNE detection; and • K-9 maintenance costs including but not limited to veterinary, housing, and feeding costs. Ineligible EDCT costs include, but are not limited to: • Hiring costs, including costs associated with initial police academy training of new officers; • Meals and incidentals associated with travel for initial certification; • Vehicles modified to be used solely to transport canines; and • Repair or replacement of unallowable equipment. EDCT Certification Each EDCT, composed of one dog and one handler, must be certified by an appropriate, qualified organization. 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 PSGP Program Apo&4ixl M23 8/20/2@24e G-3 certification standards, such as those promulgated by the Transportation Security Administration (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. EDCT Submission Requirements Successful applicants will be required to submit an amendment to their approved VSP or FSP per 33 C.F.R. Parts 104 and/or 105 detailing the inclusion of a K-9 explosive detection program into their security measures. The recipient will ensure that a written plan or standard operating procedures (SOPS) exist that describe EDCT deployment policy to include visible and unpredictable deterrent efforts and on -call EDCTs rapid response times as dict a t e d b y t h e a. j'hc plan or SOPs nTRs8bP madoeravail'ab& Po 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 B u r e a u o f Al c o h o l T o b a c c o, F i Publication 5400.7 (ATF P 5400.7) (09/00), Federal Explosive Law and Regulations. Additional EDCT Resources Available for K-9 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. Organization Costs Allowable organization -related costs are limited to those activities associated with new and ongoing maritime security operations essential to the national priorities. All such activities must be focused exclusively on maritime security and coordinated with the local Captain of the Port (COTP). PSGP funding used for organizational costs will only fund immediate needs for personnel that will be directly engaged in maritime security activities. Allowable organization personnel costs include: Backfill, Overtime, Hiring of Full or Part -Time Personnel or Contractors/Consultants. Full or part-time staff or contractors/consultants may be hired to support maritime -security -related activities and/or training conducted under this grant only to the extent that such expenses are for the allowable activities within the scope of the grant. Hiring of contractors/consultants must follow the applicable federal procurement requirements at 2 C.F.R. §§ 200.317-200.327. Salary and fringe benefit payments must be in accordance with the policies of the state or unit(s) of local government and have the approval of the state or awarding agency. Dual compensation is not allowable. That is, an employee of a unit of government may not receive compensation from their unit or agency of government AND from an award for a single period of time (e.g., 1:00 p.m. to 5:00 p.m.), even though such work may benefit both activities. Limitations may apply for grant related activities. See specific guidance provided within this Manual for additional details on allowable organization costs (i.e., Training — Personnel costs are limited to backfill and overtime). Hiring new, full-time personnel to: o Operate maritime security patrol vessels (first response agencies only); o Staff a new or expanded interagency maritime security operation center; o Support maritime security/counterterrorism efforts in the local Joint Terrorism Task Force (JTTF) and/or fusion center; and o Support credentialing access to a MTSA facility. Backfill and Overtime costs for existing personnel to: PSGP Program Apo&4ixl 7323 8/20/2@24e G-4 o Operate patrol vessels in support of pre -planned, mission critical activities, as identified by the local COTP (not including routine patrol); and o Attend approved maritime security training courses. Personnel or contracted costs to: o Install, repair, and replace port security equipment acquired with FEMA preparedness grant funds. Note this does not include routine maintenance, such as oil changes and daily/weekly systems tests; and o Management and administration (M&A) of projects funded under this program. Contracted costs to: o Provide approved training courses; and o Provide warranty, maintenance, and service agreements for equipment purchased under this grant. Organization costs will only be funded to address port (or facility) security needs as outlined in the NOFO and this appendix. PSGP funding for new permanent or part-time personnel will not exceed the 36-month period of performance. Applicants must provide reasonable assurance that personnel costs can be sustained beyond the 36-month award period. A sustainment plan must be submitted with the applicant's IJ to address the 12-month period beyond the period of performance of the award. Equipment and Capital Projects Equipment and Capital Projects address the Soft Targets/Crowded Places; Cybersecurity; and Equipment/Capital Projects Priorities. Equipment Acquisition PSGP funds must comply with FEMA Policy 207-22-0002, Prohibited or Controlled Equipment Under FEMA Awards. PSGP funds may be used for the following categories of equipment. A comprehensive listing of allowable equipment categories and types is found in the Authorized Equipment List (AEL). Requests for vehicles of any type are subject to secondary review and approval by the National Review Panel. These costs include: • Personal Protective Equipment (PPE) for maritime security providers, such as ballistic protective body armor (not including uniforms); • CBRNE response and remediation equipment for maritime security providers; • CBRNE decontamination equipment for direct maritime security providers and MTSA-regulated industry; • CBRNE detection -equipped patrol vehicles (not including armored personnel carriers or tow trucks), provided they will be used exclusively for port/facility CBRNE detection security operations. A CBRNE detection equipped patrol vehicle must include specifically identified, permanently mounted detection equipment; • Trailers (not vehicles) designed to carry maritime security equipment essential to maritime security, mitigation, and response (such as boat trailers, dive trailers, or mobile command trailers); • Mobile Command Centers only when validated by the COTP as essential to address a specifically required capability outlined in the approved AMSP. This does not include prime movers (tow -trucks), personnel carriers, or equipment transport vehicles; • CBRNE detection -equipped and patrol watercraft vessel/small boat used to directly support maritime security for a facility or within a Port Area on a routine basis (CBRNE detection equipment requested with the watercraft/small boat in the IJ must be listed and also detailed in the budget). However, a vessel is not required to be CBRNE equipped; PSGP Program Apo&4ixl 7423 8/20/2024e G-5 • Marine firefighting vessels, provided they are outfitted with CBRNE detection equipment and are designed and equipped to meet NFPA 1925: Standard on Marine Fire -Fighting Vessels; • Firefighting foam and Purple-K Powder (PKP) may be purchased by public fire departments that have jurisdictions in a port area and would respond to an incident at an MTSA regulated facility; MTSA facilities may also receive funding for this purpose. Funding will be limited to a one-time purchase based on a worst -case incident at the facility or facilities; • Information -sharing technology; components or equipment designed to share maritime security risk information and maritime all -hazards risk information with other agencies (equipment must be compatible with generally used equipment); • Maritime security risk mitigation interoperable communications equipment, including alert and warning capabilities; • Terrorism incident prevention and response equipment for maritime security risk mitigation; • Physical security enhancements, to include TWIC projects (e.g., card readers, fences, blast resistant glass, turnstiles, hardened doors, and vehicle gates) at maritime facilities; • Portable fencing, closed-circuit televisions (CCTVs), passenger vans, minibuses, etc. to support secure passage of vessel crewmembers through a MTSA regulated facility; • Equipment that enhances continuity capabilities, such as interoperable communications, intrusion prevention/detection, physical security enhancements, software and other equipment needed to support essential functions during a disruption to normal operations; • Generators with appropriate capability (size) to provide back-up power to security systems and equipment that support Maritime Domain Awareness (not including routine operational capabilities): o Access control equipment and systems; o Detection and security surveillance equipment; and o Enhancement of Command -and -Control facilities. • Equipment for new personnel, such as personal protective equipment, is an allowable expense. Weapons and equipment associated with weapons maintenance/security (e.g., firearms, ammunition, and gun lockers) are not allowable. Recipients may purchase maritime security equipment not listed on the AEL, but only if they first seek and obtain prior approval from FEMA. In addition, recipients that are using PSGP funds to support emergency communications equipment activities must comply with the SAFECOM Guidance on Emergency Communications Grants, including provisions on technical standards that ensure and enhance interoperable communications. This SAFECOM Guidance can be found at https://www.cisa.gov/safecom/funding. 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 pr o c e d u r e s i n p l a c e t o s a f e g u a r d i 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 PSGP 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 PSGP 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. The U.S. De p a r t me n t o f Ho me l a n d S e c u r i t y' s P r i v a c y Of f i c e and storage issues with vendors to reduce the possibility of data breaches. PSGP Program Apondixl M23 8/20/2@24e G-6 Additionally, the Joint Explanatory Statement (JES) accompanying the FY 2023 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 foreign -made versus domestic sUAS. Acquisition and Use of Technology to Mitigate UAS (Counter-UAS) In August 2020, FEMA was alerted of an advisory guidance document issued by DHS, the Department of Justice, the Federal Aviation Administration, and the Federal Communications Commission: https://www.dhs. gov/publication/interagency-legal-advisory-uas-detection-and-mitigation-technologies. The purpose of the advisory guidance document is to help non-federal public and private entities better understand the federal laws and regulations that may apply to the use of capabilities to detect and mitigate threats posed by UAS operations (i.e., Counter-UAS or C-UAS). The Departments and Agencies issuing the advisory guidance document, and FEMA, do not have the authority to approve non-federal public or private use of UAS detection or mitigation capabilities, nor do they conduct legal reviews of commercially available product compliance with those laws. The advisory does not address state and local laws nor potential civil liability, which UAS detection and mitigation capabilities may also implicate. It is strongly recommended that, prior to the testing, acquisition, installation, or use of UAS detection and/or mitigation systems, entities seek the advice of counsel experienced with both federal and state criminal, surveillance, and communications laws. Entities should conduct their own legal and technical analysis of each UAS detection and/or mitigation system and should not rely solely on vendors' representations of the systems' legality or functionality. Please also see the DHS press release on this topic for further information: https://www.dhs.gov/news/2020/08/17/interagency-issues-advisory-use-technology- detect-and-mitigate-unmanned-aircraft. Sonar Devices The four types of allowable sonar devices are: imaging sonar, scanning sonar, side scan sonar, and three- dimensional sonar. These types of sonar devices are intended to support the detection of underwater improvised explosive devices and enhance maritime domain awareness. The eligible types of sonar, and short descriptions of their capabilities, are provided below: 1) Imaging Sonar: A high-f r e q u e n c y s o n a r -1 ti lic x t" p rinoa cg to ar qj s u `§ 4 in cg e of view. The sonar system can be pole -mounted over the side of a craft or hand -carried by a diver. 2) Scanning Sonar: Consists of smaller sonar systems that can be mounted on tripods and lowered to the bottom of the waterway. Scanning sonar produces a panoramic view of the surrounding area and can cover up to 360 degrees. 3) Side Scan Sonar: Placed inside a shell and towed behind a vessel. Side scan sonar produces strip - like images from both sides of the device. 4) Three -Dimensional Sonar: Produces 3-dimensional imagery of objects using an array receiver. Maritime Domain Awareness Maritime domain is defined as " Id 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, c a r g o, a n d v e s s e l sHomaelranc& SecourtityhPcesridentdaloDlirecti&eyl3 (iNScPDe -4s l/.HS"PD- 13) (Maritime Security Policy, December 21, 2004). According to the National Plan to Achieve Maritime Domain Awareness for the National Strategy for Maritime Security (Oct. 2005), "Maritime Domain PSGP Program Apo&4ixl TS23 8/20/202ge G-7 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. Applicants are encouraged to familiarize themselves with this National Strategy. Improvised Explosive Device (IED) and CBRNE Prevention, Protection, Response, Recovery Capabilities Port areas should continue to enhance their capabilities to prevent, detect, respond to, and recover from terrorist attacks employing IEDs, CBRNE devices, and other non -conventional weapons. Please refer to DHS Small Vessel Security Strateg(Apr. 2008). Physical Security Physical security is security measures that are designed to deny unauthorized access to facilities, equipment, and resources and to protect personnel and property from damage or harm (such as espionage, theft, or terrorist attacks). Physical security involves the use of multiple layers of interdependent systems and techniques. Physical security has been a focus of PSGP since the program' aiception in 2002. Primarily, physical security is intended to harden MTSA-regulated facilities against attacks. Law enforcement may contribute to physical security through patrols; however, patrol vessels generally enhance multiple core capabilities with a focus on CBRNE detection, deterrence, and response. Funding through PSGP for physical security projects should be only directed toward those projects that address identified MTSA required activities and identified in the entity FSP and/or the port area AMSP. Some examples of funded projects include TWIC-related equipment, fencing, lighting, gates, and CCTV. Physical security projects typically require EHP review prior to obligating PSGP funds. Cybersecurity Projects PSGP funds may be used for projects that enhance the cybersecurity o£ • Access controls; • Sensors; • Security cameras; • Badge/ID readers; • Industrial Control System (ICS)/Supervisory Control and Data Acquisition (SCADA) systems; • Process monitors and controls (such as firewalls, network segmentation, predictive security cloud, etc.); and • Passenger/vehicle/cargo security screening equipment (cybersecurity assessments are allowable). 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 "Fr ame wor k" ) de ve l o p e d by t he Nat i o)�artitherhimnilsart i t ut e sources. 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. T h e C y b e r s e c u r i t y a n d I CISAr) Cari: ictabinfirastrtzctwrr CeyberSC®mcmnnrityi t�L g e 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 http://www.cisa.gov/ccubedvp. DH S 'Enshanced Cybersecurity Services (ECS) program is an example of a resource that assists in protecting U.S.-based PSGP Program ApW4ixl 7Z023 8/20/2(D24e G-8 public and private entities and combines k e y e l e me n t s o f c a p a b i l i t i e s a n d 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 f r o m e n t e r i n g a. Grwucpsrin1terwstrdyin' susbscrmbiaigttovsEGSrniusl contract directly with a CSP in order to receive services. Please visit http://www.cisa.jzov/enhanced-cybersecurity-services-ecs for a current list of ECS CSP points of contact. " Hu b s f m k e" c y b e r s e c u r i t y p r o f e c t s a r e a l t o wa b l e u r mu t i pl e p o r t a e a f a i l i t i e s. Hub and s poke cyber multiple eligible entities, and maritime security partners, in multiple port areas to provide a port -wide benefit. Such projects may be submitted within a primary Port Area for the project implementation. For example, an applicant in the Port of Houston may submit a hub and spoke project within the Houston/Galveston p o r t a r e a w h i c h i n c l u d e s s y s t e in h a r d e n i n g Houston, Port Lavaca, and Corpus Christi. Proportionally, costs associated with entities or subcomponents that are not covered under an AMSP and are not instrumental to enhancing maritime security must not be included in the detailed budget worksheet or investment justification and thereby prorating the cost of the project only to those facilities that are covered by the AMSP. Following the example noted above, the applicant may not include costs associated with cybersecurity of their non -maritime facilities, such as a non-MTSA regulated facility located in San Antonio. Hub and spoke projects are limited only to the enhancement of maritime security as outlined in this section and may not include non -maritime systems or facilities. Please clearly identify hub and spoke projects as such within your IJ and consult your COTP to verify project applicability to enhancing maritime security. Cybersecurity projects should address risks to the marine transportation system and/or Transportation Security Incidents (TSls) outlined in the applicable AMSP, or priorities prescribed under applicable FSP or VSP, as mandated under the MTSA or the PRMPs. At the port level, examples of cybersecurity projects include but are not limited to projects that enhance the cybersecurity of access control, sensors, security cameras, badge/ID readers, ICSISCADA systems, process monitors and controls (such as those that monitor flow rates, valve positions, tank levels, etc.), security/safety of the ship -to port -to facility-to- intermodal interface, and systems that control vital cargo machinery at the ship/shore interface (such as cranes, manifolds, loading arms, etc.), and passengerlvehiclelcargo security screening equipment. Vulnerability assessments are generally not funded under PSGP. However, considering the evolving malicious cyber activity, the relative novelty of cybersecurity as a priority within the program, and the need to adopt best practices included in the voluntary Cybersecurity Framework, vulnerability assessments may be funded as contracted costs. Port -wide assessments are eligible and must demonstrate that the assessment includes port area partners and are necessary to be completed as a single project to ensure a comprehensive evaluation of port area cyber security vulnerabilities. Personnel costs (other than M&A) are not an allowable expense for conducting these assessments. CISA offers free resources to assist with initial assessments, please see hit2s://www.cisa.gov/cyber- resource-hub for additional information. Applicants are encouraged to utilize free resources prior to requesting funds under this program. Copies of completed cybersecurity assessments funded under PSGP that impact the maritime transportation system, lead to a "transportation security incident" (as that term is defined under 46 U.S. C. § 70101(6)), or are otherwise related to systems, personnel, and procedures addressed by the PSGP Program Apo&4ixl 7a23 8/20/2aP24e G-9 facility and vessel plan shall be made available to FEMA and/or the local COTP upon request. The results of these cybersecurity assessments may be designated as Sensitive Security Information (SSI) and may be used to inform national maritime cybersecurity assessments. Where a vulnerability assessment has been completed either through contracts or qualified personnel to identify existing gaps and required mitigation efforts, mitigating projects may be funded that include purchase of equipment, software, and infrastructure designed to harden cybersecurity. Specific questions on conducting vulnerability assessments should be referred to the respective FEMA Preparedness Officer. 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 6110)(9) of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. § 51960)(9)) (the Stafford Act),3 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. Additional information regarding compliance with the Davis - Bacon Act, including Department of Labor wage determinations, is available at htti)://www.dol.izov/whd/izovcontracts/dbra.htm. The following types of construction and renovation projects are allowable under PSGP, provided they address a specific vulnerability or need identified in AMSP or otherwise support the maintenance/sustainment of capabilities and equipment acquired through PSGP funding: • Maritime Command and Control Centers; • 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); • Hardened security fences/barriers at access points; • Any other building or physical facility that enhances access control to the port/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 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 period of performance 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 3 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 6110)(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 6110)(8) to 6110)(9). The cross- reference in the Maritime Transportation Security Act of 2002 has not been updated. PSGP Program Apo&4ixl M23 8/20/2G24G-10 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 Environmental Planning and Historic Preservation (EHP) review. The recipient is also 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 the relevant 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, EHP Directive and Instruction, FEMA Directive 108-1, and FEMA Instruction 108-1-1, must also be identified to the FEMA HQ Preparedness Officer within the first six months of the award, regardless of the length of the period of performance. Completed EHP review materials for construction and renovation projects must be submitted no later than 12 months before the end of the period of performance. EHP policy guidance and the EHP Screening F� can both be found on FEMA.gov. EHP review materials should be sent to gpdehpinf6kfema.dhs.gov. Training and Awareness Campaigns Training and Awareness Campaigns address the Soft Targets/Crowded Places; Cybersecurity; and Training and Awareness Campaign Priorities. Training Port areas should assess their training and qualification requirements and coordinate training needs and qualification requirements of incident response personnel. Funding for personnel training is limited to those courses that are essential to enhance maritime security. A listing of courses that are currently approved for PSGP funding is included in the table below. Some training activities require EHP Review, including exercises, drills or trainings that require any type of land, water, or vegetation disturbance or building of temporary structures or that are not located at facilities designed to conduct training and exercises. Additional information on training requirements and EHP review can be found online at Environmental & Historic Preservation Grant Preparation Resources I FEMA.aov. Funding for training courses not listed in Table 3 may be permitted on a case -by -case basis depending on the specific maritime security risk mitigation training needs of the eligible PSGP applicant. In such cases, an applicant will be required to explain in the IJ why none of the approved courses referenced in Table 3 satisfy the identified training need and must submit detailed course information for review and consideration by the local COTP field review team and the Nation Review Panel. Further, in accordance with 46 U.S.C. § 70107(c)(2)(C), no cost share is required to train public safety personnel in the enforcement of security zones under section 46 U.S.C. § 70132 or assisting the enforcement of such security zones. P e r 4 6 U. S. C. § 7 0 1 3 2( d ) , t h e t e r m any federal, state (or political subdivision thereof), territorial, or tribal law enforcement officer, firefighter, or emergency response provider Training denoted with an asterisk (*) in the table below is exempt from cost share only to train public safety personnel who enforce security zones. Additional training of public safety personnel may be exempt if specifically identified by the COTP as exempt and necessary for enforcement or the assistance of enforcement of security zones as specified by 46 U.S.C. § 70132. Requests that fail to include a cost share for training that is not exempt from cost share requirements as outlined in 46 U.S.C. § 70132 PSGP Program Apo&4ixl W23 8/20/2G24G-11 will not be considered for funding. Training for public safety personnel who do not provide enforcement of security zones are not exempt from cost share. Training rosters and certificates must be provided to FEMA upon request. Please consult your COTP prior to requesting cost share exempt training for enforcement of security zones. Refer to Section CA of the NOFO for more specific cost share information for t hat s p e c i fi c year' s r e q u i r e m e n t s . Semi n a r s and w o r ks hops a e not cons i der ed Tr a ni in workshops with PSGP fundin g ma y b e e l i g i b l e f o r f u n d i n g f o l l o w i section of this guidance. Table 3: Approved PSGP Training Courses Course Number National Training i Education Division Course Name AWR-144 Port and Vessel Security for Public Safety and Maritime Personnel AWR-213 Critical Infrastructure Security and Resilience Awareness AWR-366-W Developing a C ber Security Annex for Incident Response MGT-335 Event Security Planning for Public Professionals MGT-335-W Event Security Planning for Public Professionals, Web Based MGT-400 Master of Arts Degree in Homeland Security MGT-425 Homeland Security Executive Leaders Program ELP MGT-452 Physical and Cybersecurity for Critical Infrastructure MGT-456 Integration of Cybersecurity Personnel into the Emergency Management Operations Center for C ber Incidents PER-330 The Surface Transportation Emergency Preparedness and Security for Mass Transit and Passenger Rail STEPS -PT PER-331 Course Number Surface Transportation Emergency Preparedness and Security for Senior Officials or Administrators STEPS Sr Federal -Sponsored Course Name DHS-006-PREV Seaport Security Anti -Terrorism Training Program SSATP DHS-011-PREV Maritime PRND Operations Course DHS-016-PREV Protective Measures Training for Security Officers, Mid -Level Safety/SecuritySafety/Security Supervisors, and Property Managers *DHS-01 I-PROT NASBLA BOAT Tactical Operators Course *DHS-009-PROT Boat Operator's Anti -Terrorism Training DHS-126-RESP NASBLA BOAT Crew Member Course *DHS-128-RESP Course Number NASBLA - Pursuit and Stop Course State -Sponsored Course Name CA-006-PREV Maritime Company, Vessel, and Facility Security Officer CA-007-PREV Basic Maritime Security Awareness CA-008-PREV Basic First Responder Operational Maritime Security FROMS CA-015-RESP Maritime Facility Security Officer CA-020-RESP WMD & Terrorism Awareness for Security Professionals ME-001-PROT Maritime Security Awareness for Military, First Responder and Law Enforcement Personnel ME-002-PROT Command Strategies and Tactics for Marine Emergencies *ME-003-PROT Tactical Boat Operations for Maritime Security and LE Personnel ME-002-RESP Emergency Medical Operations in the Maritime Domain NJ-003-PREV Government Agency Maritime Security Awareness Program GAMSAP PSGP Program Apo&4ixl OZp23 8/20/2G24G-12 NJ-015-PREV Security Awareness & Vigilance for Everyone NY-001-PREV Maritime Infrastructure Protection NY-001-PROT Safe Boat Operators *NY-002-PREV Tactical Escorts and Security Zones NY-002-PROT Pattern Line Search/Recovery Course NY-004-RESP Federal Course Number Vehicle Borne Improvised Ex losive Device Security Checkpoint Law Enforcement Training Center (FLETC) Course Name *MTOTP Marine Law Enforcement Training Program IBOT I nl and Boat O p er at or ' s Tr a ni n ENTP Electronic Navigation Training Program *BOAT B o a t O p e r-Taertrorism Trasini Rro raim *MLETP Marine Law Enforcement Training Program *CVBTP Commercial Vessel Boarding Training Program *SSATP Seaport Security Anti -Terrorism Training Program Exercises Exercise activities address the Soft Targets/Crowded Places; Cybersecurity; and Exercises Priorities. Exercises funded under the PSGP typically include Seminars, Workshops, Tabletop, Functional, Drills, and Full -Scale exercises. PSGP-funded exercises must have a maritime security focus and include applicable documentation, after action reports, and improvement plans. See below for additional information. Maritime entity training needs and qualification requirements of incident response personnel should be regularly tested through emergency exercises and drills. Exercises must test operational protocols that would be implemented in the event of a terrorist attack in the maritime environment in accordance with the Area Maritime Security Training Exercise Program (AMSTEP) or the TSA Intermodal Security Training Exercise Program (I -STEP) guidelines. AMSTEP or I -STEP exercises will follow the latest change in requirements contained in the Navigation and Inspection Circular (NVIC) 09-02. Exercises must be designed, developed and conducted consistent with the Homeland Security Exercise and Evaluation Program (HSEEP). Funding used for exercises will only be permitted for those exercises that are in direct support of a MTSA-regulated facility or a port ar e MTSsA-required exercises (see 33 C.F.R. § 105.220 for a facility and 33 C.F.R. § 103.515 for the AMSP). These exercises must be coordinated with the COTP and AMSC and be consistent with HSEEP. More information on HSEEP may be found at https://www.fema. gov/emergency-managers/national-preparedness/exercises/hseep. Some exercise activities require EHP Review, including exercises, drills or trainings that require any type of land, water, or vegetation disturbance or building of temporary structures or that are not located at facilities designed to conduct training and exercises. Additional information on training requirements and EHP review can be found online at Environmental & Historic Preservation Grant Preparation Resources I FEMA.gov. Recipients are required to submit an After -Action Report/Improvement Plan (AARAP) for each PSGP- funded exercise to hseeR(&fema.dhs.gov, and the appropriate local COTP no later than 90 days after completion of the exercise conducted within the PSGP period of performance (POP). Recipients are reminded of the importance of implementing corrective actions iteratively throughout the progressive exercise cycle. Recipients are required to use the HSEEP AAR/IP template located at https://preptoolkit.fema. gov/web/hseep-resources/improvement-planning. PSGP Program ApWdixl 0023 8/20/2G24G-13 Recipients of PSGP funding for exercises should verify in progress reports the completion of the exercise(s), after -action report(s), improvement plan(s), and notifications made to hseepgfema.dhs.gov and the COTP. PSGP funds may be used for the following exercise activities: Funds Used to Design, Develop, Conduct, and Evaluate an Exercise. This includes costs related to planning, meeting space, and other meeting costs, facilitation costs, materials and supplies, travel, and documentation. Exercises afford organizations the opportunity to validate plans and procedures, evaluate capabilities, and assess progress toward meeting capability targets in a controlled, low risk setting. Any shortcoming or gap identified, including those for children and individuals with disabilities or other access and functional needs, should be identified in an effective corrective action program that includes development of improvement plans that are dynamic documents, with corrective actions continually monitored and implemented as part of improving preparedness through the exercise cycle. Hiring of Full- or Part -Time Staff or Contractors/Consultants. Full- or part-time staff may be hired to support exercise -related activities. Hiring of contractors/consultants must follow the applicable federal procurement requirements at 2 C.F.R. §§ 200.317-200.327. Such costs must be included within the funding allowed for program management personnel expenses, which must not exceed 10% of the total allocation. Dual compensation is never allowable, meaning, in other words, that an employee of a unit of government may not receive compensation from his or her unit or agency of government and from an award for a single period of time (e.g., 1:00 p.m. to 5:00 p.m.), even though such work may benefit both entities. Personnel hiring, overtime, and backfill expenses are permitted under this grant only to the extent that such expenses are for the allowable activities within the scope of the grant. Overtime and Backfill Costs. The entire amount of overtime costs, including payments related to backfilling personnel that are the direct result of time spent on the design, development and conduct of exercises are allowable expenses. These costs are allowed only to the extent the payment for such services is in accordance with the policies of the state or unit(s) of local government and has the approval of the state or the awarding agency, whichever is more restrictive. Dual compensation is never allowable. Travel. Domestic travel costs are allowable as expenses by employees who are on travel status for official business related to the planning and conduct of exercise project(s). International travel costs are not permitted. Supplies. Supplies are items that are expended or consumed during the course of the planning and conduct of the exercise project(s) (e.g., gloves, non -sterile masks, and disposable protective equipment). Other Items. These costs include the rental of space/locations for exercise planning and executing, rental of equipment, etc. Recipients are encouraged to use free public space, locations, or facilities, whenever available, prior to the rental of space, locations, or facilities. These also include costs that may be associated with inclusive practices and the provision of reasonable accommodations and modifications to provide full access for children and adults with disabilities. The National Exercise Program (NEP) serves as the principal exercise mechanism for examining national preparedness and measuring readiness. Recipients are strongly encouraged to nominate exercises into the NEP. For additional information on the NEP, please refer to http://www.fema.gov/national-exercise- program. PSGP Program Apo&4ixl 0323 8/20/2G24G-14 Management and Administration (M&A) M&A costs are allowed under this program. M&A costs are activities directly related to managing and administering the award. Recipients may use up to 5% of the amount of the award for their M&A. PSGP funds may be used for the following M&A costs: Hiring full-time or part-time staff, including contractors and consultants, to execute the following: o Management of the awarded fiscal years' PSGP award; o Design and implementation of the awarded fiscal years' PSGP submission meeting compliance with reporting/data collection requirements, including data calls; o Information collection and processing necessary to respond to FEMA data calls; o Travel expenses related to PSGP grant administration; and o Acquisition of authorized office equipment, including personal computers or laptops for PSGP M&A purposes. Allowable Indirect Costs Indirect costs are allowable under this program. S Sect i o nS uibnm i "s 1§ ri eon I n f Unallowable Costs e e t h e P r o c e d u r e s f o r E s t a b l or ma t i on" f or mor e i of or mat i o Projects that do not provide a compelling maritime security benefit or have a direct nexus toward maritime security risk mitigation are not permitted. For example, projects that are primarily for economic or safety benefit (as opposed to having a direct maritime security risk mitigation benefit) are ineligible for PSGP funding. In addition, projects that provide a broad homeland security benefit (e.g., a communication system or fusion center for an entire city, county, state, etc.) as opposed to providing primary benefit to the port are ineligible for PSGP funding since these projects should be eligible for funding through other preparedness grant programs. The following projects and costs are considered ineligible for award consideration: • 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 equipment: firearms, ammunition, grenade launchers, bayonets, or weaponized aircraft, vessels, or vehicles of any kind with weapons installed, • Projects in which federal agencies are the primary beneficiary or that enhance federal property, including sub -components of a federal agency; • Projects that study technology development for security of national or international cargo supply chains (e.g., e-seals, smart containers, container tracking or container intrusion detection devices); • Proof -of -concept projects; • Development of training; • Projects that duplicate capabilities being provided by the Federal Government (e.g., vessel traffic systems); • Business operating expenses (certain security -related operational and maintenance costs are allowable —see " M a i n ct ee n as an d S u s t a i n in e n t" a n d " O p e n • Transportation Worker Identification Credential (TWIC) card fees; • Reimbursement of pre -award security expenses; • Outfitting facilities, vessels, or other structures with equipment or items providing convenience rather than a direct security benefit. Examples of such equipment or items include but are not limited to office furniture, CD players, DVD players, AM/FM radios, TVs, stereos, entertainment satellite systems, entertainment cable systems and other such entertainment media, unless sufficient justification is provided. This includes weapons and associated equipment (i.e., holsters, optical a t i o n PSGP Program Apo&4ixl W23 8/20/2G24G-15 sights, and scopes), including but not limited to, non -lethal or less -than -lethal weaponry including firearms, ammunition, and weapons affixed to facilities, vessels, or other structures; • Standard issue uniforms (other than maritime security personal protective equipment [PPE]); • Expenditures for items such as general -use software, general -use computers, and related equipment (other than for allowable M&A activities, or otherwise associated) preparedness or response functions), general -use vehicles and licensing fees; • Land acquisitions and right of way purchases; • Funding for standard operations vehicles utilized for routine duties, such as patrol cars and fire trucks; • Fuel costs (except as permitted for training and exercises); • Exercise(s) that do not support maritime security preparedness efforts; • Patrol vehicles and firefighting apparatus, other than those CBRNE detection equipped vehicles for port area and/or facility patrol or response purposes; • Specialty vehicles such as trucks for towing boat trailers/equipment and armored personnel carriers; • Providing protection training to public police agencies or private security services to support protecting VIPs or dignitaries; • Aircraft pilot training, including aircraft operations such as aircraft ditch training; • Post incident investigation training; • Basic or advanced dive training (except marine unit CBRNE detection/response dive training); • Training for personnel not primarily assigned to maritime security activities or MTSA required security personnel (e.g., vessel patrol officers, facility security officers); and • Reimbursement for the maintenance and wear and tear costs of general use vehicles (e.g., construction vehicles) and emergency response apparatus (e.g., fire trucks, ambulances, repair, or cleaning of PPE, etc.). Maintenance and Sustainment Costs 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. These contracts may exceed the period of performance if they are purchased incidental to the original purchase of the system or equipment as long as the original purchase of the system or equipment is consistent with that which is typically provided for, or available through, these types of agreements, warranties, or contracts. When purchasing a stand-alone warranty or extending an existing maintenance contract on an already -owned piece of equipment system, coverage purchased may not exceed the period of performance of the award used to purchase the maintenance agreement or warranty. As with warranties and maintenance agreements, this extends to licenses and user fees as well. Under PSGP, maintenance and sustainrent is 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 example, an IJ for a camera system maintenance contract should detail the number of cameras the applicant anticipates repairing/replacing during the period of performance (i.e., the port operates 100 cameras and typically replaces 10% of the system each year, funding is for the replacement of 30 cameras over the 3-year period of performance. Grant funds are intended to support the National Preparedness Goal and fund projects that build and sustain the core capabilities necessary to prevent, protect against, mitigate the effects of, respond to, and recover from those threats that pose the greatest risk to the security of the Nation. In order to provide recipients the ability to meet this objective, the policy set forth in 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 that must be in (1) direct support of existing capabilities; (2) must be an otherwise allowable expenditure under the applicable grant program, and (3) be tied to one of the core PSGP Program ApO&4ixl 0&23 8/20/2G24G-16 capabilities in the five mission areas outlined in the Goal. Additionally, eligible costs may also be in support of equipment, training, and critical resources that have previously been purchased with either federal grant or any other source of funding other than FEMA preparedness grant program dollars. Port -Wide Risk Management Plans Port areas with existing 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 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 r i s k s a s s o c i a t e d wi t h t h e s y s t a m' s ma r i t i me c r i t i Additional Port Security Resources U. S. D e p a r t m e n t o f r'hmts £ornl�atili)ncaljlnftraatrtzciura Imvest`hAhtW in* D� include funding to support roads, bridges, transit, rail, ports, or intermodal transportation, see https://www.transportation.gov/BUILD rg ants Cybersecurity assessments may be available via CISA, see https://www.cisa.gov/cyber-resource- hub Sample Memorandum of Understanding/Agreement (MOU/MOA) The sample MOU/MOA below demonstrates all of the elements required in the PSGP NOFO for acceptance for review as part of a grant application from a state or local agency providing security services to MTSA-regulated entities. PSGP Program ApO&4iX1 OD23 8/20/2G24G-17 Memorandum of [Understanding / Agreement] Between [provider of layered security] and [recipient of layered security] Regarding [provider of layered security's] Use of Port Security Grant Program Funds 1. PARTIES. The parties to this Agreement are the [Provider of Layered Security] and the [Recipient of security service]. 2. AUTHORITY. This Agreement is authorized under the provisions of [applicable Area Maritime Security Committee (AMSC) authorities and/or other authorities]. 3. PURPOSE. The purpose of this Agreement is to set forth terms by which [Provider of security service] shall expend Port Security Grant Program project funding in providing security service to [Recipient of security service]. Under requested PSGP grant, the [Provider of security service] must provide layered security to [Recipient of security service] consistent with the approach described in an approved grant application. 4. RESPONSIBILITIES: The security roles and responsibilities of each party are understood as follows: (1) [Recipient of security service] Roles and responsibilities in providing its own security at each MARSEC level (2) [Provider of security service] [-An acknowledgement by the facility that the applicant is part of their facility security plan.] [-The nature of the security that the applicant agrees to supply to the regulated facility (waterside surveillance, increased screening, etc.).] [-Roles and responsibilities in providing security to [Recipient of security service] at each MARSEC level.] 5. POINTS OF CONTACT. [Identify the POCs for all applicable organizations under the Agreement; including addresses and phone numbers (fax number, e-mail, or internet addresses can also be included).] 6. OTHER PROVISIONS. Nothing in this Agreement is intended to conflict with current laws or regulations of [applicable State] or [applicable local Government]. If a term of this agreement is inconsistent with such authority, then that term shall be invalid, but the remaining terms and conditions of this agreement shall remain in full force and effect. 7. EFFECTIVE DATE. The terms of this agreement will become effective on [EFFECTIVE DATE]. 8. MODIFICATION. This agreement may be modified upon the mutual written consent of the parties. 9. TERMINATION. The terms of this agreement, as modified with the consent of both parties, will remain in effect until the grant end dates for an approved grant. Either party upon [NUMBER] day's written notice to the other party may terminate this agreement. APPROVED BY: Organization and Title PSGP 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 as long as 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 p r f o r i t i e s a n d t h e r aencdi pt i been t a' wsa r od.rDuegtoflesgwl "nl ptadia)npgpfl i wcoar 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 COTP, and these requests must be verified and supported by the COTP as essential in addressing Port Area priorities. Please also see Section CA of this NOFO regarding cost share requirements, including the implications if the project costs are less than what was applied for. PSGP Program Apo&40 M023 8/20/20W-18 Program Appendix H: Emergency Management Performance Grant Program As a reminder, while this appendix contains Emergency Management Performance Grant (EMPG) Program -specific information and requirements, the main content of this Manual (non -appendix information) contains important information relevant to all preparedness grant programs, including the EMPG Program. NOTE: A n "EMPG Requirements MALftpendiix.xIt'Is intiensled tp aerue�asi d e d a useful reference for grant recipients and subrecipients by capturing all of the various programmatic and financial requirements associated with the FY 2023 EMPG Program. EMPG Program Priorities The national priorities for the FY 2023 EMPG Program are: • Equity • Climate Resilience • Readiness These priorities correspond directly to goals outlined in the 2022-2026 FEMA Strategic Plan. All EMPG Program recipients are encouraged to review the strategic plan and consider how FY 2023 EMPG Program f u n d i n g c a n b e u s e d t o s u p p o r t t h e P 1 a n' s g o a l s a needs and the needs of the whole community. The national priorities are explained in further detail in the FY 2023 EMPG Program Notice of Funding Opportunity (NOFO). Alignment of the EMPG 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 National Preparedness Goal (the Goal). T h e E MP G P r o g ercoastsnsiipps ort effol rtk too bmihd hndl sustain core capabilities across PreventioAbProtection, 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 1) building or sustaining those capabilities that are identified as high priority through the Threat and Hazard Identification and Risk Assessment (THIRA)/Stakeholder Preparedness Review (SPR) process and other relevant information sources, such as: i) after -action reports (AARs) following exercises or real -world events; ii) audit and monitoring findings; iii) Hazard Mitigation Plans; and/or iv) other deliberate planning products; and 2) closing capability gaps that are identified in the state or territory's most recent SPR. To better u n d e capability gaps, refer to Comprehensive Preparedness Guide (CPG) 201: Threat and Hazard Identification and Risk Assessment (THIRA) and Stakeholder Preparedness Review (SPR)Guide.. In advance of issuing the FY 2023 EMPG Program awards, FEMA Regional Administrators will identify individual regional p r i o n t i e s b a s e d o n t h e i r u n i q u e k n o w hageemd egte 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 FY 2023 EMPG Program Work Plan, will support the priorities identified through this collaborative approach. See the EMPG Program Work Plan section for additional guidance. s t a n d f e a c EMPG Program AMn44i$$8023 8/20/2aP24e H-1 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 Emergency Management Assistance Compact. The EMPG Program supports investments that improve the ability of jurisdictions nationwide to: • Prevent a threatened or an actual act of terrorism; • Protect our citizens, residents, visitors, and assets against the greatest threats and hazards; • Mitigate the loss of life and property by lessening the impact of future disasters; • Respond quickly to save lives, protect property and the environment, and meet basic human needs in the aftermath of a catastrophic incident; 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. Implementation of the National Preparedness System Identifying and Assessing Risk and Estimating Capability Requirements By December 31, 2022, recipients were required to complete a THIRA/SPR that addresses all 32 core capabilities and is compliant with Comprehensive Preparedness Guide (CPG) 201, Third Edition. Recipients are required to submit a THIRA every three (3) years to establish a consistent baseline for assessment. 2022 is the start of the new 3-year THIRA/SPR cycle and baseline assessment year for existing recipients. Any new grant recipients during calendar year 2023, for which the THIRA/SPR requirement applies, will start their new 3-year THIRA/SPR cycle and baseline assessment year in 2023. 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 December 31St each year (as applicable). For additional guidance on the THIRA/SPR, please refer to Comprehensive Preparedness Guide (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: All EMPG Program recipients are required to submit a Biannual Strategy Implementation Report (BSIR) no later than 30 days after the end of each semi-annual reporting period. The BSIR is submitted via the Grants Reporting Tool (GRT). o For the reporting period January 1-June 30, the BSIR is due no later than July 30 o For the reporting period July 1-December 31, the BSIR is due no later than January 30 I n each EMPG Pr o g r am r e c i pi e n t ' s Per f or manc e Pi on a quarterly basis, 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: EMPG Program ApWridi$$9023 8/20/2@24e H-2 o Building a capability with EMPG Program funding; or o 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 Comprehensive Preparedness Guide (CPG) 201, Third Edition), or other relevant information sources that identify capability needs. See EMPG Program Work Plan section for additional guidance and requirements. National Incident Management System (NIMS) Implementation EMPG Program recipients and subrecipients are required to implement NIMS. NIMS guides all levels of government, nongovernmental organizations (NGO), and the private sector to work together to prevent, protect against, mitigate, respond to, and recover from incidents. NIMS provides stakeholders across the whole community with the shared vocabulary, systems, and processes to successfully deliver the capabilities described in the National Preparedness System. 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. This document should be used as a guide for both identifying NIMS implementation objectives and needs and as a tool for evaluating NIMS compliance. Additional information about NIMS implementation is available at NIMS Implementation and Training. Reporting: • Recipients will answer questions in the applicable secondary NIMS assessment portion of the Unified Reporting Tool (URT) as part of a jurisdict i s)TWIRA/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 technical assistance visits with the states, tribes, and territories within their regions. National Qualifications System (NQS) Implementation For FY 2023, as a post -award requirement, all recipients in the 50 states and District of Columbia must work towards achieving the Phase 1 NQS Implementation Objectives outlined in the table below and must, at a minimum, execute the Implementation Plan they developed last year 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 National Qualification System. All other jurisdictions (including territories and FY 2023 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. EMPG Program ApWndi$90023 8/20/2aP24e H-3 • Recipients and subrecipients will be considered in compliance with the NQS requirements as long they are working towards implementing the NQS Implementation Objectives as outlined in the table below. • The expected completion date for each phase of the NQS Implementation Objectives is December 31 of the applicable calendar year (CY). Additional NQS Implementation Guidance can be found at: National Qualification System Supplemental Documents I FEMA.Lyov. ■ Only the 50 States, the District of Columbia and ■ Completion of a jurisdiction implementation Puerto Rico shall work toward implementation plan. of NQS by developing an Implementation Plan, . Identification of implementation challenges. using the FEMA-provided two -page template. y ■ The Implementation Plan will identify a jurisdiction's timel 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. ■ All jurisdictions shall work toward implementation of NQS by developing an Implementation Plan, using the FEMA- provided two -page template. ■ Jurisdictions that began 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 National Qualification System. ■ Completion of a jurisdiction implementation plan. ■ Identification of implementation challenges. ■ Qualification policies and procedures approved by the jurisdiction. Procedures may include: Establishment of a Qualification Review Board, or equivalent review processes for incident workforce personnel qualifications. Individual and team coach and evaluation processes for incident workforce personnel qualifications. EMPG Program ApWndi$93023 8/20/2aP24e H-4 ■ All jurisdictions shall have designed and approved organizational qualification system procedures, certification program and credentialing standards for incident workforce personnel in alignment with the NIMS Guideline for the National Qualification System. ■ Jurisdictions that began 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 towards task endorsements and minimum training requirements. ■ In CY 2024, all jurisdictions partially satisfy the requirement by ensuring incident workforce personnel, which they designate, 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. ■ All jurisdictions shall have issued PTBs to incident workforce personnel, which they designate, and ensure incident workforce personnel show progress in working towards task endorsements and minimum training requirements. ■ Qualification policies and procedures approved by the jurisdiction. ■ 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. ■ Adoption of a resource management system such as OneResponder, which is a web -based application hosted in a cloud environment. It allows AHJs to manage qualifications of personnel. ■ PTB issuance and completion data. Reporting: Data collection and reporting on NQS implementation will be addressed via the following: NIMS secondary assessment questions on the URT. This involves reporting on the status of the qualification system used within the jurisdiction and sub jurisdictions. NIMS Regional Coordinator Program Guide that allows Regional NIMS Coordinators to review state NIMS programs by the end of CY 2023. Review by the Regional NIMS Coordinators during annual technical assistance visits with the states, tribes, and territories within their regions. EMPG Program ApWndi492023 8/20/2aP24e H-5 Logistics Planning Distribution Management Plans EMPG Program recipients are required to develop and maintain a Distribution Management (DM) plan as an annex to their existing Emergency Operations Plan (EOP). Comprehensive Preparedness Guide (CPG) 101 provides guidance on the fundamentals of planning and development of Emergency Operations Plans. The Distribution Management Plan Guide 2.0 (fema.gov) released in January 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 submi t a DM P1 an t hat a c c u r at el y r efl e c t s t he st a 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 September 301h of each calendar year. 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 the following: o Requirements Defining o Resource Ordering o Distribution Methods o Inventory Management o Staging Areas o Transportation o Demobilization FEMA Regional Logistics Branch staff will work with EMPG Program recipients to provide technical assistance 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 state, local, tribal, and territorial stakeholders during major disasters. Recipients should refer to the following for additional guidance: • Information Bulletin (IB) 442, Guidance on Distribution Management Plans for the Fiscal Year 2019 Emergency Management Performance Grants Program; and • Distribution Management Plan Guidance found at: Planning Guides I FEMA.gov 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. EMPG Program ApWndi$93023 8/20/2aP24e H-6 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 o n l i n e e x a in, a r e a v a i 1 a b l e o n t h e E HFWA 9 e n c y Ma : Emergency Management Institute (EMI) Course I IS-26: Guide to Points of Distribution. 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 website Emergency Management Institute I EMI Courses & Schedules (fema.gov), Other Logistics Planning Resources: Recipients will find additional planning guidance at: Planning Guides I FEMA.gov. Specific to logistics planning, Comprehensive Preparedness Guide (CPG) 101, Version 2.0 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 five -phased approach. Funding for Critical Emergency Supplies Critical emergency supplies —such as shelf stable products, water, and basic medical supplies —are an allowable expense under the EMPG Program. Each state m u s t h a v e F E MA ' s-yearavilab*r o v a l inventory management plan prior to allocating grant funds for stockpiling purposes. The inventory management five-year plan should include a distribution strategy and related sustainment costs if the grant expenditure is over $100,000. Reporting Annual DM plan reviews will be reported in the Performance Progress Report (PPR) for the quarter ending September 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. Evacuation Planning EMPG Program recipients should review and update their EOP in accordance with Comprehensive Preparedness Guide (CPG) 101 v3, Developing and Maintaining Emer enCy Operations Plans. Recipients are highly 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 Na t i o n a l R e s p o n s e F r a me w o r k' s M a s 4deraEoms4 andwthet i o n I n c FEMA documents related to evacuation planning, when developing their own Evacuation Plan or Annex. See National Response Framework (NRF), Third Edition (June 2016) and NRF Mass Evacuation Incident Annex (June 2008). Additional National Preparedness resources are available at: National Preparedness and Planning Guides. 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. EMPG Program ApWndi494023 8/20/2@24e H-7 Disaster Housing Planning 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: • Complete the State Housing Strategy Template; and • Establish a State Disaster Recovery Coordinator. State Housing Strategy Template EMPG Program recipients are strongly encouraged to update their State Housing Strategy using the State Housing Strategy Template as part of their EOP or as a standalone document. In addition to the State Housing Strategy Template, recipients are encouraged to define and emphasize sheltering, short term, and permanent housing planning. The State Housing Strategy Template helps states identify priorities and document critical, jurisdiction - specific processes and procedures to promote an efficient disaster housing mission. The template walks recipients through the following planning considerations as seen in the table below. See the State - Administered Direct Housing Grant Guide, Jules for the template and other supporting information. State Housing Template Sections and Planning Considerations Template Section I Planning Considerations SLDHTF Plan Participant inclusion, approaches for various types of housing disasters, available Organization materials, available assistance programs, and sources for surge staffing Housing Identifying a j u r i s d i c t i o n' s c u r r e n t h o u s i Background challenges, and known risks Sheltering Phase Identifying planning leads, current resources, timeline, key partners, cross - Strategy jurisdictional agreements, and other risks Interim Housing Identifying planning leads, current resources and capabilities, known areas of Strategy difficulty, key partners, relocation strategies, and risks Permanent Identifying planning leads, long-term housing needs and prioritizations, current Housing Strategy resources and capabilities, known areas of implementation challenges, relocation strategies, and risks Pre -Disaster Creating communication plans, survivor transition plans, mitigation plans, and Activities program closeout goals Post -Disaster Prioritizing disaster housing recovery activities, creating timelines for project Activities completion, documenting planned actions for assessing the availability of affordable housing resources and expediting the delivery of housing by expediting permitting and waiver processes, establishing an information sharing method, creating an Environmental Planning and Historic Preservation (EHP) strategy, EMPG Program ApWndi$95023 8/20/2@2* H-1 identifying potential locations for Manufactured Housing Units and Recreational Vehicles, and identifying available federal disaster housing assistance State -Administered Direct Housing Implementation FEMA encourages states to develop the capacity to administer FEMA Direct Housing Assistance through a reimbursable Inter -Governmental Service Agreement (IGSA). Under this arrangement, FEMA determines d i c a s t e r s u r v i v o r s' a ingi opgtioi nsb andlmaktsgll deftemifinatiosnspreegaardingf di i c r c o n t i n u i n g e l i g i b i l i t y, a p p e a l s, a n d e l i g i b i l i t y of approved Direct Housing Options to ensure compliance with federal environmental, historic preservation, and floodplain management requirements as well as program conditions specified within the IGSA. States that choose to administer Direct Housing Assistance through an IGSA are required to develop a Direct Housing Administrative Plan and are encouraged to establish pre -placed contract to support the delivery of direct housing. Any contracts for this work would need to comply with the federal procurement requirements at 2 C.F.R. §§ 200.317-200.327. For more information, regarding Direct Housing Assistance, please visit Chapter 5 of the Individuals and Households Program Unified Guidance and Chapter 3 of the Individual Assistance Program and Policy Guide (IAPPG). Disaster Housing Exercises Recipients 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 issues or administer FEMA Direct Housing Assistance under an IGSA • 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 Additional Disaster Housing Planning Resources Recipients are encouraged to review the planning guidance available at Planning Guides. The Planning Guides page includes: Planning Considerations: Disaster Housing Guidance for State, Local, Tribal and Territorial Partners (May 2020), which supplements Comprehensive Preparedness Guide (CPG) 101: Developing and Maintaining Emergency Operations Plans. It provides guidance on national housing priorities, types of housing, key considerations and housing -specific planning recommendations for state, local, tribal and territorial (SLTT) jurisdictions to use, in conjunction with the Six -Step Planning Process described in CPG 101, to develop or improve disaster housing plans. State Disaster Recovery Coordinator The Pre -Disaster Recovery Planning Guide helps states prepare for recovery by developing pre -disaster 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 a State Disaster Recovery Coordinator (SDRC). An effective pre -disaster 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 EMPG Program ApWndi$96023 8/20/2aP24e H-9 PlanningGuide uide 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 technical assistance, to disaster - impacted communities. • Enable state leadership to better organize 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. 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. State Administrative Plan Guidance • Section V Part D: Project • A process to ensure subrecipients are tracking and Funding and Reimbursement documenting disaster costs necessary for federal • Section V Part G: Records reimbursement, such as receipts, invoices, procurement and Reports documents, contracts, and insurance coverage/claims • Section V Part D: Project • A process to document disaster cost operations such as labor, Funding and Reimbursement equipment, and materials that are allowable under federal • Section V Part G: Records requirements and Reports • Section V Part D: Project • A process to ensure that subrecipients are not receiving a Funding and Reimbursement duplication in benefits • Section W Part B: • A process to ensure pre -disaster contracts and procurement OrLyanization and Staffine strateizies 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. a n d EMPG Program ApWndi$97023 8/20/2G24H-10 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 f o u n d o n F E MA' s P u b l i s A s s i s t a n c e planning efforts. The template includes example structure and content as a model for states to create 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 PA 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 Public Assistance Fact Sheets, Job Aids, and FAQs. • Office of Inspector General (OIG) Audit Tips: Recipients are recommended to consult the DHS OIG report, Audit Tips for Managing Disaster -Related Project Costs (OIG- 1 7-120-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. • Disaster Financial Management Guide: The Disaster Financial Management Guide provides guidance for state, local, tribal, and territorial partners on establishing and implementing sound disaster financial management practices. • Procurement Disaster Assistance Team (PDAT): The PDAT provides training and other resources to assist grant recipients in their efforts to comply with federal procurement standards. See Contracting with Federal Funds for Goods and Services Before, During_ and After Disasters FEMA. gov for additional information. Training and Exercises Integrated Preparedness Plan (IPP) 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. Similar to 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., AARs); external requirements such as stakeholder preparedness reviews (i.e., SPRs), 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 Integrated Preparedness Planning Workshops (IPPWs) can be found on the HSEEP website at Homeland Security Exercise and Evaluation Program and FEMA Preparedness Toolkit. 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 s t a t e/ t e r r i t o r y' s p r etsl:sha)udddncdluideeplsrnsiing,ctrainpng, hndi dxercilsei e sR e c i projects in their EMPG Program Work Plan that support priorities included in their IPP. The current multi- year IPP must be submitted to hseea fema.dhs.gov and the Regional EMPG Program Manager before January 31 of each year. EMPG Program ApWndi$98023 8/20/2G24H-11 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 w i 1 1 e n s u r e t h a t preparedness projects, investments, and activities are concentrated, focused, and oriented towards closing gaps related to their top priorities, regardless of funding source. Validating Capabilities through Exercises All recipients are required to develop and maintain a progressive exercise program consistent with HSEEP guidance in support of the National Exercise Program (NEP). The NEP serves as the principal exercise mechanism for examining national preparedness and measuring readiness. The NEP is a two-year cycle of exercises across the nation that validates capabilities in all preparedness mission areas. The two-year NEP c y c l e i s g u i d e d b y P r i n c i p a l s S t r a t e g i c P r i o n t i 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 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 NEPkfema.dhs.gov. The exercises and priorities outlined in the IPP and all EMPG Program -funded exercises must be included in the FY 2023 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 FY 2023 EMPG Work Plan. See the EMPG Program Work Plan section for additional guidance. Reporting • All EMPG Program -funded exercise activities must be captured in the approved EMPG Program Work Plan. • 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 Improvement Plan [IP], etc.). • All EMPG Program -funded exercise activities must be reported quarterly. To simplify reporting, it is recommended that recipients submit an updated Exercise Data Table from the FY 2023 EMPG Program Work Plan Template as an attachment to the quarterly PPR. For those recipients who choose not to use the FY 2023 EMPG Program Work Plan Template, the data and information found in the Exercise 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 FY 2023 EMPG Program Work Plan Template for application or reporting purposes. • Recipients must have a current multi -year IPP that identifies preparedness priorities and activities. The current multi -year IPP must be submitted to hseepkfema.dhs.gov and the Regional EMPG Program Manager before January 31s' of each year. • Recipients are encouraged to enter their exercise information into the Preparedness Toolkit at FEMA Preparedness Toolkit. • Recipients must submit AAR/IPs to hseepkfema.dhs.gov and copy their Regional EMPG Program Manager and i n d i cat e w h i ch f i s c al year' s funds • Submission of AAR/IPs must take place within 90 days following completion of the single exercise or progressive series. EMPG Program ApWndi$99023 8/20/2G24H-12 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, 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. o Recipients can access a sample AAR/IP template at Preparedness Toolkit Improvement Planning Templates. Training Similar to 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 HSEEP Resources - Preparedness Toolkit. Through the National Preparedness Directorate's t for Domestic Preparedness (CDP), the Emergency Management Institute (EMI), and the National Training a n d E d u c a t i o n Di v i s i o n' s p a r t n e r s h i p s wi t h t h e Na 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. Over 700 tuition -free courses are offered to members of state, local, tribal, and territorial 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. FEMA's National Preparedness Course Catalog This online searchable catalog features a compilation of courses managed by the three primary FEMA training organizations: the Center for Domestic Preparedness, EMI, and NTED. The catalog features a wide range of course topics in multiple delivery modes for federal, state, local, territorial, and tribal audiences. The catalog is located at First Responder Training and Education Division. 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 NQS Implementation section). 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 state, local, tribal, territorial, regional, or other EMPG Program ApWndi200023 8/20/2G24H-13 designated location. Further information on the National Emergency Management Basic Academy and the Emergency Management Professional Program can be found at: EMI EMPP. A complete list of Independent Study Program Courses may be found at EMI Independent Study. 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)4, and; 2) Professional Development Series (PDS) or the Emergency Management Professionals Program (EMPP) Basic Academy courses listed in the chart below. IS-120.a: An Introduction to Exercises IS-100 (any version): Introduction to the Incident Command System IS-230.d: Fundamentals of Emergency IS-700 (any version): National Incident Management 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 E/L101: Foundations of Emergency Problem Solving Management IS-242.b: Effective Communication E/L102: Science of Disasters IS-244.b: Developing and Managing E/L103: Planning Emergency Operations Volunteers IS-244.b: Developing and Managing E/L 104: Exercise Design Volunteers IS-244.b: Developing and Managing E/L105: Public Information & Warning Volunteers 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. Additional Training Information Per FEMA Grant Programs Directorate Information Bulletin 432, Review and Approval Requirements for Training Courses Funded Through Preparedness Grants, issued on July 19, 2018, states, territories, tribal entities, and high -risk urban areas are no longer required to request approval from FEMA for personnel to attend non-DHS FEMA training as long as the training is coordinated with and approved by the state, territory, tribal, or high -risk urban area Training Point of Contact (TPOC) and falls within the FEMA mi s si on scope and t he j u r i s d i ct i on' s EOP. 4NIMS 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. EMPG Program ApWndi203023 8/20/2G24H-14 FEMA will conduct periodic reviews of all state, territory, and urban area training funded by FEMA. These reviews may include requests for all course materials and physical observation of, or participation in, the funded training. If these reviews determine that courses are outside the scope of this guidance, recipients will be asked to repay grant funds expended in support of those efforts. For further information on developing courses using the instructional design methodology and tools that can facilitate the process, State Administrative Agencies (SAAs), and TPOCs are encouraged to review the National Training and Education Division Training Resource and Development Center website at FRTS- TRDC Home. Reporting • All EMPG Program -funded 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. • 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 FY 2023 EMPG Program Work Plan Template as an attachment to the quarterly PPR. For those recipients who choose not to use the FY 2023 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. • Recipients must report their NIMS implementation status of their jurisdiction and sub jurisdictions, 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. • Trai ni ng I of or mat i on R e p o r t i ng Sys t em ( "Web For i management system built to assist SAA TPOCs and federal agencies to submit non-NTED training 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 E MP G P r o g r a m' s i n t e n t, a n d entt. While recpoortingr trsaineing c o n t e i activities through Web Forms is not required under the EMPtG 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. Reviewing and Updating Planning Products B a s e d o n t h e a p p l i c a n t' s c u r r e n t T HI RA/ S P R, c a p a b 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. Additional Considerations 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 prepare for i n c i dent s t hat pose t he great e s t r i sk t o t he Nat i to build and sustain an integrated network of national capabilities across all levels of government and the EMPG Program ApWndi2Q2023 8/20/2G24H-15 whole community. 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, capabilities -based planning. Strong and inclusive governance systems better ensure that disparate funding streams are coordinated and applied for maximum impact. 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 as identified in the SPR and coordinated among affected preparedness stakeholders, including appropriate representatives of at -risk, underserved communities. • 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 state and regional levels, 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, underserved populations and ensuring equity for those most at risk relative to disaster preparedness, response, and recovery. • 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-state partnerships and dependencies at the state and regional levels, including those within metropolitan areas, must be recognized. Program Performance Reporting Requirements Performance Progress Reports (PPR) Recipients are responsible for providing performance reports to FEMA on a quarterly basis. As explained in the Standardized Programmatic Reporting section below, the quarterly PPRs must be based on the approved EMPG Program Work Plan and are due no later than 30 days after the end of the quarter. Although not mandatory, recipients are encouraged to use the updated FY 2023 EMPG Program Work Plan Template — specifically the Implementation Schedule, Training Data Table, and Exercise Data Table — to report on the status of planned project activities, any risks that may affect project progress or success, and updates to project schedules. The PPR (in the form of an updated Work Plan) shall be submitted in ND Grants. See EMPG Program Work Plan section for additional guidance. Programmatic Reporting Periods and Due Dates The following reporting periods and due dates apply for the PPR: Reporting Period October 1 — December 31 Report Due Date January 30 January 1 —March 31 April 30 April 1 — June 30 July 30 July 1 — September 30 October 30 EMPG Program ApWndi203023 8/20/2G24H-16 Standardized Programmatic Reporting for the EMPG Program The FY 2023 EMPG Program Work Plan Template has been modified to standardize data collection, which enables improved analysis and reporting. The EMPG Program Work Plan includes ten components: 1) Grant Investment Strategy 2) Grant Activities Outline 3) Detailed Budget — Excluding Management and Administrative (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 use of the FY 2023 EMPG Program Work Plan Template is not mandatory (see EMPG Program Work Plan section), 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 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 FY 2023 EMPG Program Work Plan Template as an attachment to the quarterly PPR. Recipients who choose not to use the FY 2023 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. EMPG Program AMndi204023 8/20/2G24H-17 EMPG Program Funding Guidelines Allowable Costs Management and Administration (M&A) M&A activities are those defined as directly relating to the management and administration of EMPG Program funds, such as financial management, reporting, and program and financial monitoring. Some examples of M&A costs include grants management training for M&A staff, equipment and supplies for M&A staff to administer the EMPG Program grant, travel costs for M&A staff to attend conferences or training related to the EMPG 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. 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 particular Federal award; and 4) not duplicative of the same costs that are included in the approved Indirect Cost Rate Agreement, if applicable. It should be noted that salaries of state and local emergency managers are not typically categorized as M&A, unless the state or local Emergency Management Agency (EMA) chooses to assign personnel to specific M&A activities. In this case, personnel and fringe benefits for M&A is allowable. If the SAA is not the EMA, the SAA is not eligible to retain funds for M&A. M&A costs are allowable for both state and local -level EMAs. The state EMA may use up to 5% of the EMPG Program award for M&A purposes. In addition, local EMAs may retain and use up to 5% of the amount received from the state for local M&A purposes. Indirect Costs Indirect costs are allowable under this program. S e e t h e " P r o c e d u r e s f o r E s t a b l Sect i onSuibnmi"sl§rieon I of or mat.i on" f or mor e i of or mat i o Unrecovered Indirect Costs In accordance with 2 C.F.R. § 200.306(c) "[ u] n r e c o v e r e d i n d i r e c t c o s t s i sharing or matching may be included as part of cost sharing or matching only with the prior approval of the Federal awarding agency. Unrecovered indirect cost means the difference between the amount charged to the Federal award and the amount which could have been charged to the Federal award under the non- F e d e r a l e n t i t y' s a p p r o vTbe&foren, unrgc®vtreid indtireectdcostsi nmaydbi✓ r e c o s applied to meet cost share requirements ofaht EMPG Program grant with the approval of the Regional Grants Division. T o me e t t h e c o s t s h a r i n g r e q u i r e me n t s t h e verifiable, reasonable, allocable, necessary, and otherwise allowable under the grant program, and in compliance with all applicable Federal requirements and regulations. Whole Community Preparedness EMPG Program recipients should engage with the whole community to advance community and individual preparedness and to work as a nation to build and sustain resilience. Recipients should consider the three goals of the 2022-2026 FEMA Strategic Plan in their program design and delivery. Recipients should integrate program design and delivery practices that ensure representation and services for under- represented diverse populations that may be more impacted by disasters including children, seniors, EMPG Program ApWndi205023 8/20/2G24H-18 individuals with disabilities or other access and functional needs, individuals with diverse culture and language use, individuals with lower economic capacity, and other underserved populations. Individual preparedness should be coordinated by an integrated body of government and nongovernmental representatives as well, including but not limited to, elected officials, the private sector (especially privately owned critical infrastructure), private nonprofits, nongovernmental organizations (including faith -based, community -based, and voluntary organizations), advocacy groups for under -represented diverse populations that may be more impacted by disasters including children, seniors, individuals with disabilities or other access and functional needs, individuals with diverse culture and language use, individuals with lower economic capacity, and other underserved populations. By engaging these stakeholders, EMPG Program 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. The following preparedness programs are allowable expenses and resources: • Community Emergency Response Team (CERT) programs, which educate volunteers about disaster preparedness for the hazards that may impact their area and train them in basic disaster response skills, such as fire safety, light search and rescue, team organization, and disaster medical operations. CERT offers a consistent, nationwide approach to volunteer training and organization that professional responders can rely on during disaster situations, allowing them to focus on more complex tasks. • Financial Preparedness Activities that encourage and assist Americans in preparing for the true cost of disasters. Allowable activities include encouraging emergency savings, promoting home and r e n t e r ' s i ns ur a n c e, and pr omot i ng f 1 o o d i ns ur a local financial wellness organizations such as credit unions, financial counselors, community banks, and others that reach a variety of audiences are encouraged. • Preparedness of Community -Based Organizations that serve as a critical safety net for Americans disproportionately impacted by disasters. Examples of community -based organizations include but are not limited to food banks, food pantries, homeless shelters, school readiness and after school centers, adult day care centers, job training centers, legal assistance centers, and cultural centers. Allowable activities include Whole Community exercises, trainings, and activities focused on staff preparedness, information sharing with clients and government, and continuity of essential functions in the event of an emergency. • Youth Preparedness Resources are available on Ready Kids. Bolstering youth preparedness across the nation is a priority for FEMA as the Agency works with state, local, tribal, and territorial partners to create a culture of preparedness in the United States. Information on youth -centric educational curricula, games, planning materials, and other relevant resources can be found at Ready Kids. F u r t h e r in o r e, F E MA' s I n d i v i d u a l a n d Co m m u based Community Preparedness Officers are available to provide grant recipients with guidance and assistance. Please email FEMA-Prepare&fema.dhs.gov t o c o n t a c t o n e o f t h e A g matter experts. The following are examples of youth preparedness activities that recipients are encouraged to undertake as allowable costs: o Reach out to a local school board or elementary school to encourage the adoption of the Student Tools for Emergency Planning (STEP) curriculum. STEP is a classroom -based emergency preparedness curriculum for 4th- and 5th-graders in an easy, ready -to -teach format. Students will learn about disasters, emergencies, and hazards, and how to create a EMPG Program ApWndi206023 8/20/2G24H-19 disaster supply kit and family emergency communication plan. An overview of the STEP program along with the instructor guide and student activity book is available at Ready STEP. o Sponsor the creation of a Teen for Community Emergency Response Team (CERT) in your jurisdiction. The CERT Program is a national program of volunteers trained in disaster preparedness and emergency response. Volunteers come from all ages and all walks of life, including teenagers. Additional information, including a step-by-step guide on how to start a Teen CERT, is available at Ready Teen CERT. Th e f o l t o wi n g t o o l s a r e a v a i l a b l e t o o r d e r f r o f o "Pr e p a r e wi t h Pe dr o" i s a j of nt pr o d u c t of "Pr e p a r e wi t h P e d r o Di Bast er Pr e p a r e d n e s s children and their families about how to stay safe during disasters and emergencies. The book follows Pedro around the United States and offers safety advice through crosswords, coloring pages, matching games, and more. Additional information, including an ordering form, is available at Ready - Prepare with Pedro. o The Ready 2 Help card game is a fun way for kids to learn how to respond to emergencies by working with friends and using skills that will help in a real emergency. Ready 2 Help teaches five simple steps to stay safe and make a difference until help arrives: • Stay Safe • Stay Calm • Get Help • Give Info • Give Care Ready 2 Help is designed for children ages 8 and up. Additional information, including an ordering form, is available at Ready 2 Help. Planning Planning spans all five mission areas of the Goal and provides a methodical way to engage the whole community in the development of a strategic, operational, and/or community -based approach to preparedness. EMPG Program funds may be used to develop or enhance emergency management planning activities. Some examples include: Emergency Operations Plan • Maintaining a current EOP that is aligned with guidelines set out in Comprehensive Preparedness Guide (CPG) 101: Developing and MaintainingEmergencyOperations Plans • Modifying existing incident management and emergency operations plans • Developing/enhancing large-scale and catastrophic event incident plans Communications Plans • Developing and updating Statewide Communication Interoperability Plans • Developing and updating Tactical Interoperability Communications Plans Administrative Plans • Developing/enhancing financial and administrative procedures for use before, during, and after disaster events in support of a comprehensive emergency management program Whole Community Engagement/Planning • Developing or enhancing mutual aid agreements/compacts, including required membership in EMAC EMPG Program ApWndi2Q7023 8/20/2G24H-20 Developing/enhancing emergency operations plans to integrate citizen/volunteer and other Non - Governmental Organization (NGO) resources and participation Integrating program design and delivery practices that ensure representation and services for under- represented, diverse populations that may be more impacted by disasters, including children, seniors, individuals with disabilities or other access and functional needs, individuals with diverse culture and language use, individuals with lower economic capacity, and other underserved populations. Resource Management Planning • Developing/enhancing logistics and resource management plans • Developing/enhancing volunteer and/or donations management plans Shelter and Evacuation Planning • Developing/enhancing sheltering and evacuation plans, including plans for alerts/warning, crisis communications, pre -positioning of equipment for areas potentially impacted by mass evacuations, and re-entry Recovery Planning • Disaster housing planning, such as creating/supporting a state disaster housing task force and developing/enhancing state disaster housing plans • Pre -event response, recovery, and mitigation plans in coordination with state, local, and tribal governments • Developing/enhancing other response and recovery plans Developing recovery plans and preparedness programs consistent with the principles and guidance in the National Disaster Recovery Framework (NDRF) that will provide the foundation for recovery programs and whole community partnerships. Preparedness and pre -disaster planning were given special attention within the NDRF with specific guidance: Planning for a Successful Disaster Recovery (pages 63-70). For more information on the NDRF see National Disaster Recovery Framework. Continuity Planning Continuity planning and operations are an inherent element of each core capability. Continuity operations increase resilience and the probability that organizations can perform essential functions. FEMA develops and promulgates Federal Continuity Directives (FCDs) to establish continuity program and planning requirements for executive departments and agencies and Continuity Guidance Circulars (CGCs) for SLTT governments, non -governmental organizations, and private sector critical infrastructure owners and operators. This direction and guidance assist in developing capabilities for continuing the essential functions of federal, state, local, tribal, territorial governmental entities as well as the public/private critical infrastructure owners, operators, and regulators enabling them. Presidential Policy 40, FCD 1, FCD 2, CGC 1, and CGC 2 outline the overarching continuity requirements and guidance for organizations and provide guidance, methodology, and checklists. For additional information on continuity programs, guidance, directives, and available technical assistance, visit Continuity Resources and Technical Assistance and the Office of National Continuity Programs. Allowable continuity planning activities include the development of the following: • Continuity of operations and Continuity of Government planning products for the continuance of essential functions and associated leadership; • Risk -based needs assessments based on the THIRA to inform risk mitigation efforts to ensure the continuity of essential functions and associated leadership; and EMPG Program AMndi2Q8023 8/20/2G24H-21 • Public and private sector outreach and messaging regarding continuity resilience benefits and strategies. Organization Per the Robert T. Stafford Disaster Relief and Emergency Assistance Act, Pub. L. No. 93-288, as amended, (42 U.S.C. §§ 5121-5207), EMPG Program funds may be used for all -hazards emergency management operations, staffing, and other day-to-day activities in support of emergency management, including hazard mitigation staffing of the State Hazard Mitigation Officer position; staffing CERT and Citizen Corps positions at the state and local levels to promote whole community engagement in all phases of emergency management; performing closeout activities on FEMA disaster assistance grants; staffing permanent t e c h n i c a l a d v i s o r s o n c h i Jan& territorria' 1 levelsil andesudppsortin?g fusion hs et a center analysts who are directly involved in all -hazards preparedness activities as defined by the Stafford Act. Proposed staffing activities should be linked to accomplishing the activities outlined in the EMPG Program Work Plan. Recipients are encouraged to fund at least one dedicated Planner, Training Officer, and Exercise Officer. Personnel costs, including salary, overtime, compensatory time off, and associated fringe benefits, are allowable EMPG Program costs and must comply with 2 C.F.R. Part 200, Subpart E — Cost Principles. Federal (and Mutual Aid) Emergency Response Official (F/ERO) Credentialing and Validation The following costs related to F/ERO credentialing and validation are allowable under the EMPG Program: • Working group meetings and conferences relating to emergency responder credentialing and validation; • Compiling data to enter into an emergency responder repository; • Coordinating with other state, local, territorial, and tribal partners to ensure interoperability among existing and planned credentialing and validation systems and equipment; and • Planning to incorporate emergency responder identity and credential validation into training and exercises. Organizational Clothing Costs for Emergency Management Personnel There may be a need for emergency management personnel to wear clothing that clearly identifies their agency, organizational function, and responsibilities when carrying out their official emergency -related duties. EMPG funding may be used to purchase organizational clothing for full-time emergency management personnel who may be deployed for emergency operations, including when: • The Emergency Operations Center (EOC) is activated; • Emergency management personnel are deployed in the field to conduct damage assessments and response and recovery operations; • Assisting in and delivering official emergency management training and exercises, and; • Providing public information briefs and interviews on behalf of their emergency management agency. The state or territory emergency management agency should maintain an inventory of such clothing and uniforms to allow for issuance to other personnel who may be deployed for emergency operations. In addition: • EMPG funding may not be used to purchase clothing that would be used for everyday wear by emergency management employees or other personnel. • Clothing, uniforms, undergarments, jackets, vests, etc. are also allowable for CERT members as listed on the Authorized Equipment List (AEL): 21 GN-00-CCEQ I FEMA. og_v. EMPG Program ApWndi209023 8/20/2G24H-22 For a complete list of other eligible clothing and protective gear allowable for purchase with EMPG funding, applicants, recipients and FEMA staff are encouraged to refer to the AEL website for the most up- to-date information: Authorized Equipment List I FEMA.gov. Equipment Allowable equipment categories for the EMPG Program are listed in the Authorized Equipment List (AEL). Unless otherwise stated, equipment must meet all mandatory regulatory and/or FEMA-adopted standards to be eligible for purchase using these funds. In addition, agencies will be responsible for obtaining and maintaining all necessary certifications and licenses for the requested equipment. Allowable equipment includes equipment from the following AEL categories: • Personal Protective Equipment (Category 1) • Information Technology (Category 4) • Cybersecurity Enhancement Equipment (Category 5) • Interoperable Communications Equipment (Category 6) • Detection Equipment (Category 7) • Power Equipment (Category 10) • Chemical, Biological, Radiological, Nuclear, and Explosive (CBRNE) Reference Materials (Category 11) • CBRNE Incident Response Vehicles (Category 12) • Physical Security Enhancement Equipment (Category 14) • CBRNE Logistical Support Equipment (Category 19) • Other Authorized Equipment (Category 21) In addition to the above, general-purpose vehicles may be procured in order to carry out the responsibilities of the EMPG Program. If recipients have questions concerning the eligibility of equipment not specifically addressed in the AEL, they should contact their Regional EMPG Program Manager for clarification. Applicants should analyze the cost benefits of purchasing versus leasing equipment, especially high -cost items and those subject to rapid technical advances. Large equipment purchases must be identified and explained. For more information regarding property management standards for equipment, please reference 2 C.F.R. Part 200, including 2 C.F.R. §§ 200.310, 200.313, and 200.316. Also see 2 C.F.R. §§ 200.216, 200.471, and FEMA Policy #405- 143-1, Prohibitions on Expending FEMA Award Funds for Covered Telecommunications Equipment or Services, or successor policy, regarding prohibitions on covered telecommunications equipment or services. Recipients using EMPG Program funds to support emergency communications equipment activities must comply with the SAFECOM Guidance on Emergency Communications Grants, including provisions on technical standards that ensure and enhance interoperable communications. This SAFECOM Guidance can be found at SAFECOM Funding Resources. In general, with exception of critical emergency supplies and the associated inventory management plan, equipment included in the AEL may be purchased without separate approval from FEMA. However, as with all grant -funded activities, the equipment purchase must be well justified and reasonable. Furthermore, the purchase must be supported by the approved Work Plan. If the equipment is not clearly supported by the approved Work Plan, the recipient must seek advance approval from the applicable FEMA Regional Grant Program Office prior to purchasing the equipment, and an updated Work Plan may be required. FEMA will consider requests to purchase equipment that is not listed in the AEL on a case -by -case basis. Such requests should be submitted in writing to the applicable FEMA Regional Grant Program Office. F E MA' s r e v i e w a n d a p p r o v a l o f s u c h r eangdiheads1uhrtvrs w i 1 1 EMPG Program AMndi2 J ()023 8/20/2G24H-23 program staff to ensure nationwide consistency in the decision -making process and to support any necessary updates to the AEL. Requirements for Small Unmanned Aircraft Systems All requests to purchase Small Unmanned Aircraft System (sUAS) must comply with FEMA Policy 207- 22-0002, Prohibited or Controlled Equipment Under FEMA Awards, and must include the policies and p r o c e d u r e s i n p l a c e t o s a f e g u a r d i n d i v i d u a l s p r i will purchase, take title to, or otherwise use the sUAS equipment. Additional information and requirements applicable to sUAS purchases can be found in the AEL at 030E-07-SUAS. Acquisition and Use of Technology to Mitigate UAS (Counter-UAS) In August 2020, FEMA alerted of an advisory guidance document issued by DHS, the Department of Justice, the Federal Aviation Administration, and the Federal Communications Commission: Advisory on the Application of Federal Laws to the Acquisition and Use of Technology to Detect and Mitigate UAS. The purpose of the advisory guidance document is to help non-federal public and private entities better understand the federal laws and regulations that may apply to the use of capabilities to detect and mitigate threats posed by UAS operations (i.e., Counter-UAS or C-UAS). The Departments and Agencies issuing the advisory guidance document, and FEMA, do not have the authority to approve non-federal public or private use of UAS detection or mitigation capabilities, nor do they conduct legal reviews of commercially available product compliance with those laws. The advisory does not address state and local laws nor potential civil liability, which UAS detection and mitigation capabilities may also implicate. It is strongly recommended that, prior to the testing, acquisition, installation, or use of UAS detection and/or mitigation systems, entities seek the advice of counsel experienced with both federal and state criminal, surveillance, and communications laws. Entities should conduct their own legal and technical analysis of each UAS detection and/or mitigation system and should not rely so l e l y o n v e n d o r s' r e p r e s e n 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 UAS. 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. Funding for Critical Emergency Supplies Critical emergency supplies —such as shelf stable products, water, and basic medical supplies —are an allowable expense under the EMPG Program. F E M A m u s t a p p r-geavr viabla invesnttory t e' s f i management plan prior to allocating grant funds for stockpiling purposes. The five-year plan should include a distribution strategy and related sustainment costs if the grant expenditure is over $100,000. Training EMPG Program funds may be used for a range of emergency management -related training activities to enhance the capabilities of state and local emergency management personnel through the establishment, support, conduct, and attendance of training. 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 process. Further guidance concerning the IPP and the IPPW can be found at Preparedness Toolkit Program Management Templates. Training should: • Foster the development of a community -oriented approach to emergency management that emphasizes engagement at the community level; • Strengthen best practices; and • Provide a path toward building sustainable resilience. EMPG Program AMndi21 2023 8/20/2G24H-24 Allowable training -related costs include the following: Funds Used to Develop, Deliver, and Evaluate Training: Includes costs related to administering training, such as planning, scheduling, facilities, materials and supplies, reproduction of materials, and equipment. Training should provide the opportunity to demonstrate and validate skills learned, as well as to identify any gaps in these skills. Any training or training gaps, including those for children and individuals with disabilities or other access and functional needs, should be identified in the multi -year IPP and addressed in the training cycle. States are encouraged to use existing training rather than developing new courses. When developing new courses, states are encouraged to apply the Analysis, Design, Development, Implementation, and Evaluation (ADDIE) model for instructional design. More information is available at NTED I Training Resource Development Center. Overtime and Backfill: Overtime costs, including payments related to backfilling personnel, that are the direct result of attendance at FEMA and/or approved training courses and programs are allowable. These costs are allowed only to the extent the payment for such services is in accordance with the policies of the state or unit(s) of local government and has the approval of the state or FEMA, whichever is applicable. In no case is dual compensation allowable. That is, an employee of a unit of government may not receive compensation from their unit or agency of government and from an award for a single period of time (e.g., 1:00 p.m. to 5:00 p.m.), even though such work may benefit both activities. Travel: Travel costs (e.g., airfare, mileage, per diem, and hotel) are allowable as expenses by employees who are on travel status for official business related to approved training. International travel is not an allowable cost under this program unless approved in advance by FEMA. Hiring of Full- or Part -Time Staff or Contractors/Consultants: Full- or part-time staff or contractors/consultants may be hired to support direct training -related activities. Hiring of contractors/consultants must follow the applicable federal procurement requirements at 2 C.F.R. §§ 200.317-200.327. Payment of salaries and fringe benefits must be in accordance with the policies of the state or unit(s) of local government and have the approval of the state or FEMA, whichever is applicable. Certification/Recertification of Instructors: Costs associated with the certification and re- certification of instructors are allowed. States are encouraged to follow the FEMA Instructor Quality Assurance Program to ensure a minimum level of competency and corresponding levels of evaluation of student learning. This is particularly important for those courses that involve training of trainers. Additional types of allowable training or training -related activities include, but are not limited to: • Developing/enhancing systems to monitor training programs • Conducting all -hazards emergency management training • Attending EMI training or delivering EMI train -the -trainer courses • Attending other FEMA-approved emergency management training • State -approved, locally sponsored CERT training • Mass evacuation training at local, state, territorial and tribal levels Exercises Allowable exercise -related costs include: • Funds Used to Design, Develop, Conduct and Evaluate Preparedness Exercises: This includes costs related to planning, meeting space and other meeting costs, facilitation costs, materials and supplies, travel, and documentation. Recipients are encouraged to use free public EMPG Program ApWndi212023 8/20/2G24H-25 space/locations/facilities whenever available prior to the rental of space/locations/facilities. Exercises should provide the opportunity to demonstrate and validate skills learned, as well as to identify any gaps in these skills. Gaps identified during an exercise, including those for children and individuals with disabilities or other access and functional needs, should be included in the AAR/IP and addressed in the exercise cycle. • Hiring of Full- or Part -Time Staff or Contractors/Consultants: Full- or part-time staff may be hired to support direct exercise activities. Payment of salaries and fringe benefits must be in accordance with the policies of the state or unit(s) of local government and have the approval of the state or FEMA, whichever is applicable. The services of contractors/consultants may also be procured to support the design, development, conduct, and evaluation of exercises. Hiring of contractors/consultants must follow the applicable federal procurement requirements at 2 C.F.R. §§ 200.317-200.327. • Overtime and Backfill: The entire amount of overtime costs, including payments related to backfilling personnel, that are the direct result of time spent on the design, development and conduct of exercises are allowable expenses. These costs are allowed only to the extent the payment for such services is in accordance with the policies of the state or unit(s) of local government and has the approval of the state or FEMA, whichever is applicable. Dual compensation is never allowable, meaning, in other words, that an employee of a unit of government may not receive compensation from their unit or agency of government and from an award for a single period of time (e.g., 1:00 p.m. to 5:00 p.m.), even though their work may benefit both entities. • Travel: Travel costs (e.g., airfare, mileage, per diem, hotel) are allowable as expenses by employees who are on travel status for official business related to the planning and conduct of the exercise activities. • Supplies: Supplies are items that are expended or consumed while planning and conducting the exercise activities (e.g., gloves, non -sterile masks, and disposable protective equipment). • HSEEP Implementation: This refers to costs related to developing and maintaining an exercise program consistent with HSEEP. • Other Items: These costs are limited to items consumed in direct support of exercise activities, such as space/locations rentals for planning and conducting an exercise, equipment rentals (e.g., portable toilets, tents), food/refreshments, and the procurement of other essential nondurable goods. Costs associated with inclusive practices and the provision of reasonable accommodations and modifications that facilitate full access for children and adults with disabilities are allowable. Unauthorized exercise -related costs include: Reimbursement for maintenance and/or wear and tear costs of general use vehicles (e.g., construction vehicles) and emergency response apparatus (e.g., fire trucks, ambulances). The only vehicle costs that are reimbursable are fuel/gasoline or mileage. Equipment that is purchased for permanent installation and/or use beyond the scope of exercise conduct (e.g., electronic messaging signs) Durable and nondurable goods purchased for installation and/or use beyond the scope of exercise conduct Construction and Renovation Construct i on a n d r e n o v a t i o n p r o j e c t s f o r a s t a t e, Emergency Operations Center (EOC), as defined by the SAA are allowable under the EMPG Program. FEMA must provide written approval prior to the use of any EMPG Program funds for construction or renovation. Requests for EMPG Program funds for construction of an EOC must be accompanied by an EOC Investment Justification (located in the Related Documents tab of the EMPG Program Grants. go EMPG Program ApWndi213023 8/20/2G24H-26 posting) to their Regional EMPG Program Manager for review. Additionally, recipients are required to submit a SF-424C Form, SF-424D Form, and Budget detail citing the project costs. The above examples are not intended to exclude other construction projects as potentially allowable costs. For example, construction of a facility for the storage and distribution of critical emergency supplies and/or to serve as a staging area for deployment of emergency response resources is potentially an allowable expense. Other construction or renovation projects, such as a secondary or local EOC, will be considered on a case -by -case basis, as described below in the guidance regarding advance written approval. Advance Approval Requirement Recipients must receive advance written approval from FEMA prior to the use of any annual EMPG Program funds for construction or renovation, including such activities at the subrecipient level. Such costs would need to fall within the scope of t h e r e c i p i e n t' s f i n a l a p p r o v e d Wo Plan may be required. Such requests should be submitted in writing to the applicable FEMA Regional Grant Procram Office. F Esh*Aie'w and approval will involve both the regional office and the FEMA Grant Programs Directorate. Real Property Use and Disposition Requirements Real property improved under a federal award falls under the 2 C.F.R. Part 200 guidance for real property. In accordance with 2 C.F.R. § 200.311, a recipient or subrecipient may only use real property acquired or improved under a federal award for the originally authorized purpose, as long as it is needed for that purpose, during which time the recipient or subrecipient must not dispose of or encumber its title or other interests. However, upon the end of that period where it needs the property for the originally authorized purpose (i.e., the functional use of the property for which FEMA awarded the grant), the recipient or subrecipient will then dispose of the property in keeping with the requirements set forth in 2 C.F.R. § 200.311. When a grant -funded property is no longer needed for the originally authorized purpose, the recipient or subrecipient (through the pass -through entity) must obtain disposition instructions from the cognizant FEMA Regional Administrator or the pass -through entity. For additional information on this, see Information Bulletin 458a, Clarifying ing Guidance for the Annual Emergency Management Performance Grant (EMPG) and the FY 2020 COVID-19 EMPG Supplemental (EMPG-S,) Programs. Construction of Communication Towers When applying for funds to construct communication towers, recipients and subrecipients must submit e v i B e n c e t h a t t h e F e d e r a l C o mmu n i c a t i o n Co mmi s s i o and submit all documentation resulting from that review to FEMA prior to submitting materials for EHP review. Recipients and subrecipients are also 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 EHP laws and requirements). Projects for which the recipient believes an Environmental Assessment may be needed, as defined in Implementation of the National Environmental Policy Act, , and EHP Directive and Instructions: FEMA Directive 108-1 and FEMA Instruction 108-1-1, must also be identified to the Regional EMPG Program Manager within six months of the award, and completed EHP review materials must be submitted no later than 12 months before the end of the period of performance. EHP review packets should be sent to gpdehpinfogfema.gov. Davis -Bacon Act Compliance EMPG Program recipients using funds for construction projects must comply with the Davis -Bacon Act and subsequent legislation (40 U.S.C. §§ 3141 et seq.). 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 EMPG Program ApWndi214023 8/20/2G24H-27 state in which the work is to be performed. Additional information regarding compliance with the Davis - Bacon Act, including Department of Labor wage determinations, is available at Davis -Bacon and Related Acts. Accessibility Compliance EMPG Program recipients using funds to build or alter buildings must comply with accessibility requirements under the Rehabilitation Act of 1973 and Architectural Barriers Act of 1968 (ABA), as well as the Americans with Disabilities Act (ADA), if applicable, to ensure individuals with disabilities have access to such buildings. Accessibility standards under the ABA and ADA are highly similar. Additional information regarding compliance with the Architectural Barriers Act is available at Guide to the ABA. Acquisition of Real Property Acquisition of real property is permissible if such property is needed to support other allowable program costs or activities. For additional information on this, see Information Bulletin 458a, Clarifying Guidance for the Annual Emergency Management Performance Grant (EMPG) and the FY 2020 COVID-19 EMPG Supplemental (EMPG-S) Programs.- Advance Approval Requirement Consistent with the requirements outlined above regarding construction activities, recipients and subrecipients (through the pass -through entity) must obtain advance written approval from the cognizant FEMA Regional Administrator prior to obligating annual EMPG Program funds for acquisition of real property. Additionally, in cases of acquisition or improving real property, recipients are required to submit a SF-429-B, Real Property Status Report, Attachment B providing details of the relevant property to be acquired. Property Use, Reporting, and Disposition Requirements The acquisition, use, and disposition of real property shall be subject to the provisions of 2 C.F.R. Part 200. In accordance with 2 C.F.R. Part 200, recipients and subrecipients are required to report on the status of the acquired property on an annual basis using SF-429-A Real Property Status Report, Attachment A (General Reporting). Such reporting shall continue as long as the property is being used for the originally authorized purpose. The same use and disposition guidance as outlined in Sections III.D.3 above applies to real property acquired with annual EMPG Program funds. For additional information on this, see Information Bulletin 458a, Clarifying Guidance for the Annual Emergency Management Performance Grant (EMPG) and the FY 2020 COVID-19 EMPG Supplemental (EMPG-S,) Programs. Leasing of Real Property Leasing of real property is permissible if the property is needed to support other allowable annual EMPG Program activities. Advance Approval Requirement Recipients and subrecipients (through the pass -through entity) must obtain advance written approval from the cognizant FEMA Regional Administrator prior to obligating annual EMPG Program funds for the leasing of real property. Allowable Period of Lease Expenses In cases where a property will be leased and the lease will be paid in full or in part using annual EMPG Program, any costs associated with the lease that are charged to an annual EMPG Program award must occur within the period of performance of the associated award(s). Real property lease costs must also comply with 2 C.F.R. Part 200. EMPG Program ApWndi215023 8/20/2G24H-28 Maintenance and Sustainment Use of FEMA preparedness grant funds for maintenance contracts, warranties, repair or replacement costs, upgrades, and user fees are allowable under all active grant awards, unless otherwise noted. EMPG Program 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 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) Shareable through the EMAC. Additionally, eligible costs may also be in support of equipment, training, and critical resources that have previously been purchased with either federal grant funding or any other source of funding other than FEMA preparedness grant program dollars. Unallowable Costs Grant funds may not be used for the following: • Unallowable Equipment: 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 firearms, ammunition, grenade launchers, bayonets, or weaponized aircraft, vessels, or vehicles of any kind with weapons installed; • Expenditures for weapons systems and ammunition; • Costs associated with hiring, equipping, training, etc. sworn public safety officers whose primary job responsibilities include fulfilling traditional public safety duties such as law enforcement, firefighting, emergency medical services, or other first responder duties; • Costs that supplant traditional public safety positions and responsibilities; or • Activities and projects unrelated to the completion and implementation of the EMPG Program • Clothing used for everyday wear by emergency management employees or other personnel. Recipients should consult with their Regional EMPG Program Manager prior to making any investment that does not clearly meet the allowable expense criteria established in this Manual and the EMPG Program NOFO. Amendments for EMPG Costs In 2 CFR 200.308(f) it states that the Federal awarding agency may, at its option, restrict transfer of funds among direct cost categories where the Federal share exceeds the simplified acquisition threshold, and the cumulative amount of the transfer exceeds 10% of the total budget last approved by the awarding agency. F o r p u r p o s e s o f 2 C F R 2 0 0. 3 0 8( f ) , t 4fedeerahcoat shame. " b u d g For EMPG awards (which include a 50% cost share), if the recipient wants to revise their budget and there are transfers between the direct cost categories exceeding the Simplified Acquisition Threshold and the cumulative amount of the transfers exceeds 10% of the total project costs (federal and non-federal), then EMPG recipients must request prior written approval from their Regional EMPG Program Manager for EMPG Program ApWndi216023 8/20/2G24H-29 those transfers and amendments. Recipients should consult with their Regional EMPG Program Manager prior to making any changes to their EMPG Work Plan. EMPG Program AMndi217023 8/20/2G24H-30 EMPG Program Work Plan Submission of an EMPG Program Work Plan is mandatory. It is a required component of the EMPG Pr o g r am appl i cat i on. The Wor k P1 an out 1 i ne s t he enhancement efforts, including new and ongoing activities and projects, that are driven by identified preparedness priorities and proposed for the EMPG Program period of performance. An FY 2023 EMPG Program Work Plan Template (available on the Grants. gov EMPG Program application page and on the FEMA.gov website at EMPG) is provided to facilitate the work plan development process. The submitted Work Plan must address all the data and information requirements included in the FY 2023 EMPG Program Work Plan Template and in the supplemental guidance included in this section. Therefore, EMPG Program applicants are strongly encouraged to use the provided FY 2023 EMPG Program Work Plan Template. Prior to submission of the EMPG Program Work Plan, the applicant must work with the Regional Administrator or designated Regional EMPG Program Manager to identify three to five priority areas which will serve as the focus for EMPG Program -funded investments. The priorities must be mutually agreed to by the applicant and Regional Administrator and should be driven by the THIRA/SPR process — specifically, the outputs from the THIRA/SPR process — and other relevant information sources such as AARs, audit and monitoring findings, Hazard Mitigation Plans and other deliberate planning products. Priorities should also reflect those included in each recipient's IPP so that recipients are focusing all investments, projects, and other resources on a common set of priorities. As they select priorities, applicants should consider which capability gaps would be most operationally consequential, must be closed most urgently, and could be meaningfully addressed within the period of performance. Applicants should refer to the EMPG Program NOFO for further guidance on the priority identification process. Applicants must set at least one performance goal for each RA agreed -upon priority area that achieves a specific outcome. Each goal must be specific, measurable, and achievable within the period of performance, relevant to the priority area, and have a target date for completion. Applicants must describe how achieving each goal or objective will impact the priority area it supports by the end of the period of performance. Each goal must include an estimate quantifying the extent to which the supporting investments will close c a p a b i l i t y gaps ( e. g. , "I n c r e a s e t h-teerm1WucsinrgbyelOn°/d a o w i t h i n 1 y e a r o f 3 EMPGi Aro(griamdWork 1Pla"n )rempdaTehnceludeF inYstruc2tioOns2 and examples to help guide this process so that recipients can develop goals that focus on achieving specific outcomes. The Regional Administrator or designated Regional EMPG Program Manager will ensure that the mutually agreed priorities are fully addressed in the EMPG Program Work Plan. In addition, the Regional Administrator must approve final Work Plans before states may draw down EMPG Program funds. Grant f u n d s wi 1 1 be r el e a s ed ulkfllam. appr oval of t he s t at e Following Work Plan approval, regional EMPG Program Managers will work closely with recipients to monitor progress toward goals and activities in the Work Plans during the performance period and may request further documentation from the recipients to clarify the projected Work Plan. Further, in accordance with 2 C.F.R. §200.308 — Revision of budget and program plans, any changes to the approved Work Plan — including changes in project scope and budget changes within any direct cost category exceeding 10% of the total award amount — will require advance approval from the Regional Administrator or designated Regional EMPG Program Manager. EMPG Program Work Plan Instructions The FY 2023 EMPG Program Work Plan Template has been updated to support the collection of objective information and quantitative data that will allow FEMA to measure program effectiveness and investment EMPG Program AMndi218023 8/20/2G24H-31 impacts more effectively. This also enables compliance with 2 C.F.R. & 200.301, which requires federal awarding agencies to measure recipient performance to show achievement of program goals and objectives, share lessons learned, improve program outcomes, and foster adoption of promising practices. To this end, the FY 2023 EMPG Program guidance in the NOFO and Work Plan requires recipients to link EMPG Program -funded investments to THIRA/SPR results and other relevant materials that inform capability priorities and needs and to include specific performance measures that will allow FEMA to measure the impact of those investments based on the core capabilities that are addressed. The FY 2023 EMPG Program Work Plan Template largely complements the THIRA/SPR process outlined in the Comprehensive Preparedness Guide (CPG) 201, Third Edition (CPG 201, v3). As noted in CPG 201, v3, a coordinated approach to track investments, and understand the return on investments, can help improve the effectiveness of those investments. Tracking how EMPG Program -funded investments result in s p e c i f i c, q u a n t i t a t i v e c h a n g e s i n c a p a b i l i t i e s c a and inform resource allocation decisions that will maximize effectiveness in building or sustaining capabilities. Therefore, applicants are encouraged to refer to CPG 201, v3, along with their most recent THIRA and SPR, when developing their EMPG Program Work Plan. The FY 2023 EMPG Program Work Plan Template consists of the following tabs: Definitions and Guidance, Quick Links, Grant Investment Strategy, Grant Activities Outline, Detailed Budget — Excluding M&A, Budget Narrative — Excluding M&A, Detailed Budget — M&A Only, Budget Narrative — M&A Only, EMPG Program Summary, Implementation Schedule, Training Data Table, and Exercise Data Table. As explained above, the focus of the FY 2023 EMPG Program Work Plan Template is on improving data collection to better enable measurement of grant outcomes. Therefore, the narrative content is minimized and many of the cells include dropdowns for selecting applicable data. This approach also helps to simplify the Work Plan development process. Instructions for each Work Plan section are provided below. Additional guidance and instructions are provided in the FY 2023 EMPG Program Work Plan Template. Definitions and Guidance The Definitions and Guidance tab collects applicant information and provides instructions for completing each subsequent tab. Quick Links The Quick Links Tab uses the link functionality in Excel to allow users to navigate throughout the template quickly and minimize the need to scroll through projects and implementation schedules. Grant Investment Strategy The intent of the Grant Investment Strategy tab of the FY 2023 EMPG Program Work Plan Template is to provide an overview of the state/territory's preparedness investment strategy. It should serve as the foundation for completing the remainder of the Work Plan. It includes separate sections to explain the following: • The performance goals associated with each priority area; • The most recent THIRA/SPR results; • Significant risks and capability gaps that currently exist; • Resulting preparedness priorities; and • The anticipated impact of the proposed EMPG Program -funded investments. EMPG Program ApWndi219023 8/20/2G24H-32 For the Performance Goals section, the applicant should identify the three to five priorities that were mutually agreed to and approved between the Regional Administrator and the state/territory. These goals serve as the focus for the EMPG Program -funded investments. The reference materials used to identify the priorities should be cited and their relevance explained in this section. At least one performance goal should be identified for each priority area. Each goal must be specific, measurable, achievable within the period of performance, relevant to the priority area, and have a target date for completion (i.e., SMART goal). It should describe how achieving each goal will impact the priority area it supports by the end of the period of performance. Grant Activities Outline The Grant Activities Outline is used to capture the proposed EMPG Program -funded projects and link them to the identified priorities, performance goals, and gaps or needs. Coupled with the Implementation Schedule, the Grant Activities Outline supports identification and tracking of EMPG Program -funded project outcomes, which will enable better understanding of the impacts of those investments relative to the performance goals and the associated core capabilities. Identifying and tracking project outcomes also supports compliance with the Foundations for Evidence -Based Policy Making Act of 2018 and changes to 2.C.F.R related to performance, evaluation, and risk for federal grants. Applicants can also designate whether a project addresses equity considerations and/or climate change impacts. Examples of allowable activities and associated core capabilities for projects that address the FY 2023 EMPG Program national priorities of equity, climate resilience, and readiness can be found in the FY 2023 EMPG Program NOFO. The Grant Activities Outline includes sections that allow the applicant to identify the performance goals that are supported by each project and the milestones that are critical to accomplishing each goal. Additional guidance on performance goals and milestones, including specific examples of each, are provided below. The Grant Activities Outline also requires the applicant to explain the objective and anticipated impact of each project relative to the associated priorities, performance goals, and related core capabilities: • T h e " P r o f e c t Ob j e c t i v e" s h o u t d e x p l a i n wh a t t h project will address the identified gap or need and how it supports one or more of the identified performance goals. • T h e Ant i c i p actt d'd s 1hrowil edc to xIprhlad n t h e e x p e c t e d p r associated priorities and performance goals. o The impact statement should include a quantitative estimate of the degree to which the project will contribute to achieving the identified performance goal (see hierarchy example below). Effective completion of the Grant Activities Outline requires an understanding of the established planning hierarchy. Priorities are at the top of the hierarchy, followed by performance goals that define a clear outcome or end -state and provide the basis for addressing each priority. Project proposals should be identified based on the performance goals. High priority capability gaps or needs identified through the THIRA/SPR process, particularly SPR Step 2, and other assessments are also used to inform project selection and to identify specific project objectives. Project objectives, and accompanying impact statements, should complement the performance goals by including similar outcome -focused metrics, as explained above. Lastly, identifying the specific project activities are the last step in the process of completing the GAO. Project activities are key components and/or milestones that are critical to successful completion of the project. An example of this planning hierarchy for completing the GAO is provided below: EMPG Program ApWn4iM023 8/20/2G24H-33 Priority: Logistics and Supply Chain Management Performance Goal: Within 24 hours of an incident, identify and mobilize life -sustaining commodities, resources, and services to 10,000 people requiring shelter and 100,000 people requiring food and water. Maintain distribution system for at least 30 days. • Project: Update State Logistics and Distribution Management Plan and qualify 40 additional personnel for logistics operations in NQS. o Project Objective/Impact: Increase capacity to identify and mobilize life -sustaining commodities, resources, and services to people requiring shelter, food, and water by 50%, allowing the state to do so for 7,500 people requiring shelter and 75,000 requiring food and water within 24 hours of an incident and maintain that distribution system for at least 30 days. • Activity: Convene cross -discipline working group meeting on May 30, 2023, to review current State Logistics and Distribution Management Plan All EMPG Program -funded investments must be accounted for in the Grant Activities Outline. However, recognizing that some sustainment activities, such as funding of emergency manager salaries, may not align to a specific priority or performance goal, applicants are not required to identify priorities and performance goals for such investments. However, all other portions of the Grant Activities Outline must be completed as a means to justify the applicable sustainment costs. In cases where emergency management personnel are not assigned to support specific projects included in the Work Plan, the applicant may choose to create a single project (e.g., Emergency Management Personnel Project) to encompass the majority of the EMPG Program -funded salaries and fringe benefits costs. This single project would be populated on the Grant Activities Outline and include the associated activities, priorities, goals, anticipated outcomes, milestones, etc. for the applicable EMPG Program -funded emergency management staff, including staff supporting the M&A activities. The various elements of the Grant Activities Outline tab are outlined below, along with basic instructions for completing the required entries. Supplemental guidance and instructions are included in the FY 2023 EMPG Program Work Plan Template. • Project Name: Provide a descriptive name for each planned project. Examples include " D e v e 1 o p m e n t o f E in e r,"g e"nDceyv eFl uonpcmt ei not n oAfn nEeaxr et sh Estimations," " I in p l e me n t a Inti rocpetrabilmtyfPlan$"t a"tNeI vM Sd eT r a i Emergency Management Personnel," D e v e l o p m e n t o f E m e r g e n Individuals with Disabilities," e t c . • Brief Project Description: Provide further details on the project, particularly where the project name does not sufficiently describe the project. • Gap or Need Addressed: Briefly describe the specific gap or need addressed by the project. • Reference for Identified Gap or Need: Select the documentation used to identify the cited gap or need from the drop -down menu. • Project Objective: Explain how the project addresses the identified gap or need, and how it supports the identified priorities and performance goals. • Anticipated Project Impact: Explain the expected project outcome relative to the associated priorities and performance goals. • Build or Sustain: Select whether the project will build or maintain/sustain the identified core capability(ies). • Equity: Select whether the project will address equity considerations. For FY 2023, at least one project must specifically address equity considerations. • Climate Change: Select whether the project will address the impacts of climate change. n 1 n ;y qua gf o P r e EMPG Program ApWndiW023 8/20/2G24H-34 • EMPG Program National Priority Area: Select the applicable National Priority Area from the drop -down menu. • Regional Administrator (RA) Agreed Upon Priority Area: Select from a drop -down list of the 32 core capabilities and other priorities identified in the latest version of the National Preparedness Report. If the priority is not included in the drop-d o w n l i s t e n t e r " o t h and/or Tertiary, and then enter the priority in the adjacent cell. • POETE Category: Select whether the project relates to Planning, Organization, Equipment, Training, or Exercises. Multiple POETE categories can be selected to accommodate projects that span multiple categories. For example, building capability often involves a combination of planning, training, and exercise activities. Space is provided to populate the Primary, Secondary and Tertiary POETE category. • Emergency Management Accreditation Program (EMAP) Standard Element: This field is optional. It is made available to those states/territories that are EMAP certified and want to continue tracking their investments by EMAP Standard Elements. Select the appropriate EMAP Standard Elements from the drop -down menu, if applicable. • Mission Area: Select the appropriate preparedness mission area supported by the project: Prevention, Protection, Mitigation, Response, or Recovery. Multiple mission areas can be selected to accommodate projects such as plans and exercises that involve multiple mission areas, and space is provided to populate the Primary, Secondary and Tertiary Mission Areas. • Core Capabilities: Select up to five core capabilities supported by the project. Indicate whether the Core Capability has a target with a gap rated as high priority. • Performance Goals: Select the performance goal(s) from the drop -down menu. The drop -down menu will consist of the performance goals as entered in the Grant Investment Strategy. • Current Capability Metrics: Identify capability metrics prior to the project implementation. • Milestones: Identify key project activities and other deliverables or outputs that are critical to accomplishing the identified performance goal and can be tracked to demonstrate progress toward achieving the performance goal. Detailed Budget — Excluding M&A The Detailed Budget — Excluding M&A tab enables a full accounting of all project activity costs, excluding M&A costs. This tab contains an itemization of non-M&A costs related to personnel, fringe benefits, travel, equipment, supplies, contractual services, construction, other, and indirect costs. For personnel and fringe benefits, the position title and percentage of time or fringe allocated to the EMPG Program grant is required. Each line item is assigned to its relevant project, allowing the information in mission areas, core capabilities, priorities, EMAP, and POETE categories to populate accordingly. This enables a breakdown of the full EMPG Program budget into various categories: Mission Area, Core Capabilities, National Priority Area, RA Agreed Upon Priority, EMAP Standard Elements, and POETE Category. The cells for each of these categories are automatically populated based on the project number as identified in the Grant Activities Outline. Budget Narrative — Excluding M&A The purpose of the Budget Narrative — Excluding M&A tab is to 1) justify the need for each line item and the cost estimates; 2) explain how costs relate to the programmatic goals of the project(s); and 3) supplement other budget information provided on the Detailed Budget — Excluding M&A tab. This tab will include a narrative for each cost category of the budget. For the Cost Share, applicants must include a detailed description of the source of the match/cost share. If funds or services are to be provided by a third party for in -kind match, a dated letter of commitment is required to document the donation. If the M&A Detailed Budget tab includes Indirect Costs, an approved Indirect Cost Rate Agreement signed by the recipient agency and the cognizant agency for the recipient, or a copy of the proposal to the cognizant r " EMPG Program ApWndi2�2023 8/20/2G24H-35 federal or state agency for an indirect cost rate, must be included in the submission of the Work Plan for application purposes. Applicants who do not have a current negotiated indirect cost rate agreement (including a provisional rate) and wish to charge the de minimis rate must reach out to the Grants Management Specialist for further instructions. Applicants who wish to use a cost allocation plan in lieu of an indirect cost rate must also reach out to the Grants Management Specialist for further instructions. Detailed Budget — M&A Only This Detailed Budget — M&A Only tab enables a full accounting of all project activity costs as they relate specifically to M&A costs. This tab contains an itemization of only M&A costs related to personnel, fringe benefits, travel, equipment, supplies, contractual services, construction, and other direct costs. For personnel and fringe benefits, the position title and percentage of time or fringe allocated to the EMPG Program grant is required. Each line item is assigned to its relevant project, allowing the information in mission areas, core capabilities, priorities, EMAP, and POETE categories to populate accordingly. This enables a breakdown of the full EMPG Program budget into various categories, including the following: Mission Area, Core Capabilities, National Priority Area, RA Agreed Upon Priority, EMAP Standard Elements, and POETE Category. The cells for each of these categories are automatically populated based on the project number as identified in the Grant Activities Outline. Budget Narrative — M&A Only The purpose of the Budget Narrative — M&A Only tab is to: 1) justify the need for each line item and the cost estimates; 2) explain how costs relate to the programmatic goals of the project(s); and 3) supplement other budget information provided on the Detailed Budget— M&A Only tab. For the Cost Share, applicants must include a detailed description of the source of the cost share/matching funds. If funds or services are to be provided by a third party for in -kind match, a dated letter of commitment is required to document the donation. This tab will include a narrative for each cost category of the budget. Information for the Detailed Budget and Budget Narrative This section of the Work Plan is a detailed description of the budget found in the SF-424A and must include a detailed discussion of how EMPG Program funds will be used. Applicants must itemize costs related to personnel, fringe benefits, travel, equipment, supplies, contractual costs, other direct costs, indirect costs, and total costs. Applicants should use the following instructions and budget cost category descriptions to complete the Budget Detail section of the Work Plan. Personnel: List each position with a brief description of the duties and responsibilities (no personnel names), as well as the salary computation for staff. If a Cost -of -Living Adjustment increase and/or merit pay increase in salary will be provided for the position, include those costs in calculations for personnel and the associated fringe benefits on the applicable Detailed Budget and the Budget Narrative. Fringe Benefits: List the computation for fringe benefits for each of the personnel listed in the budget worksheet. Estimated rates for fringe are allowable but provide the basis for that estimation in the budget narrative (e.g., average percent fringe paid for most employees within the agency). If not using an estimate, list fringe benefit and the associated costs for each employee that will be paid by EMPG Program funding (e.g., Social Security/FICA, Unemployment Compensation, Medicare, Retirement, Health Insurance, Life Insurance, etc.). Also, in cases where fringe benefits costs are included in an indirect cost rate agreement, the fringe benefits cannot also be charged as a direct cost for reimbursement. Travel: Specify the mileage, per diem, estimated number of trips in -state and out-of-state, number of travelers, and other costs for each type of travel for staff. Travel may be integral to the purpose of the EMPG Program AMndi2�3023 8/20/2G24H-36 proposed project (e.g., management, monitoring and/or oversight of grant award and/or subrecipients) or related to propose project activities (e.g., attendance at training or meetings related to management of the EMPG Program award). Travel costs identified in this section are for employees of the applicant/recipient only. For travel costs related to staff training, include as many details as possible about each proposed training cost, including the name of the training course(s), training provider, personnel who will attend the training, proposed dates (estimates are accepted), etc. Travel category costs do not include 1) costs for travel of consultants, contractors, consortia members, or other partner organizations, which are included in t h e " C o n t r a cort2)utravbl Costscfoa ehnpelogleasrofysu;brecipient agencies (those should included ibethe Contractual category, if applicable). Equipment: List each equipment item for EMPG Program purposes only by Line -Item Name and in the same order as listed on the Detailed Budget. Include a brief description of each equipment item (no brand names); per unit cost, quantity and total cost; location of equipment (if other than the direct recipient agency); and how the equipment will be utilized. Equipment is defined in 2 C.F.R. § 200.1. Supplies: Include all tangible personal property other than those described in the definition of " e q u i p me n t" a.FsR. §d20e0.11.iSuippdied; arebalyo de2medGn 2 C.F.R. § 200.1. The budget detail should identify categories of supplies to be procured for EMPG Program purposes only (e.g., printing supplies, office supplies, etc.) and the calculation of those costs (e.g., based on monthly rates or b a s e d o n a n a v e r aimglaer cos(ts)f. Nonp-tnngibvleig000dis and syrveicasrasssoc'iateds with s u p p l i e s s u c h a s p r i n t i n g s e r v i c e, p h o t o c o p y s e r category. Provide the basis for calculation of supplies including the Line -Item Name and list supplies in the Budget Narrative in the same order as listed on the Detailed Budget. Subrecipient M&A and non- M&A costs should be included in the "Other" category. Contractual: Identify each proposed contract related to EMPG Program purposes only and specify its purpose and estimated cost. Contractual/consultant services are those services to be carried out by an individual or organization (do not include company or individual names in budget narrative), other than the applicant, in the form of a procurement relationship. Leased or rented goods (equipment or supplies) for EMPG Program p u r p o s e s s h o u I d be i nc 1 u d e d i n t he Ot he proposed contract activities along with a brief description of the scope of EMPG Program work or services to be provided and proposed duration. Include the basis for the calculation of contractual services costs (e.g., contractor training instructor speaking fee, contractor travel costs and contractor instructional materials). Other: This category should include only those types of direct costs that do not fit in any of the other budget categories and are related to EMPG Program purposes only. Include a description of each cost by Line -Item Name and in the same order as listed on the applicable Detailed Budget. Include the basis for calculation of the costs. Examples of costs for EMPG Program purposes that may be in this category include the following: insurance, rental/lease of equipment or supplies, equipment service or maintenance contracts, printing or photocopying rental, etc. Subrecipient M&A and non-M&A costs from their s u b a w a r ds ( e. g. , s u b g r ant s ) a e a di s t i n c t t y p e of award of financial assistance (money or property) by any legal agreement made by the recipient to an eligible subrecipient. This term does not include procurement purchases, technical assistance in the form of services instead of money, or other assistance in the form of revenue sharing, loans, loan guarantees, interest subsidies, insurance, or direct appropriations. Subcontracts are not subawards and belong in the contractual category. Applicants must provide the aggregate amount they propose to issue as subaward work and a description of the types of M&A and non-M&A activities to be supported. Construction: Include construction costs, including renovation projects for a state or territorial g o v e r n m e n t' s p r i n c i p a l E O C. I n c In urdeneovataon sdrveicasc r i p t i o proposed and the calculation of these costs (no company or individual names). Subrecipient construction EMPG Program ApWndi2�4023 8/20/2G24H-37 costs should be included in the Other category. M&A funding cannot be used for construction or renovation costs. Indirect Costs: If indirect charges are budgeted, indicate the approved rate and base (the cost categories for which this indirect cost percentage rate will be applied.) Indirect costs are those incurred by the recipient for a common or joint purpose that benefit more than one cost objective or project and are not readily assignable to specific cost objectives or projects as a direct cost. In order for indirect costs to be allowable, the applicant must have a federal or state negotiated indirect cost rate (e.g., fixed, predetermined, final or provisional), or must have submitted a proposal to the cognizant federal or state agency. An approved Indirect Cost Rate Agreement signed by the recipient agency and the cognizant agency for the recipient, or a copy of the proposal to the cognizant federal or state agency for an indirect cost rate, must be included in the submission of the Work Plan Template for application purposes. Examples of Indirect Cost Rate calculations are shown below: 1. Personnel (Indirect Rate x Personnel = Indirect Costs) 2. Personnel and Fringe (Indirect Rate x Personnel & Fringe = Indirect Costs) 3. Total Direct Costs (Indirect Rate x Total Direct Costs = Indirect Costs) Applicants who wish to use a cost allocation plan in lieu of an indirect cost rate must also reach out to the FEMA Grants Management Specialist for further instructions. Per 2 C.F.R. Part 200, Appendix VII, paragraph D. Lb, state and local governments are not permitted to use the de minimus rate without seeking a n d r e c e i v i n g Fa Faslvf-hy'-casse exacelptponr. Appliaanl is vwhofwish to request the case -by - case exception should reach out to their FEMA Grants Management Specialist for further instructions. Post -award requests to charge indirect costs will be considered on a case -by -case basis and based upon the submission of an agreement or proposal as discussed above or based upon the de minimis rate or cost allocation plan, as applicable. EMPG Program Summary This tab includes summary information for the award as entered in the budget tabs and the Grant Activity Outline. The overall budget summary will include the total award amount, federal amount, non-federal amount (cost share), and M&A amount, along with the calculated percentage of each. The additional budget summary tables will calculate the amount allocated for federal funds, non-federal funds (cost share) and total project costs for each cost category. There is also a budget summary table with similar information for each primary mission area and core capability. The EMPG Program Summary tab also provides users with an overview of their progress in the FY 2023 EMPG Program Performance Metrics. The metrics are automatically populated from the calculations of information provided in the Grant Activities Outline. These metrics aim to provide the count, percentage, and associated dollar amount affiliated with the following performance metrics: 1) Capability -building Projects for Alignment to Capability Gaps in SPR; 2) Funding Spent on Capability -building Projects Aligned to Capability Gaps in SPR; 3) Building Capabilities for High Priority Targets; 4) Regional and National Priority Area Alignment; and 5) Plans -Training -Exercise Alignment. The EMPG Program Summary Tab further provides a count of all projects that address equity considerations and climate change impacts. Implementation Schedule The Implementation Schedule includes the basic elements of a project management plan. It is used to capture key project activities to include both EMPG Program -funded activities that are critical to accomplishing the project objectives as identified in the Grant Activities Outline, as well as tasks that are essential to effective project management. Thus, this product can be used as a basic project management EMPG Program ApWndi2�5023 8/20/2G24H-38 tool to plan and track the progress of key project activities and associated tasks. Key project activities should generally c o r r e l a t e w i t h t h e " M i l e s t ones" i d e n t i f i e c Activities Outline. The Implementation Schedule enables the applicant to identify key project activities by year/quarter, the associated tasks, timelines, status reports, and challenges or risks that may affect successful completion of the activity as planned. It also allows for the tracking of project progress by including estimated and actual completion dates for each activity and the ability to enter quarterly accomplishments relating to the activity. This functionality allows for quarterly reporting of project progress, in accordance with the programmatic requirements of the EMPG Program. Also, data from the Implementation Schedule should be completed and submitted to FEMA as a component of quarterly reporting on grant activities. The Implementation Schedule further allows the applicant to explain how their project addresses equity considerations. Possible examples include: 1) conducting vulnerability assessments to identify and fully understand the vulnerabilities and needs of underserved communities relating to emergency preparedness; and 2) updating emergency operations plans to ensure the needs of underserved communities are adequately addressed. The Implementation Schedule also provides the applicant with the ability to explain how their project addresses the impacts of climate change. Training Data Table To facilitate consistent data reporting and performance measures collection, the FY 2023 EMPG Program Work Plan Template includes a Training Data Table. This table should reflect training activities outlined in the multi -year IPP and completion of required EMPG Program training courses. The data requirements are defined in the section below. Applicants/recipients are not required to report EMPG Program -funded personnel costs associated with training. Training related to the NQS is not reported on the Training Data Table. Also, data from the Training Data Table should be completed and submitted to FEMA as a component of quarterly reporting on grant activities. Upon entering the project name or number in the template, the cells located to the right of the main Training Data Table will auto -populate the associated priority, mission area, capabilities, and functional areas based on the project data included in the Grant Activities Outline. Training Data Table Template Training Data Table Definitions • Column 1 — Project Number from the Grant Activities Outline • Column 2 — Project Name from the Grant Activities Outline • Column 3 Name of training course • Column 4 — Scheduled date of training course • Column 5 — Date training was conducted or completed • Column 6 — Is the training course required by the EMPG Program? • Column 7 — Number of personnel trained • Column 8 — NIMS Training Course Number (if applicable) EMPG Program ApWndi2�6023 8/20/2G24H-39 • Column 9 — Is the training identified in the multi -year IPP? Exercise Data Table To facilitate consistent data reporting and performance measure collection, an Exercise Data Table should be completed for any exercises that meet EMPG Program requirements and/or exercises conducted in whole or part with EMPG Program funds. The Exercise Data should include EMPG Program -funded exercises and costs to run the exercise (e.g., planning, materials, props, contractual services for conducting the exercise, AAR and IP, etc.). Any exercise planned or conducted during the grant period of performance should be reported on the Exercise Data Table. Applicants/recipients are not required to report EMPG Program - funded personnel costs associated with exercises. Data from the Exercise Data Table should also be completed and submitted to FEMA as a component of quarterly reporting on grant activities. The data requirements are defined in the section below. Upon entering the project name or number in the template, the cells located to the right of the main Exercise Data Table will auto -populate the associated priority, mission area, capabilities, and functional areas based on the project data included in the Grant Activities Outline. Exercise Data Table Template Exercise Data Table Definitions: • Column 1 — Project Number from the Grant Activities Outline • Column 2 — Project Name from the Grant Activities Outline • Column 3 — Exercise Name • Column 4 — Scheduled date of exercise • Column 5 — Date exercise conducted/completed • Column 6 — Type of exercise (select from drop -down menu) • Column 7 — Is the exercise part of a progressive exercise series? • Column 8 — Is exercise identified in the multi -year IPP? • Column 9— When was the AAR submitted to FEMA? EMPG Program AMndiW023 8/20/2G24H-40 EMPG Requirements Matrix ID Category Pass through 100% of Within 15 days 1 Administrative award from SAA or NOFO of award date Varies Work Plan/Electronic Notification Territory to EMA. (i£ applicable) Critical Emergency Supplies Purchases — 5- 2 Allowability year viable inventory App H Prior award Varies Work Plan/Amendment management plan with a (if applicable) s able) distribution strategy 3 Application Work Plan App H Per the NOFO Varies ND Grants 4 Application Project addressing NOFO, Per the NOFO Varies Work Plan: Grant Activities Outline and Equity Considerations A H Budget Narrative Within 30 days Email to: 5 Civil Rights Civil Rights Evaluation PGM of receipt of Varies CivilRightsEvaluationghq.dhs.gov and Tool award cc: Regional EMPG Program Manager Closeout Reporting Requirements. 6 Closeout (Note: ND Grants does PGM Per the Closeout Varies ND Grants/Electronic Notification not have a closeout notification letter module. Regional closeout processes vary.) Application, Work Plan Budget, Federal Financial 7 Cost Share Cost Share App H Quarterly, Varies Report (FFR)/SF-425 (Quarterly and at Closeout Closeout 8 Davis -Bacon Davis -Bacon App H For all EMPG Varies Monitoring Compliance ro.ects Prior to any construction, Email to: 9 EHP EHP approval PGM rreenovadtion, or Varies CivilRightsEvaluation@hq.dhs.gov, and cc: groundisturbing Regional EMPG Program Manager activity FCC Section 106 10 EHP Construction Towers App H review must be Varies Monitoring completed prior to EHP review 11 EMAC EMAC association NOFO Prior to award Varies Regional EMPG Program Manager to verify on EMAC website Exercise program 12 Exercise negotiated (align with App H Prior to award Varies Work Plan IPP/ riorities 90 days after completion of Email to: hseep@fema.dhs.gov 13 Exercise AAR (After Action App H exercises Varies and Report)/IPs conducted in cc: Regional EMPG Program Manager Calendar Year CY 4 EMPG Program ApWndiM023 8/20/2G24H-41 ID Category Requirement LocationDue Date Cycle Due Date Submission' 87.5% of all PTE Performance projects align with 14 Measures building capability NOFO Prior to award Varies Work Plan and/or closing capability gaps identified 15 Pre -Award Pre -award cost NOFO Prior to award Varies Work Plan Budget if applicable) 3-5 Applicant and RA mutually agreed upon 16 Priorities Priorities (Note: These App H Prior to award Varies Work Plan need not be the national priorities) Threat and Hazard 17 Reporting Identification and Risk App H Every 3 years 31-Dec Prep toolkit Assessment (THIRA) starting in 2022 submitted 18 Reporting State Preparedness App H Annually 31-Dec Prep toolkit Review (SPR) submitted National Incident 19 Reporting Management System App H Annually 31-Dec Unified Reporting Tool (URT) IMS National Qualification Phased -in 20 Reporting System (NQS) App H Objectives due 31-Dec URT implementation Annually After initial Distribution submission, 21 Reporting Management Plan App H DMP updates 30-Sep Email to: Regional EMPG Program (DMP) Plan review submitted Manager annually, as necessary Multi -year Training and Exercise Plan Email to: hseep@fema.dhs.gov 22 Reporting (TEP)/Integrated App H Annually 31-Jan and Preparedness Plan (IPP) cc: Regional EMPG Program Manager developed Periodic Performance Reporting (PPR) Status 30-Jan of all EMPG Program- Within 30 days 30-Apr 23 Reporting funded plans, training App H after the end of 30-July ND Grants and exercise activities the CY Quarter 30-Sep must be reported quarterly. Within 30 days 30-Jan 24 Reporting Financial Quarterly PGM after the end of 30-Apr PARS Reporting the CY Quarter 30-July 30-Se Biannual Strategy No later 25 Reporting Implementation Report PGM - Biannual than: 30-Jan Grant Reporting Tool (GRT) (BSIR) 30-Jul All EMPG Program- 30-Jan 26 Reporting — funded exercise activities App H Quarterly 30-Apr Exercise Data Table Exercise must be reported 30-July quarterly. 30-Se EMPG Program ApWndi2�9023 8/20/2G24H-42 ID Category Requirement LocationDue Date Cycle Due Date Submission' All EMPG Program- 30-Jan 27 Reporting — funded training activities App H Quarterly 30-Apr Training Data Table Training must be reported 30-July quarterly. 30-Se 28 Telecomms FirstNet PGM Prior to award Varies Verified by Regional EMPG Program (if applicable) Manager 29 Telecomms SAFECOM PGM/ Prior to award Varies Verified by Regional EMPG Program App H (if applicable) Manager Training activities PGM/ Work Plan Training Data Table or PPR 30 Training captured (align with App H Prior to award Varies template IPP/ riorities EMPG funded personnel who have completed: Per Regional Guidance: • Basic Academy . ND Grants: with PPR 31 Training O Professional App H On -going Varies • Roster to Regional EMPG Program Development Series Manager AND . Reviewed During Monitoring • NIMS Training attendance information submitted 32 Training within 30 days of PGM/ On -going Varies Web -Forms attendance of training App H supported with EMPG funding IB 432 EMPG Program ApWndi2$()023 8/20/2G24H-43 CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES) ATTACHMENT B This worksheet provides instructions on how to complete the FY 2023 Financial Management Forms Workbook (FMFW), EMPG v.23. It is divided into sections that correspond to each of the worksheets within this workbook. The first section describes the macros used in this workbook and can be ignored if you are using the non -macro version of this FMFW. For further guidance, contact your Program Representative. Below is a table with instructions on how to enable macros in Microsoft Excel, depending on the version. Vote: Some computers may not run Macros correctly even when enabled in Excel. A Non -Macro version of the workbook is available under such circumstances. Version Instructions 1) From the menu bar, click on TOOLS > MACRO > SECURITY. 2) From SECURITY LEVEL tab, select the MEDIUM. Excel 2003 3) Save, Close, and Re -open the workbook. NOTE: The MEDIUM setting will prompt you to enable or disable macros each time the file is opened. This will prevent potentially unsafe macros from running. The LOW setting will enable macros without a prompt. 1) Click the round "Office" button in upper left corner of the window. 2) Click "Excel Options" button near lower -right corner. 3) From "Excel Options" window, select'Trust Center" on left pane. Excel 2007 4) Click on the'Trust Center Settings" button on the right pane, which will open a new "Trust Center' window. 5) From the new "Trust Center' window, pick "Macro Settings" on left pane. 6) Choose "Disable all macros with notification" radio button on the right pane, then click OK. NOTE: Each time a workbook with macros is opened, a security alert will appear. This alert may be a pop-up window or a banner across the top of the window. You must choose to enable for macros to function. City Council 36 — 231 8/20/2024 FY 2023 EMPG FMFW (Macro) v.23 1 of 21 Instructions CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES) 1) Click on the File tab, then choose Options, which will then open a new "Excel Options" window. 2) From the new window, click "Trust Center' on the left pane. 3) Click "Trust Center Settings..." button on the right pane, which will then open a new "Trust Center' window. Excel 2010/2013/2016/2019/365 4) From the'Trust Center' window, pick "Macro Settings" on left pane. 5) Choose "Disable all macros with notification" radio button on the right pane, then click OK. 6) Save, Close, and Re -open the workbook. NOTE: Each time a workbook with macros is opened, a security alert will appear. This alert may be a pop-up window or a banner across the top of the window. You must choose to enable for macros to function. Below is a table of the macro buttons available on many of the worksheets in this workbook. Button Function Sort (A-Z) Sorts table by project letter, from A to Z. Spellcheck Spellchecks the worksheet. Clear Filters Clears all filters applied to any of the tables. Calculate M&A Calculates maximum allowable M&A based on total cost of all non-M&A projects. Black Font Selects the entire row(s) of the selected cell(s) and changes the font color to black. Any strikethroughs will be removed. Red Strikethrough Selects the entire row(s) of the selected cell(s) and changes the font color to red. A red strikethrough will be added. Blue Font Selects the entire row(s) of the selected cell(s) and changes the font color to blue. Any strikethroughs will be removed. Add Row Adds row below the selected cell. Delete Row Deletes entire row(s) of selected cell(s). Selection must be contiguous if multiple cells are selected. Validate Worksheet Restores formulas and formatting to default values in the appropriate cells. This macro does not erase data. City Council 36 — 232 8/20/2024 FY 2023 EMPG FMFW (Macro) v.23 2 of 21 Instructions CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES) New Request Duplicates the active worksheet for reimbursement and modification requests, placing it immediately after the original worksheet. An input box will appear to name the new worksheet. Remember to use the most recent version of the worksheet when creating a new request. New Mod Item Copies the selected line and inserts it immediately below. The font color of the selected row will change to red with a red strikethrough indicating that the line item has been changed. The duplicated line will have blue font color, without a strikethrough, indicating the modified line item. Initial Application Populates the Ledger Type field with "Initial Application" and the Date field with today's date. Reimbursement Request Populates the Ledger Type field with "Reimbursement Request" and the Date field with today's date. A new "Request #" field will appear. Modification Populates the Ledger Type field with "Modification" and the Date field with today's date. A new "Request #" field will appear. City Council 36 — 233 8/20/2024 FY 2023 EMPG FMFW (Macro) v.23 3 of 21 Instructions CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES) Below is a table that lists macros that can be activated by using a keyboard shortcut. A shortcut requires the user to press 2 keys simultaneously: the control button and a letter. Keyboard Shortcut Function Ctrl + Shift + G Creates a new worksheet with a pivot table that aggregates Budgeted Costs by Solution Area. Only works on the Project Ledger tab. Ctrl + Shift + I Resets information on top of each tab to reflect name, HIPS, subaward number, POP dates from Face Sheet Ctrl + Shift + L Breaks all links to external sources. Ctrl + Shift + S Spellchecks worksheet. Ctrl + Shift + Y Duplicates the active sheet, then deletes the red lines and changes blue font to black font. Use the Grant Subaward Face Sheet to apply for grant programs. Each grant program requires its own separate Grant Subaward Face Sheet. Please convert the Grant Subaward Face Sheet to PDF in portrait format and provide a digital signature from the authorized official. The use of white out, tape, or digital redaction is prohibited and will invalidate the signature on the Grant Subaward Face Sheet. Cal OFS Section: The top portion of the form contains blocks for four (4) important numbers. Please do not fill in these blocks. These numbers will be entered by Cal OES. Form Field Instructions The Subrecipient is the unit of government or community based organization (CBO) that will have legal responsibility for these grant funds (e.g. County of Alameda, City of Fresno or Women's Place of Merced). Enter the legal name of the Subrecipient that is registered with the Internal Revenue Service (IRS). 1. Subrecipient PLEASE NOTE: All CBOs must be registered, active, and current with the IRS, Department of Justice (DOJ), and Secretary of State (SOS) websites. Failure to be current will result in funds being withheld by Cal OES. Effective April 4, 2022, the Federal Government transitioned from using the Data Universal Numbering System or DUNS number, to a new, non-proprietary 1 a. Unique Entity Identifier (UEI) identifier known as a Unique Entity Identifier or UEI. For entities that have an active registration in the System for Award Management (SAM) prior to this date, the UEI has automatically been assigned and no action is necessary. For all entities filing a new registration in SAM.gov on or after April 4, 2022, the UEI will be assigned to that entity as part of the SAM.gov registration process. UEI registration information is available on GSA.gov at: Unique Entity Identifier Update I GSA, 2. Implementing Agency Enter the complete name of the agency responsible for the day-to-day operation of the grant (e.g. Sheriff, Police Department, or Department of Public Works). If the Implementing Agency is the same as the Subrecipient, enter the same title again. City Council 36 — 234 8/20/2024 FY 2023 EMPG FMFW (Macro) v.23 4 of 21 Instructions CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES) Effective April 4, 2022, the Federal Government transitioned from using the Data Universal Numbering System or DUNS number, to a new, non-proprietary 2a. Unique Entity Identifier (UEI) identifier known as a Unique Entity Identifier or UEI. For entities that have an active registration in the System for Award Management (SAM) prior to this date, the UEI has automatically been assigned and no action is necessary. For all entities filing a new registration in SAM.gov on or after April 4, 2022, the UEI will be assigned to that entity as part of the SAM.gov registration process. UEI registration information is available on GSA.gov at: Unique Entity Identifier Update I GSA. 3. Implementing Agency Address Enter the address of the Implementing Agency. Provide the complete nine digit zip code (Zip+4). 4. Location of Project Enter the City and County/Operational Area where the project is located. Provide the complete nine digit zip code (Zip+4). 5. Disaster/Program Title Enter the name of the Disaster or Program providing the funds for this Grant Subaward. A disaster may be referred by the federal declaration number. Program titles should be complete without the use of acronyms. 6. Performance Period Enter beginning and ending dates of the performance period for the Grant Subaward. (mm/dd/yyyy) Indicate whether you are using the 10% de Minimis rate based on Modified Total Direct Costs (MTDC) or your current cognizant agency approved indirect cost 7. Indirect Cost Rate rate agreement. A copy of the approved negotiated indirect cost rate agreement must be enclosed with your application. Indicate N/A if you will not be claiming indirect costs under the award. Indirect costs may or may not be allowable under all Federal fund sources. For each fund source used in the program, select the correct grant year and acronym from the drop down lists, the amount of state or federal funds requested, 8-12. Fund Allocations and Total Project Cost the amount of cash and/or in -kind match contributed and the resulting totals. Please do not enter both state and federal on the same line. The Total Project Cost row should correspond to the total project cost specified in the budget. 13. Certification Paragraph Please review the Certification Paragraph. 14. CA Public Records Act Please review, and if applicable, provide the necessary documentation. 15. Official Authorized to sign for the Subrecipient Enter the name and title of the official authorized to enter into the Grant Subaward for the Subrecipient as stated in Block 1 of the Grant Subaward Face Sheet (Cal OES 2-101). Enter the Payment Mailing Address where grant funds should be sent. Provide the complete nine digit zip code (Zip+4). 16. Federal Employer ID Number Enter the nine digit Federal Employer Identification Number for the Implementing Agency. City Council 36 — 235 8/20/2024 FY 2023 EMPG FMFW (Macro) v.23 5 of 21 Instructions CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES) Provide the contact information of any additional Authorized Agents (AA) or staff related to grant activities. It is recommended that more than one person be designated as an AA, so that if one AA is not available, a second AA can sign the requests for reimbursements and modifications. Use this ledger to submit funding information for projects, as well as submitting Cash Requests and Modifications. Ledger Column Name Instructions Request Type Using the Macro buttons, specify what type of ledger is being completed (Application, Advance, Reimbursement, or Modification). Enter the request number. State Goals Select the State Goals from the drop -down list. Direct/Subaward Use the drop -down list to identify if the Project is Direct or Subaward Project Enter the project letter from the drop -down list. Project Title Enter a short, but descriptive name for the project. Project Description Enter the project description, citing specific and measurable objectives. Solution Area Select a Solution Area from the drop -down list. Solution Area Sub -Category Select a Solution Area Sub -Category from the drop -down list. This list is dependent on a selection from the Solution Area Category drop -down list. The Solution Area Sub -Category will not display the drop -down list unless a Solution Area Category is selected. Core Capabilities Select a Core Capabilities from the drop -down list. Capability Building Select Capability Building from the drop -down list. Deployable/Shareable Select from the drop down list. Total Budgeted Cost Enter the total amount obligated for the project. Previously Approved Amount This field auto -populates with the cumulative expenditures of all reimbursement requests prior to the current request. This value does not include any match amounts. City Council 36 — 236 8/20/2024 FY 2023 EMPG FMFW (Macro) v.23 6 of 21 Instructions CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES) Amount This Request This field is for Cash Requests only: Enter the requested dollar amount for the line item. Total Approved This field auto -populates with the cumulative amount expended for the line item. This value does not include any match amounts. Expenditures To Date This field auto -populates with the total expenditures to date for the line item. This value includes match amounts. Remaining Balance This field auto -populates with the remaining balance allowed for the line item. This value does not include any match amounts. Percent Expended This field auto -populates with the amount expended, to -date, as a percentage of the budgeted amount. This value does not include any match amounts. City Council 36 — 237 8/20/2024 FY 2023 EMPG FMFW (Macro) v.23 7 of 21 Instructions CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES) Section 5: PLANNING Ledger Column Name Instructions Project Select the project letter from the drop -down list that corresponds with the Project Ledger. Direct/Subaward Use the drop down list to identify if the project is Direct or Subaward. Planning Activity Enter the planning activity. Solution Area Sub -Category Select a Solution Area Sub -Category from the drop -down list that corresponds with the Project Ledger. Expenditure Category Select an Expenditure Category from the drop -down list. This list is dependent on a selection from the Solution Area Sub -Category drop -down list. The Expenditure Category will not display the drop -down list unless a Solution Area Sub -Category is selected. Final Product Enter a description of the final product for this Planning activity. This must be a tangible item such as a manual, procedure, etc. Please contact your Program Representative for further examples of final products. Noncompetitive Procurement over 250k Select YES or NO from the drop -down list. Hold Trigger If project is subject to a Hold, select the Hold type from drop -down list. Approval Date If applicable, enter date when hold was released/approved. Budgeted Cost Enter the total amount of grant funding budgeted for the line item. Previously Approved Amount This field auto -populates with the cumulative expenditures as of all reimbursement requests prior to the current request. This value does not include any match amounts. Amount This Request This field is for Cash Requests only: Enter the requested dollar amount for the line item. Total Approved This field auto -populates with the total expenditures to -date for the line item. This value does not include any match amounts. Remaining Balance This field auto -populates with the remaining balance allowed for the line item. This value does not include any match amounts. City Council 36 — 238 8/20/2024 FY 2023 EMPG FMFW (Macro) v.23 8 of 21 Instructions CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES) Ledger Column Name Instructions Project Select the project letter from the drop -down list that corresponds with the Project Ledger. Direct/Subaward Use the drop down list to identify if the project is Direct or Subaward. Organization Enter the name of the organization. Solution Area Sub -Category Select a Solution Area Sub -Category from the drop -down list that corresponds with the Project Ledger. Expenditure Category Select an Expenditure Category from the drop -down list. This list is dependent on a selection from the Solution Area Sub -Category drop -down list. The Expenditure Category will not display the drop -down list unless a Solution Area Sub -Category is selected. Detail Select a Detail option from the drop -down list. Budgeted Cost Enter the total amount of grant funding budgeted for the line item. Previously Approved Amount This field auto -populates with the cumulative expenditures as of all reimbursement requests prior to the current request. This value does not include any match amounts. Amount This Request This field is for Cash Requests only: Enter the requested dollar amount for the line item. Total Approved This field auto -populates with the total expenditures to -date for the line item. This value does not include any match amounts. Remaining Balance This field auto -populates with the remaining balance allowed for the line item. This value does not include any match amounts. City Council 36 — 239 8/20/2024 FY 2023 EMPG FMFW (Macro) v.23 9 of 21 Instructions CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES) Section 7: EQUIPMENT Ledger Column Name Instructions Project Select the project letter from the drop -down list that corresponds with the Project Ledger. Equipment Description Provide a description of equipment and quantity. If Item is Mobile or Portable identify as such. AEL Number & Title Place the AEL Number and Title in these columns. The AEL Number and Title can be obtained from the following link: Authorized Equipment List SAFECOM Compliance Select YES, NO, or N/A from the drop -down list. Solution Area Sub -Category Select a Solution Area Sub -Category from the drop -down list that corresponds with the Project Ledger. Invoice Number Enter the Invoice Number for the equipment. Vendor Enter the name of vendor from whom the equipment was purchased. ID Tag Number Enter the ID Tag Number used to identify this equipment with. Subrecipient may use a product's serial number, or their own internal numbering format to tag equipment. ID Tag Number must be available during monitoring visits. of Federal Funds Used in the Purchase Select 50% or 100% from the drop -down list, or enter the appropriate percentage. Condition and Disposition Enter the condition of equipment by selecting the appropriate drop -down item. If the equipment is not in use, please use the "Deployed Location" column to explain current status. Deployed Location Enter the equipment's current location. Acquisition Date Enter the date that this equipment was acquired from vendor. Noncompetitive Procurement over 250k Select YES or NO from the drop -down list. Hold Trigger If project is subject to a Hold, select the Hold type from drop -down list. Approval Date If applicable, enter date when hold was released/approved. City Council 36 — 240 8/20/2024 FY 2023 EMPG FMFW (Macro) v.23 10 of 21 Instructions CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES) Budgeted Cost Enter the total amount of grant funding budgeted for the line item. Previously Approved Amount This field auto -populates with the cumulative expenditures as of all reimbursement requests prior to the current request. This value does not include any match amounts. Amount This Request This field is for Cash Requests only: Enter the requested dollar amount for the line item. Total Approved This field auto -populates with the total expenditures to -date for the line item. This value does not include any match amounts. Remaining Balance This field auto -populates with the remaining balance allowed for the line item. This value does not include any match amounts. City Council 36-241 8/20/2024 FY 2023 EMPG FMFW (Macro) v.23 11 of 21 Instructions CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES) Section 8: TRAINING Ledger Column Name Instructions Project Select the project letter from the drop -down list that corresponds with the Project Ledger. Direct/Subaward Use the drop down list to identify if the project is Direct or Subaward. Course Name Enter course name. Solution Area Sub -Category Select a Solution Area Sub -Category from the drop -down list that corresponds with the Project Ledger. Expenditure Category Select an Expenditure Category from the drop -down list. This list is dependent on a selection from the Solution Area Sub -Category drop -down list. The Expenditure Category will not display the drop -down list unless a Solution Area Sub -Category is selected. Feedback Number Enter the Feedback Number for the Training activity. To request a training Feedback Number, contact CSTI and submit the form from the following link: CR Tracking Number Request Form Training Activity Please identify your training activity from the drop -down list. Total # Trainee(s) Enter the total number of trainee(s). Identified Host If you are not the host, please identify who is the host. For further guidance, please refer to your Program Representative. Noncompetitive Procurement over $250k Select YES or NO from the drop -down list. Hold Trigger If project is subject to a Hold, select the Hold type from drop -down list. Approval Date If applicable, enter date when hold was released/approved. Budgeted Cost Enter the total amount of grant funding budgeted for the line item. Previously Approved Amount This field auto -populates with the cumulative expenditures as of all reimbursement requests prior to the current request. This value does not include any match amounts. Amount This Request This field is for Cash Requests only: Enter the requested dollar amount for the line item. City Council 36 — 242 8/20/2024 FY 2023 EMPG FMFW (Macro) v.23 12 of 21 Instructions CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES) Total Approved This field auto -populates with the total expenditures to -date for the line item. This value does not include any match amounts. Remaining Balance This field auto -populates with the remaining balance allowed for the line item. This value does not include any match amounts. City Council 36 — 243 8/20/2024 FY 2023 EMPG FMFW (Macro) v.23 13 of 21 Instructions CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES) Section 9: EXERCISE Ledger Column Name Instructions Project Select the project letter from the drop -down list that corresponds with the Project Ledger. Direct/Subaward Use the drop down list to identify if the project is Direct or Subaward. Exercise Title Enter the title of the exercise activity. Solution Area Sub -Category Select a Solution Area Sub -Category from the drop -down list that corresponds with the Project Ledger. Expenditure Category Select an Expenditure Category from the drop -down list. This list is dependent on a selection from the Solution Area Sub -Category drop -down list. The Expenditure Category will not display the drop -down list unless a Solution Area Sub -Category is selected. Exercise Activity Please select your exercise activity from the drop -down list. Identified Host If you are not the host, please identify who is the host. For further guidance, please refer to your Program Representative. Date of Exercise Enter the date of when this exercise was conducted. Date of AAR/IP E-mailed into HSEEP Enter the date that the After Action Report (AAR) / Improvement Plan (IP) was e-mailed to hseep@fema.dhs.gov. Noncompetitive Procurement over $250k Select YES or NO from the drop -down list. Hold Trigger If project is subject to a Hold, select the Hold type from drop -down list. Approval Date If applicable, enter date when hold was released/approved. Budgeted Cost Enter the total amount of grant funding budgeted for the line item. Previously Approved Amount This field auto -populates with the cumulative expenditures as of all cash request requests prior to the current request. This value does not include any match amounts. Amount This Request This field is for Cash Requests only: Enter the requested dollar amount for the line item. City Council 36 — 244 8/20/2024 FY 2023 EMPG FMFW (Macro) v.23 14 of 21 Instructions CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES) Total Approved This field auto -populates with the total expenditures to -date for the line item. This value does not include any match amounts. Remaining Balance This field auto -populates with the remaining balance allowed for the line item. This value does not include any match amounts. Ledger Column Name Instructions Project Select the project letter from the drop -down list that corresponds with the Project Ledger. Activity Provide detailed information on M&A activity. Solution Area Sub -Category Select "Grant Administration" from the drop -down list. Expenditure Category Select an Expenditure Category from the drop -down list. This list is dependent on a selection from the Solution Area Sub -Category drop -down list. The Expenditure Category will not display the drop -down list unless a Solution Area Sub -Category is selected. Detail Select a Detail option from the drop -down list. Budgeted Cost Enter the total amount of grant funding budgeted for the line item. Previously Approved Amount This field auto -populates with the cumulative expenditures as of all reimbursement requests prior to the current request. This value does not include any match amounts. Amount This Request This field is for Cash Requests only: Enter the requested dollar amount for the line item. Total Approved This field auto -populates with the total expenditures to -date for the line item. This value does not include any match amounts. Remaining Balance This field auto -populates with the remaining balance allowed for the line item. This value does not include any match amounts. City Council 36 — 245 8/20/2024 FY 2023 EMPG FMFW (Macro) v.23 15 of 21 Instructions CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES) If claiming indirect costs under the award, provide detailed information on the total estimated indirect costs and the indirect cost rate at which you will be claiming. If you have a federally -approved rate, provide information on the direct cost base on which, the rate is calculated, e.g., Salary and Wages (S/W), Salary, Wages and Benefits (SW&B), Total Direct Costs (TDC), Modified Total Direct Costs (MTDC), the De Minimis Rate of 10% of MTDC (10% MTDC), or another base (Other). Ledger Column Name Instructions Project Select the project letter from the drop -down list that corresponds with the Project Ledger. Activity Provide detailed information on Indirect Cost activity. Solution Area Sub -Category Select "Facilities & Administration " from the drop -down list. ICR Base Select an ICR Base from the drop -down list. Rate Enter the Percentage Rate. Budgeted Cost Enter the total amount of grant funding budgeted for the line item. Previously Approrved Amount This field auto -populates with the cumulative expenditures as of all reimbursement requests prior to the current request. This value does not include any match amounts. Amount This Request This field is for Cash Requests only: Enter the requested dollar amount for the line item. Total Approved This field auto -populates with the total expenditures to -date for the line item. This value does not include any match amounts. Remaining Balance This field auto -populates with the remaining balance allowed for the line item. This value does not include any match amounts. Section 12: CONSULTANT / CONTRACTOR Ledger Column Name Instructions Project Select the project letter from the drop -down list that corresponds with the Project Ledger. Consulting Firm / Consultant Name Provide the name of the Consulting Firm and Consultant Name. City Council 36 — 246 8/20/2024 FY 2023 EMPG FMFW (Macro) v.23 16 of 21 Instructions CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES) Project & Description of Services Provide detailed information on the project and description of services. If your consultant/contractor invoiced you for their services using a fee for each deliverable, then describe the product in the Deliverable column. (e.g.: $10,000 for a reverse 911/telephone emergency notification system) Deliverable If your consultant/contractor invoiced you for their services using a fee for each deliverable, then describe the product in the Deliverable column. (e.g.: $10,000 for a reverse 911/telephone emergency notification system) Solution Area Select a Solution Area from the drop -down list. Solution Area Sub -Category Select a Solution Area Sub -Category from the drop -down list that corresponds with the Project Ledger. This list is dependent on a selection from the Solution Area Category drop -down list. The Solution Area Sub -Category will not display the drop -down list unless a Solution Area Category is selected. Expenditure Category Select an Expenditure Category from the drop -down list. This list is dependent on a selection from the Solution Area Sub -Category drop -down list. The Expenditure Category will not display the drop -down list unless a Solution Area Sub -Category is selected. Noncompetitive Procurement over $250k Select YES or NO from the drop -down list. Hold Trigger If project is subject to a Hold, select the Hold type from drop -down list. Approval Date If applicable, enter date when hold was released/approved. Period of Expenditure Enter the Period of Expenditure in this column. Fee for Deliverable If your consultant/contractor invoiced you for their services using a fee for each deliverable, then fill in the cost for the product in the Fee for Deliverable column. (e.g.: $10,000 for a reverse 911/telephone emergency notification system) Total Cost Charged to this Grant Enter the Total Cost Charged to the Grant in this column. City Council 36 — 247 8/20/2024 FY 2023 EMPG FMFW (Macro) v.23 17 of 21 Instructions CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES) Section 13: PERSONNEL Ledger Column Name Instructions Project/Deliverable Select the project letter from the drop -down list that corresponds with the Project Ledger. Employee Name Provide the name of the employee. Project/Deliverable Provide detailed information on the project and description of services. Funding Source Select the appropriate funding source used for this project. Funds from one funding source cannot be moved to another funding source. Solution Area Select a Solution Area from the drop -down list. Solution Area Sub -Category Select a Solution Area Sub -Category from the drop -down list. This list is dependent on a selection from the Solution Area Category drop -down list. The Solution Area Sub -Category will not display the drop -down list unless a Solution Area Category is selected. Dates of Payroll Period Provide the Dates of the Payroll Period. Total Salary and Benefits Charged for this Reporting Period Provide the Total Salary and Benefits Charged for the Reporting Period. Total Project Hours Enter the Total Project Hours in this column. Total Cost Charged to this Grant Enter the Total Cost Charged to the Grant in this column. Section 14: �AT_CH Ledger Column Name Instructions Project Select the project letter from the drop -down list that corresponds with the Project Ledger. Direct/Subaward Use the drop -down list to identify if the Project is Direct or Subaward Project Title Enter the name of the project. city Louncii FY 2023 EMPG FMFW (Macro) v.23 Jb — 246 18 of 21 d/1U/1U14 Instructions CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES) Match Description Enter the description of the Match activity. Solution Area Select a Solution Area from the drop -down list that aligns to the activities/costs used to meet the EMPG Match Requirement. Solution Area Sub -Category Select a Solution Area Sub -Category from the drop -down list that aligns to the activities/costs used to meet the EMPG Match Requirement. This list is dependent on a selection from the Solution Area Category drop -down list. The Solution Area Sub -Category will not display the drop -down list unless a Solution Area Category is selected. Type of Match Select the Type of Match: Cash or In -Kind Total Budgeted Match Enter the total budgeted match amount for this project in this column. Previously Approved Amount This field auto -populates with the cumulative match expenditures as of the reimbursement request prior to the current request. Current Match This field is for Cash Requests only: Enter the match amount for the line item. Total Match Expended This field auto -populates with the total match expenditures to -date for the line item. Remaining Balance This field auto -populates with the remaining match balance for the line item. Percentage Expended This field auto -populates with the match amount expended, to -date, as a percentage of the budgeted match amount. City Council 36 — 249 8/20/2024 FY 2023 EMPG FMFW (Macro) v.23 19 of 21 Instructions CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES) Ledger Column Name Instructions Period Enter the time period for which the indirect cost rate is valid. Use the format: Month/Year through Month/Year. Indirect Cost Rate for Period Enter the indirect cost rate for period ICR Base Select ICR Base from the drop -down Total Costs Enter Total Costs. Less Distorting Costs Enter Less Distorting Costs. Costs Applicable to ICR This field auto -populates. Total Direct Costs This field auto -populates. Total Allowable Indirect Costs This field auto -populates. Total Budgeted Indirect Costs Enter Total Indirect Costs Budgeted; this value should be not be greater than the Total Allowable Indirect Costs. mg .� . . J ve The Authorized Agent sheet must accompany ALL Reimbursement Requests, Modifications, and the Initial Application. Form Field Instructions Request Type Enter the type of request that is being made. Use one of the following types: INITIAL APPLICATION, REIMBURSEMENT REQUEST, FINAL REIMBURSEMENT REQUEST and MODIFICATION Performance Period This field is auto -populated with the grant Performance Period as described on the Face Sheet Tab Request # Enter the "Cash Request" or "Modification" number associated with this request. Amount This Request This field is for Cash Requests only: Enter the requested dollar amount for this request. City Council FY 2023 EMPG FMFW (Macro) v.23 Jb-15U 20 of 21 b/1U/1U14 Instructions CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES) Authorized Agent Enter the Name and Title of Authorized Agent. Sign and date. City Council 36 — 251 8/20/2024 FY 2023 EMPG FMFW (Macro) v.23 21 of 21 Instructions CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES) (Cal OES Use Only) Cal OES # FIPS # VS# Subaward # 2023-0006 CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES GRANT SUBAWARD FACE SHEET The California Governor's Office of Emergency Services (Cal OES) hereby makes a Grant Subaward of funds to the following: 1. Subrecipient: County of 2. Implementing Agency: Cityy of Santa Ana - Santa Ana Police Department 3. Implementing Agency Address: 4. Location of Project: Santa Ana 60 Civic Center Drive Santa Ana (Street) (City) la. UEI: 2a. UEI: KZE9G2M4GRX9 (City) (County) 5. Disaster/Program Title: Emergency Management Performance Grant 6. Performance / July 1, 2023 Budget Period: (Start Date) 7. Indirect Cost Rate: (Select) Federally Approved ICR (if applicable) 92702-1981 (Zip+4) 92702-1981 (Zip+4) to June 30, 2025 (End Date) Item Number Grant Year Fund Source A. State B. Federal C. Total D. Cash Match E. In -Kind Match F. Total Match G. Total Cost 8. 2023 EMPG $46,342 $46,342 $46,342 $46,342 $92,684 9. 10. 11. 12. Total Project Cost $46,342 1 $46,342 1 $46,342 $46,342 $92,684 13. Certification_ This Grant Subaward consists of This TiTIe page, the application for the grant, which is attached and made a part hereot, the Assurances/Certifications, and any attached Special Conditions. I hereby certify I am vested with the authority to enter into this Grant Subaward, and have the approval of the City/County Financial Officer, City Manager, County Administrator, Governing Board Chair, or other Approving Body. The Subrecipient certifies that all funds received pursuant to this agreement will be spent exclusively on the purposes specified in the Grant Subaward. The Subrecipient accepts this Grant Subaward and agrees to administer the grant project in accordance with the Grant Subaward as well as all applicable state and federal laws, audit requirements, federal program guidelines, and Cal OES policy and program guidance. The Subrecipient further agrees that the allocation of funds may be contingent on the enactment of the State Budget. 14. CA Public Records Act - Grant applications are subject to the California Public Records Act, Government Code section 7920 et seq. Do not put any personally identifiable information or private information on this application. If you believe that any of the information you are putting on this application is exempt from the Public Records Act, please attach a statement that indicates what portions of the application and the basis for the exemption. Your statement that the information is not subject to the Public Records Act will not guarantee that the information will not be disclosed. 15. Official Authorized to Sign for Subrecipient: Name: Tom Hatch Title: Interim City Ma Payment Mailing Address: 60 Civic Center Drive PO Box 1981 City: Santa Ana Signature Date: 16. Federal Employer ID Number: (FOR Cal OES USE ONLY) I hereby certify upon my personal knowledge that budgeted funds are available for the period and purposes of this expenditure stated above. Zip Code+4: 92792-1981 (Cal OES Fiscal Officer) (Date) (Cal OES Director or Designee) (Date) City Council 36 — 252 8/20/2024 FY 2023 EMPG FMFW (Macro) v.23 22 of 36 Grant Subaward Face Sheet Cal OES 2-101 (Revised 05/2023) CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES) AUTHORIZED AGENT AND CONTACT INFORMATION County of Orange 2023-0006 uest Type Modification uest Number 1 OES Approval Salutation Authorized Agent Name Title Address city Zip Phone Email Tom Hatch Interim City Manager 20 Civic Center Drive Santa Ana 92701 714-647-5200 thatchr snntn-ana nra MOTE: Authorized Agents must be designated, by name or title, in the Governing Body Resolution. Modificatiam will require additional documentation. Salutation Point of Contact (POC) Name Title Address city Zip Phone Email Steve Rhyner Emergency Operations Coordinator 60 Civic Center Plaza Santa Ana 92702 (714) 647-5315 srhyner9santa-ana orn City Council 36 — 253 8/20/2024 FY 2023 EMPG FMFW (Macro) v.23 23 of 36 AA Info CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES) PROJECT LEDGER County of Orange 2023-0006 Award Total M&A nded %Total M8A Up $46,342 Request Type Modrfication Request Number 1 POP $}Off Date July 1, 2023 POP End Date June 30, 2025 Cal OES Approval State Direct / Goals Subaward Project Project Tide Project escriptlon Solution Area Solution Area Sub -Category Core Capability Capabilities Building Deployable / Shareable Total Budgeted Cost Previously Approved Amount Amount This Request Total Approved Expenditures Remaining Percent To Date Balance Expended w Match rnnl ul ciihnwnrN Goal #1 Subaward A A V"NPn C'nm Video Cameras FEau pm.nt Equipment �Q.0 n d Infnrmntinn Build $haring Intelligence and Information Build Sharing MIA $46,342 4AI49 46,342 $46,342 4fi3-42 46,342 Fnhnnrcmrnt Equipment 14 - Physical Security Enhancement Equipment Purchase afhs video security cameras on the Bristol Street Corridor City Council 36 — 254 8/20/2024 FY 2023 EMPG FMFW (Macro) v.23 24 of 36 Project Ledger CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES) PLANNING County of Orange Request Type 2023-0006 POP Start Date July 1, 2023 POP End Date June 30, 2025 Cal OES Approval Project Direct / Subaward Planning Activity Solution Area Sub -Category Expenditure Category Final Product Noncompetitive Procurement over 250k Hold Trigger Approval Date Budgeted Cost Previously Approved Amount Amount This Request Total Approved Remaining Balance City Council 36 — 255 8/20/2024 FY 2023 EMPG FMFW (Macro) v.23 25 of 36 Planning CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES) ORGANIZATION County of Orange Request Type 2023-0006 POP Start Date July 1, 2023 POP End Date June 30, 2025 Cal OES Approval Project Direct / Subaward Organization Solution Area Sub -Category Expenditure Category Detail Budgeted Cost Previously Approved Amount Amount This Request Total Approved Remaining Balance City Council 36 — 256 8/20/2024 FY 2023 EMPG FMFW (Macro) v.23 26 of 36 Organization CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES) EQUIPMENT County of Orange 2023-0006 Equipment Descrl Hon AEL SAFECOM Solution Area Invoice ID Tag %of Federal Contlition 8 Deployetl Acquisition Noncompetitive old A I Butl etetl Project p AELR Vendor Funds Used in the Procurement pprova 9 (include Qty.) 71He Compliance Sub category Number Number purchase Disposition Location Date over $RSDk Trigger Date Cost $46,342 Ledger Type Modfcation Request Number 1 POP Stall Date July I, 2023 POP End Date June 30, 2025 Cat OES Approval Previously Amount Total Remainln Approved g Amount This Request Approved Balance $46,342 A Pnrrhncp nnri'ncinllG v'dPn cnrnr'fv 1g�W-f]L SyctPmcn P Accccc Pntay{A - -PhycI So ity Pn}r FTynmcn loan NFW-'n Xauaus 46392 4A'W amierns vinn A Purchase and install2 video security cameras 14SW-0I- VIDA Systems, Video Assessment, N/A Security 14- Physical Security Enhancement Equipment 100% Bristol/Santa Ana Blvd& NEW -in use Bristol/MCFa dd— 46,342 46,342 City Council 36 — 257 8/20/2024 FY 2023 EMPG FMFW (Macro) v.23 27 of 36 Equipment CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES) TRAINING County of Orange Ledger Type 2023-0006 POP Start Date July 1, 2023 POP End Date June 30, 2025 Cal OES Approval Project Direct / Suba—cl Course Name Solution Area Sub -Category Expenditure Category Feedback Number Training Activity Total # of Trainee(s) Identified HosT Noncompetitive Procurement over 250k Hold Trigger Approval Date Budgeted Cost Previously Approved Amount Amount This Request Total Approved Remaining Balance City Council 36 — 258 8/20/2024 FY 2023 EMPG FMFW (Macro) v.23 28 of 36 Training CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES) EXERCISE County of Orange Ledger Type 2023-0006 POP Start Date July 1, 2023 POP End Date June 30, 2025 Cal OES Approval Project Direct / Subaward Exercise Title Solution Area Sub -Category Expenditure Category Exercise Type Identified Host Date of Exercise Date AAR/IP E-malled To HSEEP Noncompetitive Procurement over $250k Hold Trigger Approval Date Budgeted Cost Previously Approved Amount Amount This Request Total Approved Remaining Balance City Council 36 — 259 8/20/2024 FY 2023 EMPG FMFW (Macro) v.23 29 of 36 Exercise CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES) M&A County of Orange Request Type 2023-0006 POP Start Date July 1, 2023 POP End Date June 30, 2025 Cal OES Approval Project Activity Solution Area Sub -Category Expenditure Category Detail Budgeted Cost Previously Approved Amount Amount This Request Total Approved Remaining Balance City Council 36 — 260 8/20/2024 FY 2023 EMPG FMFW (Macro) v.23 30 of 36 M&A CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES) MATCH County of Orange 2023-0006 Request Type Modification Request Number 1 POP Start Date July 1, 2023 POP End Date June 30, 2025 Cal OES Approval Project Direct / Subaward Project Title etch Deacrlptl Solution Area Solution Area Sub -Category T ype of Match Total Budgeted Match Previously Expended Match Current Match Total Match Expended Remaining Balance Percentage Expended $46,342 $46,342 6 G ihaward P one nn'ncfnll 4 v Nan 1 n(1% ('nch Mn}nh frnm Innnl fiinric fnr FM cnlnry me}c C7�raan7af'an S}nff.nn C'ach Mn}rh 46342 46.3.42 A Subaward Purchase and install 2 video security cameras 100% Cash Match from local funds for EM salary costs Organization Staffing Cash Match 46,342 46,342 City Council 36 — 261 8/20/2024 FY 2023 EMPG FMFW (Macro) v.23 31 of 36 Match CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES) CONSULTANT / CONTRACTOR County of Orange Type 2023-0006 POP start Date July 1, 2023 POP End Date June 30, 2025 Cal OES Approval Project Consulting Firm / Consultant Name Project / Description of Services Deliverable Solution Area Solution Area Sub -Category Expenditure Category Noncompetitive Procurement over 250k Hold Trigger Approval Date Period of Expenditure Fee for Deliverable Total Cost Charged to Grant City Council 36 — 262 8/20/2024 FY 2023 EMPG FMFW (Macro) v.23 32 of 36 Consultant -Contractor CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES) PERSONNEL County of Orange I Ledger Type 2023-0006 POP Start Date July 1, 2023 POP End Date June 30, 2025 Cal OES Approval Project Employee Name Project / Deliverable Solution Area Solution Area Sub -Category Dates of Payroll Period Total Salary & Benefits Charged for this Reporting Period TotalProject Hours Total Cost Charged to Grant City Council 36 — 263 8/20/2024 FY 2023 EMPG FMFW (Macro) v.23 33 of 36 Personnel CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES) INDIRECT COSTS County of Orange ger Type 2023-0006 POP Start Date July 1, 2023 POP End Date June 30, 2025 Cal OES Approval Project Activity Solution Area Sub -Category ICR Base Rate Budgeted Cost Previously Approved Amount Amount This Request Total Approved Remaining Balance City Council 36 — 264 8/20/2024 FY 2023 EMPG FMFW (Macro) v.23 34 of 36 Indirect Costs CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES) INDIRECT COSTS - SUMMARY RECAP OF COSTS CLAIMED County of Orange Ledger Type 2023-0006 Cal OES Approval FUNDING SOURCE ICR PERIOD (Mo/Yr through Mo/Yr) INDIRECT COST RATE FOR PERIOD ICR BASE EMPG (Select) DIRECT COSTS TOTAL COSTS LESS DISTORTING COSTS COSTS APPLICABLE TO ICR Planning Organization Training Exercise M&A SUBTOTAL ELIGIBLE DIRECT COSTS SUBAWARDS TOTAL COSTS LESS EXCLUDED SUBAWARD COSTS COSTS APPLICABLE TO ICR SUBTOTAL ELIGIBLE SUBAWARD COSTS TOTAL DIRECT COSTS TOTAL ALLOWABLE INDIRECT COSTS TOTAL BUDGETED INDIRECT COSTS City Council 36 — 265 8/20/2024 FY 2023 EMPG FMFW (Macro) v.23 35 of 36 ICR CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES (Cal OES) County of Orange 2023-0006 This request is for a/an: AUTHORIZED AGENT NOTE: Unauthorized alterations will delay the approval of this reauest. I ALN Supporting Information for Application, Modification, or Request for Federal Funds This claim is for costs incurred within the grant performance period. Modification July 1, 2023 Beginning Performance Period Date Request # through EMPG 97.042 June 30, 2025 Ending Performance Period Date Amount This Request Under Penalty of Perjury, I certify that: I am the duly authorized officer of the claimant herein. This claim is true, correct, and all expenditures were made in accordance with applicable laws, rules, regulations, and grant conditions and assurances. Statement of Certification - Authorized Agent By signing this report, I certify, to the best of my knowledge and belief, that the report is true, complete, and accurate, and that the expenditures, disbursements, and cash receipts are for the purposes and objectives set forth in the terms and conditions of the Federal award. I am aware that any false, fictitious, or fraudulent information, or the omission of any material fact, may subject me to criminal, civil or administrative penalties for fraud, false statements, false claims or otherwise. (U.S. Code Title 18, Section 1001 and Title 31, Sections 3729-3730 and 3801-3812). Tom Hatch Printed Name of Authorized Agent Interim City Manager Title of Authorized Agent Signature of Authorized Agent City Council 36 — 266 60 Civic Center Drive PO Box 1981 Payment Address Santa Ana, CA 92792-1981 City, ZIP 3/12/2024 Date 8/20/2024 FY 2023 HSGP FMFW (Macro) v.23 36 of 36 AA Approval EXHIBIT C N 0-0,007/ CaIOES GOVERNOR'S OFFICE OF EMERGENCY SERVICES Fiscal Year 2023 Emergency Management Performance Grant (EMPG) California Supplement to the Federal Notice of Funding Opportunity October 2023 City Council 36 - 267 8/20/2024 SECTION 1—OVERVIEW.....................................................................................1 Federal Program Announcement Information Bulletins Purpose of the California Supplement Key Changes to the FY 2023 Emergency Management Performance Grant Grant Management Memoranda Eligible Subrecipients Tribal Allocations Subrecipient Allocations Supplanting Public/Private Organizations Debarred/Suspended Parties SECTION 2—FEDERAL CHANGES AND INITIATIVES.......................................................4 FY 2023 Program Priorities National Campaigns and Programs NIMS Implementation Match Requirement Management and Administration Indirect Costs Equipment Typing/Identification and Use Equipment Maintenance and Sustainment Small Unmanned Aircraft Systems Telecommunications Equipment or Services Prohibitions Emergency Operations Plans Conflict of Interest Integrated Preparedness Plan Prohibited and Controlled Equipment Build America Buy America Act SECTION 3—STATE CHANGES AND INITIATIVES.......................................................... 12 California Homeland Security Strategy Goals "On Behalf Of" Public Alert and Warning SECTION 4—REQUIRED STATE APPLICATION COMPONENTS ...................................... 13 Financial Management Forms Workbook Subrecipient Grants Management Assessment Application Attachments Standard Assurances Governing Body Resolution Authorized Agent Information City Council 36 - 268 8/20/2024 SECTION 5—THE STATE APPLICATION PROCESS......................................................... 17 Application Submission Late or Incomplete Application EMPG Contact Information Subaward Approval SECTION 6—POST AWARD REQUIREMENTS................................................................ 18 Payment Request Process Semi -Annual Drawdown Requirements Modifications Training Requirements Exercises, Improvement Plans and After Action Reporting Procurement Standards and Written Procedures Procurement Documentation Procurement Thresholds Noncompetitive Procurements Environmental Planning and Historic Preservation Construction and Renovation Inventory Control and Property Management Equipment Disposition Performance Reporting Extension Requests Progress Reports on Grant Extensions Monitoring Failure to Submit Required Reports Suspension/Termination Closeout Records Retention ATTACHMENTS A - FY 2023 EMPG Allocations B - FY 2023 EMPG Timeline C - FY 2023 EMPG Program Checklist City Council 36 - 269 8/20/2024 Section 1 - Overview 1 2023 Federal Program In February 2023, the U.S. Department of Homeland Announcement Security (DHS)/Federal Emergency Management Agency (FEMA) issued the Fiscal Year (FY) 2023 Emergency Management Performance Grant (EMPG), Notice of Funding Oboortunity (N� and FEMA Preparedness Grants Manual. Subrecipients must follow the programmatic requirements in the NOFO, FEMA Preparedness Grants Manual, and the applicable provisions of the Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards located in Title 2, Code of Federal Regulations (C.F.R.) Part 200. Information Bulletins DHS issues Information Bulletins (IBs) to provide updates, clarification, and new requirements throughout the life of the grant. Purpose of the The FY 2023 EMPG California Supplement to the NOFO California Supplement (State Supplement) is intended to complement, rather than replace, the NOFO and the FEMA Preparedness Grants Manual. Applicants are highly encouraged to thoroughly read the NOFO and the Preparedness Grants Manual before referring to the State Supplement. The State Supplement will emphasize differences between the FY 2022 and FY 2023 EMPG and highlight additional California policies and requirements applicable to the FY 2023 EMPG. Key Changes to the The National Priorities for the FY 2023 EMPG Program FY 2023 EMPG continue to be: • Equity • Climate Resilience • Readiness A detailed description of allowable investments for each national priority is included in the FY 2023 EMPG NOFO. City Council 36 - 270 8/20/2024 Section 1 - Overview 1 2023 Key Changes to the National Qualification System (NQS) FY 2023 EMPG Cont. Subrecipients are required to work towards implementation of the NQS by developing an implemention Plan. Additional information regarding the NQS implementation requirements and be found in the FEMA Preparedness Grants Manual. Build America Buy America Act (BABAA): FY 2023 EMPG is subject to the BABAA requirements. The BABAA requires all federal agencies, including FEMA, to ensure that no federal Financial Assistance for "Infrastructure" projects is provided unless all of the iron, steel, manufactured products, and construction materials used in the project are produced in the United States. The BABAA requirements only apply to awards or funds obligated on or after January 2, 2023, and do not apply to awards or funds obligated during the waiver period from July 1, 2022 to January 1, 2023. Grant Management Cal OES issues Grant Management Memoranda (GMMs) Memoranda which provide additional information and requirements regarding EMPG funds. Eligible Subrecipients Eligible Applicants, referred to as Subrecipients, include Counties/Operational Areas (OAs), and federally - recognized tribes located in California. Tribal Allocations The NOFO strongly encourages Cal OES to provide EMPG funds directly to tribes in California. To implement this requirement, a special Request for Proposal will be issued to California's federally -recognized tribes. All Subrecipients are encouraged to coordinate with tribal governments to ensure that tribal needs are considered in their grant applications. Subrecipient Allocations FY 2023 EMPG Subrecipient final allocations are included in Attachment A. 2 City Council 36 — 271 8/20/2024 Section 1 - Overview 1 2023 Supplanting Grant funds must be used to supplement existing funds, not replace (supplant) funds that have been appropriated for the same purpose. Subrecipients may be required to provide supporting documentation that certifies a reduction in non-federal resources occurred for reasons other than the receipt or expected receipt of federal funds. Supplanting will result in the disallowance of any activity associated with this improper use of federal grant funds. Public/Private Subrecipients may contract with any other public or private Organizations organizations to perform eligible activities on approved EMPG projects. Debarred/ Subrecipients must not make or permit any award Suspended Parties (subaward or contract) at any tier, to any party, that is debarred, suspended, or otherwise excluded from, or ineligible for, participation in federal assistance programs. Subrecipients must obtain documentation of eligibility prior to making any subaward or contract funded by EMPG funds, and must be prepared to present supporting documentation to monitors/auditors. Before entering into a Grant Subaward, the Subrecipient must notify Cal OES if it knows if any of the principals under the subaward fall under one or more of the four criteria listed at 2 C.F.R. § 180.335. The rule also applies to Subrecipients who pass -through funding to other local entities. If at any time after accepting a subaward, Subrecipients learn that any of its principals fall under one or more of the criteria listed at 2 C.F.R. � 180.335, immediate written notice must be provided to Cal OES and all grant activities halted until further instructions are received from Cal OES. The rule also applies to subawards passed through by Subrecipients to local entities. 3 City Council 36 — 272 8/20/2024 Section 2 — Federal Changes and Initiatives 1 2023 FY 2023 Program DHS/FEMA annually publishes the National Preparedness Priorities Report (NPR) to report national progress in building, sustaining, and delivering the core capabilities outlined in the goal of a secure and resilient nation. This analysis provides a national perspective on critical preparedness trends for whole community partners to use to inform program priorities, allocate resources, and communicate with stakeholders about issues of concern. In developing applications for the FY 2023 EMPG Program, Subrecipients should fund projects that address areas for improvement as they relate to emergency management capabilities, and projects that fall into the state, regional, and National Priority Areas, including: • Planning • Operational Coordination • Community Resilience • Equity • Climate Resilience • Readiness DHS/FEMA does not prescribe a minimum funding amount for these priorities. However, Subrecipients are required to support local, regional, state, and national efforts in achieving the desired outcomes of these priorities. Whole Community Preparedness - Subrecipients should National engage with the whole community to advance individual Campaigns and and community preparedness and to work as a nation to Programs build and sustain resilience. In doing so, Subrecipients are encouraged to consider the needs of individuals with access and functional needs and limited English proficiency in the activities and projects funded by the grant. Subrecipients should utilize established best practices for whole community inclusion and engage with stakeholders to advance individual and jurisdictional preparedness and resilience. Subrecipients are encouraged to consider the necessities of all Californians in the activities and projects funded by the grant including children, seniors, individuals with disabilities or access and functional needs, individuals with diverse culture and language use, individuals City Council 36 - 273 8/20/2024 Section 2 — Federal Changes and Initiatives 1 2023 with lower economic capacity, and other underserved National populations. Campaigns and Programs Cont. Active Shooter Preparedness - DHS has developed a comprehensive Active Shooter Preparedness website, which strives to enhance national preparedness through a whole - community approach by providing the necessary products, tools, and resources to help all stakeholders prepare for and respond to an active shooter incident. Subrecipients are encouraged to review the referenced active shooter resources and evaluate their preparedness needs. Soft Targets and Crowded Places - States, territories, Urban Areas, and public and private sector partners are encouraged to identify security gaps and build capabilities that address security needs and challenges related to protecting locations or environments that are easily accessible to large numbers of people on a predictable or semi -predictable basis that have limited security or protective measures in place, including town centers, shopping malls, open-air venues, outside hard targets/venues perimeters, and other places of meeting and gathering. For more information, please see DHS's Hometown Security Program. Community Lifelines - FEMA created Community Lifelines to reframe incident information and impacts using plain language and unity of effort to enable the integration of preparedness efforts, existing plans, and identifies unmet needs to better anticipate response requirements. Additional information may be found at the Community Lifelines Implementation Toolkit website. Strategic Framework for Countering Terrorism and Targeted Violence - DHS adopted the DHS Strategic Framework for Countering Terrorism and Targeted Violence, which explains how the department will use the tools and expertise that have protected and strengthened the country from foreign terrorist organizations to address the evolving challenges of today. 5 City Council 36 - 274 8/20/2024 Section 2 — Federal Changes and Initiatives 1 2023 NIMS Prior to allocation of any federal preparedness awards, Implementation Subrecipients must ensure and maintain adoption and implementation of the National Incident Management System (NIMS). Match The FY 2023 EMPG requires a dollar -for -dollar match. This can Requirement be cash or third -party in -kind contributions. Refer to 2 C-F-R. � 200.306 for specific details. Utilizing the Financial Management Forms Workbook (FMFW) Match Tab, Subrecipients will indicate the appropriate Solution Area and Solution Area Subcategory that accurately represents the specific activity(ies) and cost(s) used to meet the match requirement under the FY 2023 EMPG subaward. Contributions from the Subrecipient should be specifically identified in the match description located on the FMFW Match Tab. The non-federal match contributions have the same eligibility requirements as the federal share. For additional match guidance, see EMPG Clarifying Guidance 1 B 458, Management The Management and Administration (M&A) allowance for and Subrecipients is set at a maximum of five percent for the Administration FY 2023 EMPG. Indirect Costs Indirect costs are allowable under the FY 2023 EMPG Program Award. Subrecipients with an indirect cost rate approved by their cognizant federal agency must claim indirect costs based on the established rate. Indirect costs claimed must be calculated using the base approved in the indirect cost Negotiation Agreement. A copy of the approved Negotiation Agreement is required at the time of application. Indirect costs are in addition to the M&A allowance and must be included in the Grant Award application as a "Project" and reflected in the FMFW on the Indirect Cost Tab if being claimed under the award. Indirect costs must be claimed no more than once annually, and only at the end of the Subrecipient's fiscal year. An exception to this rule applies if there is a mid -year change to the approved indirect cost rate; in this case, I. City Council 36 — 275 8/20/2024 Section 2 — Federal Changes and Initiatives 1 2023 costs incurred to date must be claimed. At that time, a Indirect Costs Grant Subaward Modification reflecting the rate change Cont. must also be submitted to Cal OES, along with a copy of the new Indirect Cost Rate Agreement. Equipment Allowable EMPG equipment is listed on the FEMA Authorized Typing/ EquiQmment I ist (AEL) website, and includes equipment from Identification the following AEL Sections: and Use • Personal Protective Equipment (Category 1) • Information Technology (Category 4) • Cybersecurity Enhancement Equipment (Category 5) • Interoperable Communication Equipment (Category 6) • Detection Equipment (Category 7) • Power Equipment (Category 10) • Chemical, Biological, Radiological, Nuclear, and Explosive (CBRNE) Reference Materials (Category 1 1) • CBRNE Incident Response Vehicles (Category 12) • Physical Security Enhancement Equipment (Category 14) • CBRNE Logistical Support Equipment (Category 19) • Other Authorized Equipment (Section 21) Subrecipients should analyze the cost benefits of purchasing versus leasing equipment, especially high cost items and those subject to rapid technical advances. Large equipment purchases must be identified and explained. For more information regarding property management standards for equipment, refer to 2 C.F.R. including § 200.310, � 200.313, and � 200.316. Subrecipients that allocate FY 2023 EMPG funds for equipment are required to type and identify the capability associated with that equipment. Also, per FEMA policy, the purchase of weapons and weapon accessories are not allowed with EMPG funds. Special rules apply to critical emergency supplies; refer to Appendix H of the FEMA Preparedness Grants Manual for additional information. Equipment Use of EMPG funds for maintenance contracts, warranties, Maintenance repair or replacement costs, upgrades, and user fees are and Sustainment allowable as described in FEMA IBs 3M and 379, as well as Grant Programs Directorate Policy FP 205-402-125-1. 7 City Council 36 — 276 8/20/2024 Section 2 — Federal Changes and Initiatives 1 2023 Small All requests to purchase Small Unmanned Aircraft Systems Unmanned (SUAS) with FEMA grant funding must comply with FEMA Aircraft Systems Policy 207-22-0009 and include copies 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. Reference the Presidential Memorandum: Promoting Economic Combetitiveness While Safeauardina Privacy, Civil Rights, and Civil Liberties in Domestic Use of Unmanned Aircraft Systems for additional information. All SUAS require FEMA approval prior to making purchase. Telecommuni- Effective August 13, 2020, section 889 (f) (2)-(3) of the cations Equipment John S. McCain National Defense Authorization Act or Services for FY 2019 (NDAA), Pub. L. No. 1 15-232 (2018) and Prohibitions 2 C.F.R. § 200.216, 200.471, and Appendix II to 2 C.F.R. Part 200 prohibits DHS/FEMA Recipients and Subrecipients (including their contractors and subcontractors) from using any FEMA funds under open or new awards for the following covered telecommunications equipment or services: 1) Telecommunications equipment produced by Huawei Technologies Company or ZTE Corporation, (or any subsidiary or affiliate of such entities); 2) 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); 3) Telecommunications or video surveillance services provided by such entities or using such equipment; or 4) 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. 8 City Council 36 — 277 8/20/2024 Section 2 — Federal Changes and Initiatives 1 2023 Telecommuni- Additional guidance is available in FEMA Policy #405-143-L cations Equipment Prohibitions on ExQendinq FEMA Award Funds �or Covered or Services Teleco= nications Equ-ipment or Services. Prohibitions Cont. Emergency Subrecipients should update their Emergency Operations Operations Plans Plan (EOP) at least once every two years to remain compliant with the Comprehensive Preparedness Guide 101 version 2.0. Subrecipients are highly 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. Conflict of To eliminate and reduce the impact of conflicts of interest in Interest the subaward process, Subrecipients and pass -through entities must follow their own policies and procedures regarding the elimination or reduction of conflicts of interest when making subawards. Subrecipients and pass -through entities are also required to follow any applicable federal, state, local, and tribal statutes or regulations governing conflicts of interest in the making of subawards. Subrecipients must disclose to their Program Representative, in writing, any real or potential conflict of interest as defined by the federal, state, local, or tribal statutes or regulations, which may arise during the administration of the EMPG subaward within five days of learning of the conflict of interest. Integrated The IPP is a multi -year plan that identifies preparedness Preparedness priorities and activities. The IPP needs to be reviewed and Plan (IPP) updated annually. For FY 2023 EMPG, the IPP needs to cover a minimum of two years, from 2024 through 2025 to qualify as a multi -year plan. Prohibited and Effective May 25, 2022, Executive Order (EO)14074, Controlled Advancing Effective, Accountable Policing and Criminal Equipment Justice Practices to Enhance Public Trust and Public Safety, Section 12(a) directs the Department of Homeland Security to review its grants, and consistent with applicable law, prohibits the use of grant funding to purchase certain types of military equipment by state, local, tribal, and territorial (SLTT) law enforcement agencies (LEAs). 9 City Council 36 - 278 8/20/2024 Section 2 — Federal Changes and Initiatives 1 2023 Prohibited and For all awards issued on or after January 1, 2023, the policy Controlled directly prohibits certain types of equipment outright Equipment Cont. (prohibited equipment), whereas other types of equipment may be controlled, or LEAs are required to submit certifications prior to purchase. Even if equipment is listed as controlled equipment and is not outright prohibited, that does not automatically make it allowable under a particular FEMA program. Recipients and Subrecipients should refer to applicable program guidance or contact your Program Representative to determine if a particular type of equipment is allowable under that program. Additional information regarding Prohibited and Controlled Equipment is available on FEMA Policy 207-22-0002. Build America, Under FEMA financial assistance programs, the BABAA Buy America Act requirements apply to: (BABAA) • New awards made on or after January 2, 2023, • New funding that FEMA obligates to existing awards or through renewal awards on or after January 2, 2023; and • Infrastructure projects. Funds provided under this program may not 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. The Buy America preference only applies to articles, materials, and supplies that are consumed in, incorporated into, or affixed to an infrastructure project. As such, it does not apply to tools, equipment, and supplies, such as temporary scaffolding, brought to the construction site and removed at or before the completion of the infrastructure project. Additinally, the Buy America preference does not apply to equipment and furnishings, such as movable chairs, desks, and portable computer equipment, that are used at or within the finished infrastructure project but are not an integral part of the structure or permanently affixed to the infrastructure project. Ice City Council 36 — 279 8/20/2024 Section 2 — Federal Changes and Initiatives 1 2023 Build America, When necessary, Subrecipients may apply for a waiver from Buy America Act these requirements. Additional information regarding the (BABAA) Cont. BABAA can be found on FEMA's website under Buy America Preference. City Council 36 - 280 8/20/2024 Section 3 — State Changes and Initiatives 1 202, California The State has prioritized the following California Homeland Homeland Security Strategy Goals for the FY 2023 subawards: Security Strategy Goals 1. Enhance Information Collection, Analysis, and Sharing, in Support of Public Safety Operations Across California; 2. Protect Critical Infrastructure and Key Resources from All Threats and Hazards; 3. Strengthen Security and Preparedness Across Cyberspace; 4. Strengthen Communications Capabilities Through Planning, Governance, Technology, and Equipment; 5. Enhance Community Preparedness; 6. Enhance Multi-Jurisdictional/Inter-Jurisdictional All - Hazards Incident Catastrophic Planning, Response, and Recovery Capabilities; 7. Improve Medical and Health Capabilities; 8. Enhance Incident Recovery Capabilities; 9. Strengthen Food and Agriculture Preparedness; 10. Enhance Homeland Security Exercise, Evaluation, and Training Programs; and 11. Protect Against Effects of Climate Change "On Behalf Of" Cal OES may, in conjunction with local approval authorities, designate funds "on behalf of" local entities who choose to decline or fail to utilize their subaward in a timely manner. Public Alert and Cal OES encourages Subrecipients to consider use of this Warning funding to assist their jurisdiction's alignment with the State of California Alert and Warning Guidelines developed pursuant to Senate Bill 833 of the 2018 Legislative Session. 12 City Council 36 — 281 8/20/2024 Section 4 - Required State Application Components 1 2023 Financial The FY 2023 Cal OES FMFW includes: Management Forms Grant Subaward Face Sheet - Use the Grant Subaward Workbook Face Sheet to apply for grant programs. The Grant Subaward Face Sheet must be signed and submitted in portrait format. Authorized Agent Contact Information - Provides the contact information of Authorized Agents (AA), delegated via the Governing Body Resolution (GBR) or Signature Authorization Form, including staff related to grant activities. More than one person is recommended for designation as the AA; in the absence of an AA, an alternate AA can sign documents. Project Ledger - The Project Ledger is used in the application process to submit funding information and is used for submitting cash requests and Grant Subaward Modifications, and assists with completion of the Biannual Strategy Implementation Report (BSIR). Planning Tab - Provides detailed information on grant - funded planning activities with a final product identified. Organization Tab - Provides detailed information on grant - funded organizational activities. Equipment Tab - Detailed information must be provided under the equipment description for all grant -funded equipment. AEL numbers must be included for all items of equipment. Always refer to the AEL for a list of allowable equipment and conditions, if any. Training Tab - Provides detailed information on grant - funded training activities. All training activities must receive Cal OES approval prior to starting the event, including a Training Feedback number. The Training Request Form must be submitted and approved to obtain a Training Feedback number and should be submitted at least 30 days in advance. Exercise Tab - Provides detailed information on grant - funded exercises. 13 City Council 36 - 282 8/20/2024 Section 4 - Required State Application Components 1 2023 Financial M&A Tab - Provides information on grant -funded M&A Management activities. Forms Workbook Cont. Indirect Costs Tab - Provides information on indirect costs. Consultant -Contractor Tab - Provides detailed information on grant -funded consultants, and documents maintenance and sustainment contracts and activities on grant eligible items/equipment. Personnel Tab - Provides detailed information on grant - funded personnel activities. Match Tab - Provides detailed information on match activities. Authorized Agent Page - The Authorized Agent (AA) Page must be submitted with the application, all cash requests, and Grant Subaward Modifications. The AA page must include a valid signature on file with Cal OES and the date. Subrecipient Per 2 C.F.R. § 200.332, Cal OES is required to evaluate the Grants risk of non-compliance with federal statutes, regulations, Management and grant terms and conditions posed by each Assessment Subrecipient of pass -through funding. The Subrecipient Grants Management Assessment contains questions related to a Subrecipient organization's experience in the management of federal grant awards. It is used to determine, and provide, an appropriate level of technical assistance, training, and grant oversight to Subrecipients during the subaward. The questionnaire must be completed and returned with the Subrecipient's grant application. Application Indirect Cost Rate Agreement - If claiming indirect costs at Attachments a federally -approved rate, please provide a copy of the approved Indirect Cost Rate Agreement. Federal Funding Accountability and Transparency Act (FFATA) Financial Disclosure - Use the FFATA Financial Disclosure to provide information required by the Federal Funding Accountability and Transparency Act of 2006. ZT1 City Council 36 - 283 8/20/2024 Section 4 - Required State Application Components 1 2023 Application Certification Regarding Lobbying - Use the Certification Attachments Reaa rdina Lobbying form to certify lobbying activities, as Cont. stipulated by the Byrd Anti -Lobbying Amendment, 31 U.S.C. § 1352. Standard The Standard Assurances list the requirements to which the Assurances Subrecipients will be held accountable. All Applicants will be required to submit a signed original of the FY 2023 Standard Assurances as part of their FY 2023 EMPG application. The required Standard Assurances can be found only in PDF format on the Cal OES website. NOTE: Self-created Standard Assurances will not be accepted. Governing Body The GBR appoints AAs (identified by the individual's name Resolution or by a position title) to act on behalf of the governing body and the Applicant by executing any actions necessary for each application and subaward. All Applicants are required to submit a copy of an approved GBR with their application. Resolutions may be valid for up to three grant years given the following: • The resolution identifies the applicable grant program (e.g., EMPG and/or HSGP); • The resolution identifies the applicable grant years, (e.g., FY 2023, FY 2024, FY 2025); and • Adheres to any necessary elements required by local protocols, rules, etc., if applicable. Resolutions that only identify a single grant program will only be valid for that single program. Resolutions that do not identify applicable grant years will only be valid for the grant year in which the resolution was submitted. Authorized For each person or position appointed by the Governing Agent Body, identify the individual in the AA and Contact Information Information page of the FMFW. All changes in AA and contact information must be provided to Cal OES in writing. If the GBR identifies the AA by name, a new Resolution is needed when changes are made. If the GBR identifies the AA by position and/or title, changes may be made by submitting a request on the entity's letterhead, signed by an existing AA. 15 City Council 36 - 284 8/20/2024 Section 4 - Required State Application Components 1 2023 Authorized Cal OES will not accept signatures of an AA's designee, Agent unless authorized by the Governing Body's resolution. A Information change to an AA's designee must be submitted on agency Cont. letterhead and signed by the AA, announcing the change to their designee. In City Council 36 - 285 8/20/2024 Section 5 - The State Application Process 1 2023 Application Subrecipients must submit an electronic copy of their Submission completed FMFW to their Program Representative for review no later than fourteen calendar days before the final Application due date. After the application is approved, all electronic copies of the FMFW, along with the required documents must be emailed, with original or electronic signatures, by the application due date. During the application process, if it is determined all allocated funds cannot be expended by the end of the period of performance, inform your Program Representative as soon as possible. The completed application documents should be received by Cal OES no later than the date provided in the FY 2023 EMPG Timeline, referenced as Attachment B. Late or Late or incomplete applications may be denied. If an Incomplete application is incomplete, the Program Representative Application may request additional information. Requests for late submission of applications must be made in writing to the Program Representative prior to the application due date. Cal OES has sole discretion to accept or reject a late or incomplete grant application. EMPG Contact Subrecipient questions, comments, and correspondence Information should be directed to: California Governor's Office of Emergency Services ATTN: Grants Management (Building F) Emergency Management Performance Grants Unit 3650 Schriever Avenue Mather, CA 95655 Carmyn Fields - Regions I & VI (916) 328-7733 Marjan Warmilee - Region 11 (916) 364-4558 Ronak Patel - Region III (916) 845-8124 Lauren Swearengin - Regions IV & V (916) 845-8950 Subaward Subrecipients will receive a formal notification of Approval subaward. Subaward letters must be signed and the signed copy be returned to Cal OES within 20 calendar days. Once the completed application along with the signed subaward letter is received and approved, reimbursement of eligible subaward expenditures may be requested using the Cal OES FMFW. 17 City Council 36 - 286 8/20/2024 Section 6 — Post Award Requirements Payment Request The EMPG is a reimbursement program. To request a cash Process reimbursement of EMPG funds, Subrecipients must first complete a payment request using the Cal OES FMFW, returning it to the appropriate Program Representative. Subrecipients who fail to follow the workbook instructions may experience delays in processing the payment request. Payments can only be made if the Subrecipient has an approved application. Semi -Annual All Subrecipients must report expenditures and request funds Drawdown at least semi-annually throughout the period of Requirements performance. Semi-annual drawdowns should occur in March and October of each calendar year following final approval of the subaward application, with the exception of the final reimbursement request, which must be submitted within twenty calendar days after the end of the period of performance. Modifications Post award budget and scope modifications must be requested using the Cal OES EMPG FMFW, signed by the Subrecipient's AA, and submitted to the Program Representative. The Subrecipient may implement grant modification activities, and incur associated expenses, only after receiving written final approval of the modification from Cal OES. Subrecipients must provide a written justification with all modification requests. The justification may be included in the body of the e-mail transmitting the request, or a document attached to the transmittal e-mail. Refer to GMM 2018-17 for additional information regarding modification requests. is City Council 36 — 287 8/20/2024 Section 6 — Post Award Requirements 1 2023 Training Training activities supported with EMPG Program funds Requirements should align to NPG core capabilities identified in each Subrecipient's Training and Exercise Plan. Subrecipients must obtain a Training Feedback Number from Cal OES before beginning any training activities. This includes project components like travel to, materials for, or attendance in training courses. Training Feedback Numbers should be obtained no later than 30 days before the first day of the training or related activities. Subrecipients must complete a Training Request Form and submit it electronically to Cal OES. For more information on this or other training -related inquiries, contact the Cal OES Training Branch at (916) 845-8745 or Training@CaIOES.ca.aov. All EMPG-funded personnel, including M&A staff, and any staff being used for match, must complete either the Independent Study courses identified in the Professional Development Series (PPDDS) or the National Emeraencv Management Basic Academy. Final reimbursement of personnel salaries will not be approved until all training requirements have been met. Proof of completion of the training requirements must be kept on file by the Subrecipient and be made available for review upon request. When seeking approval of non-DHS/FEMA developed courses, course materials must be submitted with the approval requests. Conditional approvals are not offered. IS 100 (any version), Introduction to Incident Command System (ICS) IS 200 (any version), ICS for Single Resources and Initial Action Incident IS 700 (any version), National Incident Management System, An Introduction IS 800 (any version), National Response Framework, An Introduction z City Council 36 — 288 8/20/2024 Section 6 — Post Award Requirements 1 2023 Training IS 120.c An Introduction to Exercises Requirements Cont. IS 230.e Fundamentals of Emergency Management IS 235.c Emergency Planning IS 240.c Leadership and Influence IS 241.c Decision Making and Problem Solving IS 242.c Effective Communication IS 244.b Developing and Managing Volunteers IS 100 (any version), Introduction to the Incident Command System (ICS) IS 700 (any version), National Incident Management System (NIMS), An Introduction IS 800 (any version), National Response Framework, An Introduction IS 230.e Fundamentals of Emergency Management E/L101, Foundations of Emergency Management E/L102, Science of Disaster E/L103, Planning Emergency Operations E/1-105, Public Information & Warning E/1-146, Homeland Seurity Exercise and Evaluation Program Training In the event that any of the listed courses have been updated and the required version is no longer available, it is acceptable to take the updated course in place of the listed course (i.e., since IS- 120.a has been replaced with IS- 120.c, the latter may be used in the place of the original course). The courses listed above are the minimum accepted versions for FY 2023 EMPG. 20 City Council 36 — 289 8/20/2024 Section 6 — Post Award Requirements 1 2023 Training Training activities should align to a current IPP, developed Requirements through an annual IPP Workshop. The training should help Cont. build core capabilities and fill gaps identified in real -world incidents and exercises. Further guidance can be found in the HSEEP. EMPG and non-EMPG -funded personnel may claim EMPG funds for tuition/travel costs for EMPG eligible trainings, provided that the purpose of the travel and training is to accomplish the objectives of the grant. Exercises, Subrecipients should engage stakeholders to identify long - Improvement term training and exercise priorities. These priorities should Plans and After address capability targets and gaps identified through a Action Reporting Threat and Hazard Identification and Risk Assessment, real - world events, previous exercises, and national areas for improvement identified in the NPR. Subrecipients must report on all exercises conducted with EMPG grant funds. An After Action Report (AAR)/Improvement Plan (IP) or Summary Report (for Seminars, Drills & Workshops) must be completed and submitted to Cal OES within 90 days after the exercise/seminar/drill/workshop is conducted. It is acceptable to submit an Exercise Summary Report for Seminars, drills, and Workshops in lieu of a full AAR/IP. AARs/IPs and Summary Reports should be e-mailed to: • hseep@fema.dhs.gov • exercise@caloes.ca.gov • Your Program Representative All EMPG-funded personnel, including M&A staff and any staff being used for match, must participate in no less than two exercises between July 1, 2023, and June 30, 2025. These exercises must align to one of the priority areas via the Performance Reports. The Great Shakeout drop, cover, and hold drill is ineligible for the purpose of the two exercise requirement. Final reimbursement of personnel salaries will not be approved until all exercise requirements have been met. 21 City Council 36 — 290 8/20/2024 Section 6 — Post Award Requirements 1 2023 Exercises, Exercises used to meet this requirement during one period of Improvement performance cannot be used to meet the requirement in Plans and After another. Extensions to the grant do not apply to this Action Reporting requirement or its due date. There is no specific requirement Cont. for level of participation in the exercises and the exercises can be of any type, provided they are related to the Subrecipient's identified long-term training and exercises priorities. Proof of completion of the exercise requirements must be kept on file by the Subrecipient and be made available for review upon request. For exercise -related issues and/or questions, email the Cal OES Exercise Team at exercise@caloes_ca_aov_ Exercise costs will not be considered for reimbursement until an AAR/IP is received by Cal OES. Procurement Subrecipients must conduct procurement using Standards and documented local government procurement procedures, or Written the federal procurement standards found in 2 C.F.R. Part 200, Procedures whichever are more strict. Subrecipients must also have written conflict of interest policies governing the actions of its employees engaged in the selection, award and administration of contracts, including disciplinary actions for violations of such standards. Procurement Non-federal entities, other than states and territories, are Documentation required to maintain and retain records sufficient to detail the history of procurements, covering at least the rationale for the procurement method, contract type, contractor selection or rejection, and the basis for the contract price. For any cost to be allowable, it must be adequately documented. Examples of the types of documents that would meet this requirement 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; 22 City Council 36 — 291 8/20/2024 Section 6 — Post Award Requirements 1 2023 Procurement • Documents demonstrating inclusion of required contract Documentation provisions, and Cont. . Other documents required by federal regulations applicable at the time the grant was awarded to the Subrecipeint. Procurement Effective June 20, 2018, the micro -purchase threshold was Thresholds increased from $3,500 to $10,000 and the simplified acquisition threshold was increased from $150,000 to $250,000. These increases apply to all Subrecipient procurements executed on or after June 20, 2018. Refer to IB 434 for additional information. Noncompetitive All noncompetitive procurements exceeding the simplified Procurements acquisition threshold require Cal OES prior written approval to be eligible for reimbursement. This method of procurement must be approved by the local Purchasing Agent prior to submitting a request for Cal OES approval. A copy of the Purchasing Agent's approval must be included with the Cal OES Request for Noncompetitive Procurement Authorization form. Cal OES may request additional documentation that supports the procurement effort. Environmental DHS/FEMA is required to ensure all activities and programs Planning and that are funded by the agency comply with federal Historic Environmental Planning and Historic Preservation (EHP) Preservation regulations. Subrecipients proposing projects or activities (including, but not limited to, training, exercises, the installation of equipment, and construction or renovation projects) that have the potential to impact the environment or a historic structure must participate in the EHP review process. EHP Screening Memos must include detailed project information, explain the goals and objectives of the proposed project, and include supporting documentation. DHS/FEMA may also require that the Subrecipient provide a confidential California Historical Resources Information System (CHRIS) report in addition to the EHP Screening Form. Determination on the necessity of a CHRIS report is based upon information disclosed on the EHP Screening Form. Program Representatives will provide additional instructions should this report be required. 23 City Council 36 — 292 8/20/2024 Section 6 — Post Award Requirements 1 2023 Environmental EHP requests should be submitted to Cal OES as early as Planning and possible. All projects/activities triggering EHP must receive Historic DHS/FEMA written approval prior to commencement of the Preservation funded activity. Cont. Updated information may be referenced in the FEMA GPD EHP Policy Guidance. Construction and When applying for construction activity at the time of Renovation application, including communications towers, Subrecipients must submit evidence of approved zoning ordinances, architectural plans, any other locally required planning permits, and a notice of federal interest. Additionally, Subrecipients are required to submit a SF-424C Budget and Budget Detail that cites the project costs. Communication tower construction requests also require evidence that the Federal Communications Commission's Section 106 review process has been completed. Subrecipients using funds for construction projects must comply with the Davis -Bacon Act. Subrecipients must ensure that their contractors or subcontractors for construction projects pay workers no less than the prevailing wages for laborers and mechanics employed on projects of a character like the contract work in the civil subdivision of the state in which the work is to be performed. Written approval for construction must be provided by DHS/FEMA prior to the use of any EMPG funds for construction or renovation. No construction activities (including site preparation, utility installations, and any groundbreaking activities) or equipment installations on existing structures, may begin until the EHP review process is complete. Inventory Control Subrecipients must use standardized resource management and Property concepts for resource typing and credentialing, in addition Management to maintaining an inventory by which to facilitate the effective identification, dispatch, deployment, tracking and recovery of resources. Subrecipients must have an effective inventory management system, to include: 24 City Council 36 — 293 8/20/2024 Section 6 — Post Award Requirements 1 2023 Inventory Control • Property records that document description, serial/ID and Property number, fund source, title information, acquisition date, Management cost, federal cost share, location, use, condition, and Cont. ultimate disposition; • A physical inventory conducted at least every two years; • A control system to prevent loss, damage, and theft of grant purchased equipment and supplies; and • Adequate maintenance procedures must be developed to keep the property in good condition. Equipment When original or replacement equipment acquired under Disposition the EMPG is no longer needed for program activities, the Subrecipient must contact their Program Representative to request disposition instructions. See 2 C.F.R. § 200.313(). Performance BSIR - Subrecipients must complete a BSIR each Winter and Reporting Summer using the DHS/FEMA Grants Reporting Tool (GRT) for the duration of the subaward period of performance or until all grant activities are completed and the subaward is formally closed by Cal OES. Failure to submit a BSIR could result in subaward reduction, suspension, or termination. Access to the BSIR may be obtained through the GRT. To create a new account, click the link that reads, "Register for an account" and follow the instructions provided. The Subrecipient will be required to ensure up-to-date project information is entered. The Project Ledger in the FMFW may assist with the BSIR data entry process. For additional assistance with the GRT, contact the appropriate Program Representative. Quarterly Performance Reports - Subrecipients must prepare and submit Performance Reports to the State for the duration of the subaward period of performance, or until all grant activities are completed and the subaward is formally closed by Cal OES. The quarterly reports must include the progress made on identified activities, as well as other required information. Failure to submit a quarterly Performance Report could result in subaward reduction, suspension, or termination. 25 City Council 36 - 294 8/20/2024 Section 6 — Post Award Requirements 1 2023 Performance In order to ensure that mandated performance metrics and Reporting Cont. other data required under the subaward is reported accurately, all EMPG Performance Reports must be submitted electronically, via email, to their Cal OES Program Representative for review and vetting. Electronic documents submitted for Cal OES review and vetting should be submitted as soon as possible, but no later than, seven calendar days before the identified due dates) associated with the Performance Report. Submission of the electronic copy is only to occur after their Cal OES Program Representative's review has concluded and the Subrecipient is directed by their Cal OES Program Representative to submit the signed electronic copy. Extension Extensions to the initial period of performance identified in Requests the subaward will only be considered through formal, written requests to the Subrecipient's Program Representative. Upon receipt of the extension request, Cal OES will: 1. Verify compliance with performance reporting requirements by confirming the Subrecipient has submitted all necessary performance reports; 2. Confirm the Subrecipient has provided sufficient justification for the request; and 3. If applicable, confirm the Subrecipient has demonstrated sufficient progress in past situations where an extension was authorized by Cal OES. Extension requests will be granted only due to compelling legal, policy, or operational challenges, must be project specific, and will only be considered for the following reasons: 1. Contractual commitments with vendors that prevent completion of the project within the period of performance; 2. The project must undergo a complex environmental review which cannot be completed within this timeframe; 3. Projects are long-term by design and therefore; acceleration would compromise core programmatic goals; and 4. Where other special circumstances exist. 26 City Council 36 — 295 8/20/2024 Section 6 — Post Award Requirements 1 2023 Extension To be considered, extension requests must be received no Requests Cont. later than 60 days prior to the end of the Subrecipient's period of performance and must contain specific and compelling justifications as to why an extension is required. All extension requests must address the following: 1. Grant program, fiscal year, and award number; 2. Reason for delay; 3. Current status of the activity/activities; 4. Approved period of performance termination date and new project completion date; 5. Amount of funds drawn down to date; 6. Remaining available funds, both federal and non-federal; 7. Budget outlining how remaining federal and non-federal funds will be expended; 8. Plan for completion, including milestones and timeframes for each milestone and the position/person responsible for implementing the plan for completion; and 9. Certification that the activity/activities will be completed within the extended period of performance without any modification to the original Statement of Work. General questions regarding extension requirements and the Extension Request form should be directed to your Program Representative. For additional information, please see 1_13 379. Extension requests for personnel and salaries do not meet the requirements of 1_B 37_9 and will not be granted. Subrecipients are expected to complete all grant -funded personnel activity by the end of the subaward period of performance. Indirect Cost project may not be extended. Progress Reports All Subrecipients that receive Cal OES approval to extend on Grant their FY 2023 grant subaward period of performance will be Extensions required to submit progress reports indicating completed and future project milestones on all extended projects. Progress reports must be submitted electronically to their Program Representative. Deadlines for the submission of progress reports will be established at the time of extension approval. 27 City Council 36 — 296 8/20/2024 Section 6 — Post Award Requirements 1 2023 Monitoring Cal OES Grants Monitoring actively monitors Subrecipients, through day-to-day communications, programmatic site visits, and desk and on -site compliance assessments. The purpose of the compliance assessment is to ensure Subrecipients are in compliance with applicable state and federal regulations, grant guidelines, and programmatic requirements. Monitoring activities may include, but are not limited to: • Verifying that entries recorded on the FMFW categories are properly supported with source documentation; • Eligibility of and support for expenditures, typically covering two to three years of data; • Comparing actual Subrecipient activities to those approved in the grant application and subsequent modifications, including the review of timesheets and invoices as applicable; • Procurements and contracts; • Ensuring equipment lists are properly maintained and physical inventories are conducted; • Ensuring advances have been disbursed in accordance with applicable guidelines; and • Confirming compliance with: o Standard Assurances, and o Information provided on performance reports and payment requests NOTE: It is the responsibility of all Subrecipients that pass down grant funds to other entities, to maintain and utilize a formal process to monitor the grant activities of their subawards. This requirement includes, but is not limited to, on -site verification of grant activities, as required. It is common for Subrecipients to receive findings in a programmatic site visit or compliance assessment, which require a Corrective Action Plan (CAP) to be submitted by Subrecipients. Those Subrecipients who fail to submit a CAP, as required, shall have a "hold" placed on any future reimbursements until the "finding"or an "advisory" is resolved. City Council 36 — 297 8/20/2024 Section 6 — Post Award Requirements 1 2023 Failure to Submit Periodic reporting is required by the grant. Subrecipients who Required Reports miss a single reporting due date may receive a letter addressed to their Board of Supervisors informing them of the failure to report. County OAs and tribes who fail to report twice in a row may have subsequent awards reduced by ten percent until timely reporting is reestablished. Suspension/ Cal OES may suspend or terminate grant funding, in whole or Termination in part, or other measures may be imposed for any of the following reasons: • Failure to submit required reports. • Failure to expend funds in a timely manner consistent with the grant milestones, guidance, and assurances. • Failure to comply with the requirements or statutory progress toward the goals or objectives of federal or state law. • Failure to make satisfactory progress toward the goals or objectives set forth in the Subrecipient application. • Failure to follow Grant Subaward requirements or Special Conditions. • Proposing or implementing substantial plan changes to the extent that, if originally submitted, the application would not have been selected for funding. • False certification in the application or other document. • Failure to adequately manage, monitor, or direct the grant funding activities of their Subrecipients. Before taking action, Cal OES will provide the Subrecipient reasonable notice of intent to impose corrective measures and will make every effort to informally resolve the problem. Closeout Cal OES will close-out Subrecipient awards when it determines all applicable administrative actions and all required work of the federal award have been completed. Subawards will be closed after: • Receiving any applicable Subrecipient Performance Report indicating all approved work has been completed, and all funds have been distributed; • All funds have been requested and reimbursed, or disencumbered; 29 City Council 36 — 298 8/20/2024 Section 6 — Post Award Requirements 1 2023 Closeout Cont. • Completing a review to confirm the accuracy of reported information; • Reconciling actual costs to subawards, modifications and payments; and • Verifying the Subrecipient has submitted a final BSIR showing all grant funds have been expended. Records The records retention period is three years from the date of Retention the Cal OES Grant Closeout Letter, or until any pending litigation, claim, or audit started before the expiration of the three-year retention period has been resolved and final action is taken. The Cal OES Grant Closeout Letter will notify the Subrecipient of the start of the records retention period for all programmatic and financial grant -related records. Documents related to equipment purchased must be retained for three years after it has been disposed, per 2 CFR 200.313. For indirect cost rate proposals, cost allocation plans, or other rate computation records, the start of the record retention period is dependent on whether the proposal, plan, or other computation is required to be submitted to the federal government (or to the pass -through entity) for negotiation purposes. See 2 C.F.R. § 200.334(f). In order for any cost to be allowable, it must be adequately documented per 2 C_F_R_ � 200.403(a). If the State Administrative Agency award remains open after the Subrecipient's submission of the final BSIR, Cal OES will complete any additional BSIR reporting required under the award on behalf of the Subrecipient. Closed grants may still be monitored and audited. Failure to maintain all grant records for the required retention period could result in a reduction of grant funds, and an invoice to return costs associated with the unsupported activities. If documents are retained longer than the required retention period, FEMA, the DHS Office of Inspector General, Government Accountability Office, and pass -through entity have the right to access these records as well. See Title 2 C.F.R � 200.334 and 200.33Z. 30 City Council 36 — 299 8/20/2024 Attachment A - FY 2023 EMPG Allocations 1 2023 Operational Area Total Award Operational Area Total Award ALAMEDA 451,950 PLACER 205,951 ALPINE 125,238 PLUMAS 128,749 AMADOR 132,975 RIVERSIDE 607,026 BUTTE 164,901 SACRAMENTO 437,035 CALAVERAS 133,916 SAN BENITO 137,959 COLUSA 129,316 SAN BERNARDINO 557,970 CONTRA COSTA 353,899 SAN DIEGO 775,605 DEL NORTE 130,387 SAN FRANCISCO 291,793 EL DORADO 162,695 SAN JOAQUIN 280,224 FRESNO 325,146 SAN LUIS OBISPO 180,559 GLENN 130,690 SAN MATEO 272,379 HUMBOLDT 151,752 SANTA BARBARA 213,105 IMPERIAL 160,491 SANTA CLARA 500,004 INYO 128,756 SANTA CRUZ 177,757 KERN 305,065 SHASTA 160,730 KINGS 155,088 SIERRA 125,639 LAKE 138,341 SISKIYOU 133,674 LASSEN 130,991 SOLANO 213,516 LOS ANGELES 2,076,678 SONOMA 220,474 MADERA 156,151 STANISLAUS 233,748 MARIN 175,890 SUTTER 144,622 MARIPOSA 128,374 TEHAMA 137,875 MENDOCINO 142,812 TRINITY 128,171 MERCED 181,275 TULARE 219,012 MODOC 126,719 TUOLUMNE 135,943 MONO 127,648 VENTURA 289,991 MONTEREY 210,839 YOLO 168,772 NAPA 151,952 YUBA 141,283 NEVADA 145,037 TRIBAL NATIONS 196,804 ORANGE 750,854 Total 15,202,196 City Council 36 - 300 8/20/2024 Attachment B - FY 2023 EMPG Timeline 1 2023 DHS Announcement of FY 2023 EMPG NOFO February 27, 2023 Cal OES Application due to DHS May 18, 2023 Subrecipient period of performance begins July 1, 2023 DHS/FEMA Award to California September, 2023 Integrated Preparedness Plan (IPP) due September 30, 2023 Notification of Subrecipient Award October, 2023 Subrecipient Workshops October 2023 FY 2023 California Supplement release October, 2023 Submission of the FY 2023 EMPG Performance Report for the period of 7/1/2023 - 9/30/2023 October 14, 2023 Subrecipient Final Applications due to Cal OES December 29, 2023 Submission of the FY 2023 EMPG Performance Report for the period of 7/1 /2023 - 12/31 /2023 January 14, 2024 Submission of the FY 2023 EMPG Performance Report for the period of 71112023 - 3/31 /2024 April 14, 2024 Submission of the FY 2023 EMPG Performance Report for the period of 7/1 /2023 - 6/30/2024 July 14, 2024 Submission of the FY 2023 EMPG Performance Report for the period of 7/1 /2023 - 9/30/2024 October 14, 2024 All FY 2023 EMPG EHP-related documents must be received by Program Representative December 31, 2024 Submission of the FY 2023 EMPG Performance Report for the period of 7/1 /2023 - 12/31/2024 January 14, 2025 Submission of the FY 2023 EMPG Performance Report for the period of 7/1 /2023 - 3/31 /2025 April 14, 2025 Subrecipient period of performance ends June 30, 2025 Submission of the FY 2023 EMPG Performance Report for the period of 7/1 /2023 - 6/30/2025 July 14, 2025 Final Request for Reimbursement due Within 20 calendar days of the subaward expiration date Cal OES's period of performance ends September 30, 2025 City Council 36 - 301 8/20/2024 Attachment C - FY 2023 EMPG Program Checklist 1 2023 Subrecipient: Program Representative: FIPS#: Financial Management Forms Workbook: Grant Subaward Face Sheet Authorized Agent and Contact Tab Project Ledger Tab Planning Tab Organization Tab Equipment Tab Training Tab Exercise Tab Management and Administration Tab Indirect Cost Tab Consultant -Contractor Tab Personnel Tab Match Tab Indirect Cost Rate Summary (If Applicable) Authorized Agent Sheet Required Documents: Counter -signed Award Letter EHP Screening Form (If Applicable) FFATA Financial Disclosure Certification Regarding Lobbying Governing Body Resolution Subrecipient Grants Management Assessment form 2023 EMPG Standard Assurances Indirect Cost Rate Agreement (If Applicable) City Council 36 — 302 8/20/2024 EXHIBIT D Cal OES GOVERNOR'S OFFICE OF EMERGENCY SERVICES Standard Assurances For Cal OES Federal Non -Disaster Grant Programs As the duly authorized representative of the Applicant, I hereby certify that the Applicant has the legal authority to apply for federal assistance and the institutional, managerial, and financial capability (including funds sufficient to pay any non-federal share of project cost) to ensure proper planning, management, and completion of the project described in this application, within prescribed timelines. The requirements outlined in these assurances apply to Applicant and any of its subrecipients. I further acknowledge that the Applicant is responsible for reviewing and adhering to all requirements within the: (a) Applicable Federal Regulations (see below); (b) Federal Program Notice of Funding Opportunity (NOFO); (c) Federal Preparedness Grants Manual; (d) California Supplement to the NOFO; and (e) Federal and State Grant Program Guidelines. Federal Regulations Government cost principles, uniform administrative requirements, and audit requirements for federal grant programs are set forth in Title 2, Part 200 of the Code of Federal Regulations (C.F.R.). Updates are issued by the Office of Management and Budget (OMB) and can be found at http://www.whitehouse.gov/omb/. In the event Cal OES determines that changes are necessary to the subaward after a subaward has been made, including changes to period of performance or terms and conditions, Applicants will be notified of the changes in writing. Once notification has been made, any subsequent request for funds will indicate Applicant acceptance of the changes to the subaward. State and federal grant award requirements are set forth below. The Applicant hereby agrees to comply with the following: 1. Proof of Authority The Applicant will obtain proof of authority from the city council, governing board, or authorized body in support of this project. This written authorization must specify that the Applicant and the city council, governing board, or authorized body agree: City Council 36 — 303 8/20/2024 Cal OES GOVERNOR'S OFFICE OF EMERGENCY SERVICES Standard Assurances For Cal OES Federal Non -Disaster Grant Programs (a) To provide all matching funds required for the grant project and that any cash match will be appropriated as required; (b) Any liability arising out of the performance of this agreement shall be the responsibility of the Applicant and the city council, governing board, or authorized body; (c) Grant funds shall not be used to supplant expenditures controlled by the city council, governing board, or authorized body; (d) The Applicant is authorized by the city council, governing board, or authorized body to apply for federal assistance, and the institutional, managerial and financial capability (including funds sufficient to pay the non-federal share of project cost, if any) to ensure proper planning, management and completion of the project described in this application; and (e) The official executing this agreement is authorized by the Applicant. This Proof of Authority must be maintained on file and readily available upon request. 2. Period of Performance The period of performance is specified in the Award. The Applicant is only authorized to perform allowable activities approved under the award, within the period of performance. 3. Lobbying and Political Activities As required by Section 1352, Title 31 of the United States Code (U.S.C.), for persons entering into a contract, grant, loan, or cooperative agreement from an agency or requests or receives from an agency a commitment providing for the United States to insure or guarantee a loan, the Applicant certifies that: (a) No federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of an agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any federal grant, the making of any federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any federal contract, grant, loan, or cooperative agreement. City Council 36 — 304 8/20/2024 Cal OES GOVERNOR'S OFFICE OF EMERGENCY SERVICES Standard Assurances For Cal OES Federal Non -Disaster Grant Programs (b) If any funds other than federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions. (c) The Applicant shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements) and that all subrecipients shall certify and discloseaccordingly. The Applicant will also comply with provisions of the Hatch Act (5 U.S.C. §§ 1501-1508 and §§ 7324-7328) which limit the political activities of employees whose principle employment activities are funded in whole or in part with federal funds. Finally, the Applicant agrees that federal funds will not be used, directly or indirectly, to support the enactment, repeal, modification or adoption of any law, regulation or policy without the express written approval from the California Governor's Office of Emergency Services (Cal OES) or the federal awarding agency. 4. Debarment and Suspension As required by Executive Orders 12549 and 12689, and 2 C.F.R. § 200.214 and codified in 2 C.F.R. Part 180, Debarment and Suspension, the Applicant will provide protection against waste, fraud, and abuse by debarring or suspending those persons deemed irresponsible in their dealings with the federal government. The Applicant certifies that it and its subrecipients: (a) Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from covered transactions by any federal department or agency; (b) Have not within a three-year period preceding this application been convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (federal, state, or local) transaction or contract under a public transaction; violation of federal or state antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property; City Council 36 — 305 8/20/2024 Cal OES GOVERNOR'S OFFICE OF EMERGENCY SERVICES Standard Assurances For Cal OES Federal Non -Disaster Grant Programs (c) Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity (federal, state, or local) with commission of any of the offenses enumerated in paragraph (4) (b) of this certification; and (d) Have not within a three-year period preceding this application had one or more public transaction (federal, state, or local) terminated for cause or default. Where the Applicant is unable to certify to any of the statements in this certification, he or she shall attach an explanation to this application. 5. Non -Discrimination and Equal Employment Opportunity The Applicant will comply with all state and federal statutes relating to non- discrimination, including: (a) Title VI of the Civil Rights Act of 1964 (Public Law (P.L.) 88-352 and 42 U.S.C. § 2000d et. seq.) which prohibits discrimination on the basis of race, color, or national origin and requires that recipients of federal financial assistance take reasonable steps to provide meaningful access to persons with limited English proficiency (LEP) to their programs and services; (b) Title IX of the Education Amendments of 1972, (20 U.S.C. §§ 1681-1683, and 1685-1686), which prohibits discrimination on the basis of sex in any federally funded educational program or activity; (c) Section 504 of the Rehabilitation Act of 1973, (29 U.S.C. § 794), which prohibits discrimination against those with disabilities or access and functional needs; (d) Americans with Disabilities Act (ADA) of 1990 (42 U.S.C. § 12101 et seq.), which prohibits discrimination on the basis of disability and requires buildings and structures be accessible to those with disabilities and access and functional needs; (e) Age Discrimination Act of 1975, (42 U.S.C. §§ 6101-6107), whichprohibits discrimination on the basis of age; (f) Public Health Service Act of 1912 (42 U.S.C. §§ 290 dd-2), relating to confidentiality of patient records regarding substance abuse treatment; (g) Title VIII of the Civil Rights Act of 1968 (42 U.S.C. § 3601 et seq.), relating to nondiscrimination in the sale, rental or financing of housing as implemented by the Department of Housing and Urban Development at 24 C.F.R. Part 100. The prohibition on disability discrimination includes the requirement that new multifamily housing with four or more dwelling units—i.e., the public and common use areas and individual apartment units (all units in buildings with elevators and ground -floor units in buildings without elevators) — City Council 36 - 306 8/20/2024 Cal OES GOVERNOR'S OFFICE OF EMERGENCY SERVICES Standard Assurances For Cal OES Federal Non -Disaster Grant Programs be designed and constructed with certain accessible features (See 24 C.F.R. § 100.201); (h) Executive Order 11246, which prohibits federal contractors and federally assisted construction contractors and subcontractors, who do over $10,000 in Government business in one year from discriminating in employmentdecisions on the basis of race, color, religion, sex, sexual orientation, gender identification or national origin; (i) Executive Order 11375, which bans discrimination on the basis of race, color, religion, sex, sexual orientation, gender identification, or national origin in hiring and employment in both the United States federal workforce and on the part of government contractors; (j) California Public Contract Code § 10295.3, which prohibits discrimination based on domestic partnerships and those in same sex marriages; (k) Department of Homeland Security (DHS) policy to ensure the equal treatment of faith -based organizations, under which the Applicant must comply with equal treatment policies and requirements contained in 6 C.F.R. Part 19; (1) The Applicant will comply with California's Fair Employment and Housing Act (FEHA) (California Government Code §§ 12940-12957), as applicable. FEHA prohibits harassment and discrimination in employment because of ancestry, familial status, race, color, religious creed (including religious dress and grooming practices), sex (which includes pregnancy, childbirth, breastfeeding and medical conditions related to pregnancy, childbirth or breastfeeding), gender, gender identity, gender expression, sexual orientation, marital status, national origin, ancestry, mental and physical disability, genetic information, medical condition, age, pregnancy, denial of medical and family care leave, or pregnancy disability leave, military and veteran status, and/or retaliation for protesting illegal discrimination related to one of these categories, or for reporting patient abuse in tax supported institutions; (m)Any other nondiscrimination provisions in the specific statute(s) under which application for federal assistance is being made; and (n) The requirements of any other nondiscrimination statute(s) that may apply to this application. 6. Drug -Free Workplace As required by the Drug -Free Workplace Act of 1988 (41 U.S.C. § 701 et seq.), the Applicant certifies that it will maintain a drug -free workplace and a drug -free awareness program as outlined in the Act. City Council 36 — 307 8/20/2024 Cal OES GOVERNOR'S OFFICE OF EMERGENCY SERVICES Standard Assurances For Cal OES Federal Non -Disaster Grant Programs 7. Environmental Standards The Applicant will comply with state and federal environmental standards, including: (a) California Environmental Quality Act (CEQA) (California Public Resources Code §§ 21000-21 177), to include coordination with the city or county planning agency; (b) CEQA Guidelines (California Code of Regulations, Title 14, Division 6, Chapter 3, § § 15000-15387) ; (c) Federal Clean Water Act (CWA) (33 U.S.C. § 1251 et seq.), which establishes the basic structure for regulating discharges of pollutants into the waters of the United States and regulating quality standards for surface waters; (d) Federal Clean Air Act of 1955 (42 U.S.C. § 7401) which regulates air emissions from stationary and mobile sources; (e) Institution of environmental quality control measures under the National Environmental Policy Act (NEPA) of 1969 (P.L. 91-190); the Council on Environmental Quality Regulations for Implementing the Procedural Provisions of NEPA; and Executive Order 12898 which focuses on the environmentaland human health effects of federal actions on minority and low-income populations with the goal of achieving environmental protection for all communities; (f) Evaluation of flood hazards in floodplains in accordance with Executive Order 11988; (g) Executive Order 11514 which sets forth national environmental standards; (h) Executive Order 11738 instituted to assure that each federal agency empowered to enter into contracts for the procurement of goods, materials, or services and each federal agency empowered to extend federal assistance by way of grant, loan, or contract shall undertake such procurement and assistance activities in a manner that will result in effective enforcement of the Clean Air Act and the Federal Water Pollution Control Act Executive Order 11990 which requires preservation of wetlands; (i) The Safe Drinking Water Act of 1974, (P.L. 93-523); (j) The Endangered Species Act of 1973, (P.L. 93-205); (k) Assurance of project consistency with the approved state management program developed under the Coastal Zone Management Act of 1972 (16 U.S.C. §§ 1451 et seq.); (1) Conformity of Federal Actions to State (Clear Air) Implementation Plans under Section 176(c) of the Clean Air Act of 1955, as amended (42 U.S.C. §§7401 et seq.); and City Council 36 — 308 8/20/2024 Cal OES GOVERNOR'S OFFICE OF EMERGENCY SERVICES Standard Assurances For Cal OES Federal Non -Disaster Grant Programs (m)Wild and Scenic Rivers Act of 1968 (16 U.S.C. § 1271 et seq.) related to protecting components or potential components of the national wild and scenic rivers system. The Applicant shall not be: (1) in violation of any order or resolution promulgated by the State Air Resources Board or an air pollution district; (2) subject to a cease -and - desist order pursuant to section 13301 of the California Water Code for violation of waste discharge requirements or discharge prohibitions; or (3) determined to be in violation of federal law relating to air or water pollution. 8. Audits For subrecipients expending $750,000 or more in federal grant funds annually, the Applicant will perform the required financial and compliance audits in accordance with the Single Audit Act Amendments of 1996 and 2 C.F.R., Part 200, Subpart F Audit Requirements. 9. Cooperation and Access to Records The Applicant must cooperate with any compliance reviews or investigations conducted by DHS. In accordance with 2 C.F.R. § 200.337, the Applicant will give the awarding agency, the Comptroller General of the United States and, if appropriate, the state, through any authorized representative, access to and the right to examine all records, books, papers, or documents related to the award. The Applicant will require any subrecipients, contractors, successors, transferees and assignees to acknowledge and agree to comply with this provision. 10. Conflict of Interest The Applicant will establish safeguards to prohibit the Applicant's employees from using their positions for a purpose that constitutes or presents the appearance of personal or organizational conflict of interest, or personal gain. 11. Financial Management False Claims for Payment - The Applicant will comply with 31 U.S.0 §§ 3729-3733 which provides that Applicant shall not submit a false claim for payment, reimbursement, or advance. 12. Reporting - Accountability The Applicant agrees to comply with applicable provisions of the Federal Funding Accountability and Transparency Act (FFATA) (P.L. 109-282), including but not limited to (a) the reporting of subawards obligating $30,000 or more in federal funds, City Council 36 — 309 8/20/2024 Cal OES GOVERNOR'S OFFICE OF EMERGENCY SERVICES Standard Assurances For Cal OES Federal Non -Disaster Grant Programs and (b) executive compensation data for first -tier subawards as set forth in 2 C.F.R. Part 170, Appendix A. The Applicant also agrees to comply with the requirements set forth in the government -wide financial assistance award term regarding the System for Award Management and Universal Identifier Requirements located at 2 C.F.R. Part 25, Appendix A. 13. Whistleblower Protections The Applicant must comply with statutory requirements for whistleblower protections at 10 U.S.C. § 2409, 41 U.S.C. § 4712, and 10 U.S.C. § 2324, 41 U.S.C. § 4304 and § 4310. 14. Human Trafficking The Applicant will comply with the requirements of Section 106(g) of the Trafficking Victims Protection Act of 2000, as amended (22 U.S.C. § 7104) which prohibits the Applicant or its subrecipients from: (1) engaging in trafficking in persons during the period of time that the award is in effect; (2) procuring a commercial sex act during the period of time that the award is in effect; or (3) using forced labor in the performance of the award or subawards under the award. 15. Labor Standards The Applicant will comply with the following federal labor standards: (a) The Davis -Bacon Act (40 U.S.C. §§ 276a to 276a-7), as applicable, and the Copeland Act (40 U.S.C. § 3145 and 18 U.S.C. § 874) and the Contract Work Hours and Safety Standards Act (40 U.S.C. §§ 327-333), regarding labor standards for federally -assisted construction contracts or subcontracts, and (b) The Federal Fair Labor Standards Act (29 U.S.C. § 201 et seq.) as they apply to employees of institutes of higher learning (IHE), hospitals and other non- profit organizations. 16. Worker's Compensation The Applicant must comply with provisions which require every employer to be insured to protect workers who may be injured on the job at all times during the performance of the work of this Agreement, as per the workers compensation laws set forth in California Labor Code §§ 3700 et seq. City Council 36 — 310 8/20/2024 Cal OES GOVERNOR'S OFFICE OF EMERGENCY SERVICES Standard Assurances For Cal OES Federal Non -Disaster Grant Programs 17. Property -Related If applicable to the type of project funded by this federal award, the Applicant will: (a) Comply with the requirements of Titles II and III of the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (P.L. 91-646) which provide for fair and equitable treatment of persons displaced or whose property is acquired as a result of federal or federally -assisted programs. These requirements apply to all interests in real property acquired for project purposes regardless of federal participation in purchase; (b) Comply with flood insurance purchase requirements of Section 102(a) of the Flood Disaster Protection Act of 1973 (P.L. 93-234) which requires federal award subrecipients in a special flood hazard area to participate in the program and to purchase flood insurance if the total cost of insurable construction and acquisition is $10,000 or more; (c) Assist the awarding agency in assuring compliance with Section 106 of the National Historic Preservation Act of 1966, as amended (16 U.S.C. § 470), Executive Order 11593 (identification and protection of historic properties), and the Archaeological and Historic Preservation Act of 1974 (16 U.S.C. § 469a-1 et seq.); and (d) Comply with the Lead -Based Paint Poisoning Prevention Act (42 U.S.C. § 4831 and 24 CFR Part 35) which prohibits the use of lead -based paint in construction or rehabilitation of residence structures. 18. Certifications Applicable Only to Federally -Funded Construction Projects For all construction projects, the Applicant will: (a) Not dispose of, modify the use of, or change the terms of the real property title or other interest in the site and facilities without permission and instructions from the awarding agency. Will record the federal awarding agency directives and will include a covenant in the title of real property acquired in whole or in part with federal assistance funds to assure nondiscrimination during the useful life of the project; (b) Comply with the requirements of the awarding agency with regard to the drafting, review and approval of construction plans and specifications;and (c) Provide and maintain competent and adequate engineering supervision at the construction site to ensure that the complete work conforms with the approved plans and specifications and will furnish progressive reports and such other information as may be required by the assistance awarding agency or State. City Council 36 — 311 8/20/2024 Cal OES GOVERNOR'S OFFICE OF EMERGENCY SERVICES Standard Assurances For Cal OES Federal Non -Disaster Grant Programs 19. use of Cellular Device while Driving is Prohibited The Applicant is required to comply with California Vehicle Code sections 23123 and 23123.5. These laws prohibit driving motor vehicle while using an electronic wireless communications device to write, send, or read a text -based communication. Drivers are also prohibited from the use of a wireless telephone without hands -free listening and talking, unless to make an emergency call to 911, law enforcement, or similar services. 20. California Public Records Act and Freedom of Information Act The Applicant acknowledges that all information submitted in the course of applying for funding under this program, or provided in the course of an entity's grant management activities that are under federal control, is subject to the Freedom of Information Act (FOIA), 5 U.S.C. § 552, and the California Public Records Act, California Government Code §7920.000 et seq. The Applicant should consider these laws and consult its own State and local laws and regulations regarding the release of information when reporting sensitive matters in the grant application, needs assessment, and strategic planning process. EMERGENCY MANAGEMENT PERFORMANCE GRANT PROGRAM (EMPG) - PROGRAM SPECIFIC ASSURANCES / CERTIFICATIONS 21. Acknowledgment of Federal Funding from DHS The Applicant must acknowledge its use of federal funding when issuing statements, press releases, requests for proposals, bid invitations, and other documents describing projects or programs funded in whole or in part with federal funds. 22. Activities Conducted Abroad The Applicant must ensure that project activities carried on outside the United States are coordinated as necessary with appropriate government authorities and that appropriate licenses, permits, or approvals are obtained. 23. Best Practices for Collection and use of Personally Identifiable Information (PII) DHS defines personally identifiable information (PII) as any information that permits the identity of an individual to be directly or indirectly inferred, including any information that is linked or linkable to that individual. If the Applicant collectsPll, the Applicant is required to have a publicly -available privacy policy that describes standards on the usage and maintenance of PH they collect. The Applicant may refer to the DHS Privacy Impact Assessments: Privacy Guidance and Privacy template as a useful resource. Page 19pf is !194iaI5 City Council 36 - 312 8/20/2024 *' Cal OES GOVERNOR'S OFFICE OF EMERGENCY SERVICES Standard Assurances For Cal OES Federal Non -Disaster Grant Programs 24. Copyright The Applicant must affix the applicable copyright notices of 17 U.S.C. §§ 401 or 402 and an acknowledgement of United States Government sponsorship (including the award number) to any work first produced under federal financial assistance awards. 25. Duplication of Benefits Any cost allocable to a particular federal financial assistance award provided for in 2 C.F.R. Part 200, Subpart E may not be charged to other federal financial assistance awards to overcome fund deficiencies, to avoid restrictions imposed by federal statutes, regulations, or federal financial assistance award terms and conditions, or for other reasons. However, these prohibitions would not preclude the Applicant from shifting costs that are allowable under two or more awards in accordance with existing federal statutes, regulations, or the federal financial assistance award terms and conditions. 26. Energy Policy and Conservation Act The Applicant must comply with the requirements of 42 U.S.C. § 6201 which contain policies relating to energy efficiency that are defined in the state energy conservation plan issued in compliance with this Act. 27. Federal Debt Status The Applicant is required to be non -delinquent in its repayment of any federal debt. Examples of relevant debt include delinquent payroll and other taxes, audit disallowances, and benefit overpayments. See OMB Circular A-129. 28. Fly America Act of 1974 The Applicant must comply with Preference for United States Flag Air Carriers: (air carriers holding certificates under 49 U.S.C. § 41 102) for international air transportation of people and property to the extent that such service is available, in accordance with the International Air Transportation Fair Competitive Practices Act of 1974 (49 U.S.C. § 401 18) and the interpretative guidelines issued by the Comptroller General of the United States in the March 31, 1981, amendment to Comptroller General Decision B-138942. 29. Hotel and Motel Fire Safety Act of 1990 In accordance with Section 6 of the Hotel and Motel Fire Safety Act of 1990, the Applicant must ensure that all conference, meeting, convention, or training space funded in whole or in part with federal funds complies with the fire prevention and control guidelines of the Federal Fire Prevention and Control Act of 1974, as amended, 15 U.S.C. § 2225a. City Council 36 — 313 8/20/2024 Cal OES GOVERNOR'S OFFICE OF EMERGENCY SERVICES Standard Assurances For Cal OES Federal Non -Disaster Grant Programs 30. Non -supplanting Requirement If the Applicant receives federal financial assistance awards made under programs that prohibit supplanting by law, the Applicant must ensure that federal funds do not replace (supplant) funds that have been budgeted for the same purpose through non- federal sources. 31. Patents and Intellectual Property Rights Unless otherwise provided by law, the Applicant is subject to the Bayh-Dole Act, Pub. L. No. 96-517, as amended, and codified in 35 U.S.C. § 200 et seq. The Applicant is subject to the specific requirements governing the development, reporting, and disposition of rights to inventions and patents resulting from financial assistance awards located at 37 C.F.R. Part 401 and the standard patent rights clause located at 37 C.F.R. § 401.14. 32. SAFECOM If the Applicant receives federal financial assistance awards made under programs that provide emergency communication equipment and its related activities, the Applicant must comply with the SAFECOM Guidance for Emergency Communication Grants, including provisions on technical standards that ensure and enhance interoperable communications. 33. Terrorist Financing The Applicant must comply with Executive Order 13224 and United States law that prohibit transactions with, and the provisions of resources and support to, individuals and organizations associated with terrorism. The Applicant is legally responsible for ensuring compliance with the Order and laws. 34. Reporting of Matters Related to Recipient Integrity andPerformance If the total value of the Applicant's currently active grants, cooperative agreements, and procurement contracts from all federal assistance offices exceeds $10,000,000 for any period of time during the period of performance of this federal financial assistance award, the Applicant must comply with the requirements set forth in the government -wide Award Term and Condition for Recipient Integrity and Performance Matters located at 2 C.F.R. Part 200, Appendix XII, the full text of which is incorporated here by reference in the award terms and conditions. City Council 36 — 314 8/20/2024 Cal OES GOVERNOR'S OFFICE OF EMERGENCY SERVICES Standard Assurances For Cal OES Federal Non -Disaster Grant Programs 35. USA Patriot Act of 2001 The Applicant must comply with requirements of the Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism Act (USA PATRIOT Act), which amends 18 U.S.C. §§ 175-175c. 36. use of DHS Seal, Logo, and Flags The Applicant must obtain permission from their DHS Financial Assistance Office, prior to using the DHS seal(s), logos, crests or reproductions of flags or likenesses of DHS agency officials, including use of the United States Coast Guard seal, logo, crests or reproductions of flags or likenesses of Coast Guard officials. 37. Applicability of DHS Standard Terms and Conditions to Tribes The DHS Standard Terms and Conditions are a restatement of general requirements imposed upon the Applicant and flow down to any of its subrecipients as a matter of law, regulation, or executive order. If the requirement does not apply to Indian tribes or there is a federal law or regulation exempting its application to Indian tribes, then the acceptance by Tribes of, or acquiescence to, DHS Standard Terms and Conditions does not change or alter its inapplicability to an Indian tribe. The execution of grant documents is not intended to change, alter, amend, or impose additional liability or responsibility upon the Tribe where it does not already exist. 38. Required use of American Iron, Steel, Manufactured Products, and Construction Materials The Applicant must comply with the "Build America, Buy America" Act (BABAA), enacted as part of the Infrastructure Investment and Jobs Act and Executive Order 14005. Applicants receiving a federal award subject to BABAA requirements may not use federal financial assistance funds for infrastructure projects unless: (a) All iron and steel used in the project are produced in the United States - this means all manufacturing processes, from the initial melting stage through the application of coatings, occurred in the United States; (b) All manufactured products used in the project are produced in the United States - this means the manufactured product was manufactured in the United States; and the cost of the components of the manufactured product that are mined, produced, or manufactured in the United States is greater than 55 percent of the total cost of all components of the manufactured product, unless another standard for determining the minimum amount of domestic content of the manufactured product has been established under applicable law or regulation; and City Council 36 - 315 8/20/2024 Cal OES GOVERNOR'S OFFICE OF EMERGENCY SERVICES Standard Assurances For Cal OES Federal Non -Disaster Grant Programs (c) All construction materials are manufactured in the United States - this means that all manufacturing processes for the construction material occurred in the United States. The "Buy America" preference only applies to articles, materials, and supplies that are consumed in, incorporated into, or affixed to an infrastructure project. It does not apply to tools, equipment, and supplies, such as temporary scaffolding, brought to the construction site and removed at or before the completion of the infrastructure project. Nor does a "Buy America" preference apply to equipment and furnishings, such as movable chairs, desks, and portable computer equipment, that are used at or within the finished infrastructure project but are not an integral part of the structure or permanently affixed to the infrastructure project. Per section 70914(c) of BABAA, FEMA may waive the application of a "Buy America" preference under an infrastructure program in certain cases. 39. Advancing Effective, Accountable Policing and Criminal Justice Practice to Enhance Public Trust and Public Safety The Applicant must comply with the requirements of section 12(c) of Executive Order 14074. The Applicant is also encouraged to adopt and enforce policies consistent with Executive Order 14074 to support safe and effective policing. City Council 36 - 316 8/20/2024 Cal OES GOVERNOR'S OFFICE OF EMERGENCY SERVICES Standard Assurances For Cal OES Federal Non -Disaster Grant Programs IMPORTANT The purpose of these assurances is to obtain federal and state financial assistance, including any and all federal and state grants, loans, reimbursement, contracts, etc. Applicant recognizes and agrees that state financial assistance will be extended based on the representations made in these assurances. These assurances are binding on Applicant, its successors, transferees, assignees, etc. as well as any of its subrecipients. Failure to comply with any of the above assurances may result in suspension, termination, or reduction of grant funds. All appropriate documentation, as outlined above, must be maintained on file by the Applicant and available for Cal OES or public scrutiny upon request. Failure to comply with these requirements may result in suspension of payments under the grant or termination of the grant or both and the Applicant may be ineligible for award of any future grants if Cal OES determines that the Applicant: (1) has made false certification, or (2) violates the certification by failing to carry out the requirements as noted above. All of the language contained within this document must be included in the award documents for all subawards at all tiers. Applicants are bound by DHS Security Standard Terms and Conditions 2023, Version 2, hereby incorporated by reference, which can be found at: https://www.dhs.gov/publication/fyl5-dhs- standard -terms -and -conditions. The undersigned represents that he/she is authorized to enter into this agreement for and on behalf of the Applicant. Applicant: Signature of Authorized Agent: Printed Name of Authorized Agent: Title: Date: City Council 36 — 317 8/20/2024 Planning and Building Agency www.santa-ana.org/planning-division Item # 37 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report August 20, 2024 TOPIC: Zoning Ordinance Amendment No. 2024-01 for South Coast Technology Center at 3100, 3110, 3120, 3130, and 3400 West Lake Center Drive (collectively referred to as 3100 W. Lake Center Drive) AGENDA TITLE Zoning Ordinance Amendment No. 2024-01 for South Coast Technology Center at 3100, 3110, 3120, 3130, and 3400 West Lake Center Drive (collectively referred to as 3100 W. Lake Center Drive) (Second Reading) Legal notice published in the OC Reporter on August 9, 2024. RECOMMENDED ACTION 1. Conduct a second reading and adopt an ordinance approving Zoning Ordinance Amendment (ZOA) No. 2024-01. ORDINANCE NO. NS-3068 entitled ZONING ORDINANCE AMENDMENT NO. 2024- 01 - AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING SPECIFIC DEVELOPMENT NO. 58 (SD-58) TO ESTABLISH PERMITTED AND CONDITIONALLY PERMITTED LIGHT INDUSTRIAL LAND USES, ESTABLISH DEVELOPMENT STANDARDS FOR THE NEW PROPOSED USES, AND TO INCLUDE ADDITIONAL COMPREHENSIVE/ZONING TEXT EDITS AND UPDATES, TO FACILITATE THE CONSTRUCTION OF A NEW INDUSTRIAL PARK DEVELOPMENT NAMED THE SOUTH COAST TECHNOLOGY CENTER LOCATED AT 3100, 3110, 3120, 3130, AND 3400 WEST LAKE CENTER DRIVE (APNS: 414-272- 09, 414-272-10, AND 414-261-01) 2. Determine that, pursuant to the California Environmental Quality Act (CEQA), the project is exempt from CEQA pursuant to Section 15183 of the CEQA Guidelines (Projects Consistent with a Community Plan or Zoning). Environmental Review No. 2023-109 will be re -filed for this project. GOVERNMENT CODE 484308 APPLIES: Yes City Council 37 — 1 8/20/2024 ZOA No. 2024-01 for South Coast Technology Center at 3100 West Lake Center Drive August 20, 2024 Page 2 DISCUSSION At its August 6, 2024 regular meeting, the City Council held a public hearing and considered the staff report, recommendations by staff, and public testimony concerning the ordinance for the project located at 3100, 3110, 3120, 3130, and 3400 West Lake Center Drive (collectively referred to as 3100 W. Lake Center Drive). The City Council unanimously approved the first reading of ZOA No. 2024-01 as presented by staff. ENVIRONMENTAL IMPACT Pursuant to the California Environmental Quality Act (CEQA) and the CEQA Guidelines, the project is exempt from further review per Section 15183 (Projects Consistent with a Community Plan, General Plan, or Zoning) of the CEQA Guidelines. The environmental review contained in Exhibit 6 of the original staff report has been prepared and peer reviewed by a qualified CEQA consultant hired by the City, to assess the potential for the proposed project to result in environmental effects and whether the proposed project qualifies for an exemption under Section 15183 of the CEQA Guidelines. Moreover, the analysis evaluated whether the potential environmental impacts are addressed in the City of Santa Ana General Plan Update Final Recirculated Program Environmental Impact Report (GPU EIR). Specifically, the analysis evaluates demolition of the three existing office buildings, a parking structure, and parking lots to construct three new Class A industrial buildings for office, manufacturing, and/or warehouse use, ancillary improvements including landscaping, parking, freestanding signage, site lighting, and fencing as well as proposed off -site improvements including replacing asphalt, new grind and overlay, relocating the tree wells from the sidewalk to back of sidewalk, and modifications to sidewalks as needed to ensure ADA compliance. CEQA Guidelines Section 15183 allows a streamlined environmental review process for projects that are consistent with the densities established by existing zoning, community plan, or general plan policies for which an environmental impact report (EIR) was certified and does not require additional environmental review, except as might be necessary to examine whether there are project -specific significant effects which are peculiar to the project or its site. Moreover, projects that are consistent with the densities and use characteristics considered by the GPU EIR may qualify for the CEQA Guidelines Section 15183 Exemption process. Specifically, as set forth in CEQA Guidelines Section 15183(d), the 15183 exemption applies to projects which meet the following conditions: The project is consistent with: A. A community plan adopted as part of a general plan, B. A zoning action which zoned or designated the parcel on which the project would be located to accommodate a particular density of development, or City Council 37 — 2 8/20/2024 ZOA No. 2024-01 for South Coast Technology Center at 3100 West Lake Center Drive August 20, 2024 Page 3 C. A general plan of a local agency, and 2. An EIR was certified by the lead agency for the zoning action, the community plan, or the general plan. The GPU was adopted, and the GPU EIR certified, in April 2022 (State Clearinghouse Number 2020029087); the GPU went into effect on May 26, 2022. Any decision by the City affecting land use and development must be consistent with the GPU. The GPU EIR evaluates the potential environmental effects associated with implementation of the GPU and addresses appropriate and feasible mitigation measures that would minimize or eliminate these impacts. Pursuant to Section 15183(i)(2) of the CEQA Guidelines, a project is consistent with the GPU if the development density does not exceed what was contemplated and analyzed for the parcel(s) in the certified GPU EIR and complies with the associated standards applicable to that development density. Development density standards can include the number of dwelling units per acre, the number of people in a given area, floor area ratio (FAR), and other measures of building intensity, building height, size limitations, and use restrictions. The prepared environmental review provides a limited examination of environmental effects for the proposed project, evaluating whether there are impacts that are peculiar to the project or the project site, impacts not analyzed as significant effects in the GPU EIR, potentially significant off -site or cumulative impacts not evaluated in the GPU EIR, or previously identified significant effects that are determined to have a more severe adverse impact than discussed in the GPU EIR. Moreover, the review analyzed impacts to aesthetics, agricultural and forestry resources, air quality, biological resources, cultural resources, energy consumption, site geology and soils, greenhouse gas emissions, hazards and hazardous materials, hydrology and water quality, land use and planning, mineral resources, noise, population and housing, public services, recreation, transportation, tribal cultural resources, utilities and service systems, and wildfire risk. Additionally, the review outlines implementation of applicable regulatory requirements and mitigation measures detailed in GPU EIR, related to the above -listed topics analyzed in the environmental review. The environmental review concluded that the proposed project is consistent with buildout of the General Plan Update. Upon implementation of regulatory requirements and mitigation measures related to air quality, cultural resources, geology and soils, and noise, the proposed project would not have any specific effects, which are peculiar to the project or the project site. Moreover, there are no project specific impacts or potentially significant off -site or cumulative impacts that the GPU PEIR did not analyze, and there are no new significant or substantially more severe impacts to aesthetics, agricultural and forestry resources, air quality, biological resources, cultural resources, energy consumption, site geology and soils, greenhouse gas emissions, hazards and hazardous materials, hydrology and water quality, land use and planning, mineral resources, noise, population and housing, public services, recreation, transportation, City Council 37 — 3 8/20/2024 ZOA No. 2024-01 for South Coast Technology Center at 3100 West Lake Center Drive August 20, 2024 Page 4 tribal cultural resources, utilities and service systems, and wildfire risk, than anticipated by the GPU PEIR. Based on this analysis, a Notice of Exemption, Environmental Review No. 2023-109 will be filed for this project. ECONOMIC AND FISCAL IMPACTS The proposed development associated with the amendment request is anticipated to generate a total of 687 permanent jobs (425 on -site and 262 off -site) and 555 one-time jobs associated with its construction. Additionally, the project would deliver a substantial positive impact to the City's economy with the production of goods and services increasing by $256.1 million annually, as calculated and presented by City of Sana Ana consultant DTA (formerly known as David Taussig and Associates) in the Fiscal and Economic Benefit Analysis contained in Exhibit 2 (August 6, 2024 City Council Staff Report). This growth in jobs and economic output would have a positive impact on the City, as it would expand its economic base, thereby providing a strong foundation for the City's continued economic growth and fiscal health. Additionally, the associated redevelopment with the amendment request is anticipated to generate a sizable annual recurring incremental fiscal surplus at build -out of $257,736 based on the generation of $460,412 in annual recurring revenues including property taxes, sales tax, licenses and permit, service fees, and other applicable local taxes and $202,676 in recurring annual costs that include Police, Fire, Public Works, Parks and Recreation, Community Development Department services, Library, Museum, and general government services, as calculated and presented by City of Sana Ana consultant DTA in the Fiscal and Economic Benefit Analysis contained in Exhibit 2 (August 6, 2024 City Council Staff Report). The annual revenues generated are projected to equal 2.27 times the associated City General Fund costs thus generating a positive net fiscal impact. EXHIBIT(S) 1. Zoning Ordinance Amendment Ordinance 2. August 6, 2024 City Council Meeting Link Submitted By: Minh Thai, Executive Director, Planning and Building Agency Approved By: Alvaro Nunez, City Manager City Council 37 — 4 8/20/2024 ORDINANCE NO. NS-XXXX ZONING ORDINANCE AMENDMENT NO. 2024-01 — AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING SPECIFIC DEVELOPMENT NO. 58 (SD-58) TO ESTABLISH PERMITTED AND CONDITIONALLY PERMITTED LIGHT INDUSTRIAL LAND USES, ESTABLISH DEVELOPMENT STANDARDS FOR THE NEW PROPOSED USES, AND TO INCLUDE ADDITIONAL COMPREHENSIVE/ZONING TEXT EDITS AND UPDATES, TO FACILITATE THE CONSTRUCTION OF A NEW INDUSTRIAL PARK DEVELOPMENT NAMED THE SOUTH COAST TECHNOLOGY CENTER LOCATED AT 3100, 3110, 3120, 3130, AND 3400 WEST LAKE CENTER DRIVE (APNS: 414-272-09, 414-272-10, AND 414-261-01) THE CITY COUNCIL OF THE CITY OF SANTA ANA HEREBY ORDAINS AS FOLLOWS: Section 1. The City Council of the City of Santa Ana hereby finds, determines, and declares as follows: A. C.J. Segerstrom and Sons ("Applicant" and "Property Owner"), is requesting approval of Zoning Ordinance Amendment ("ZOA") No. 2024-01 amending Specific Development No. 58 ("SD-58") in order to facilitate the construction of a new industrial park development named the South Coast Technology Center located at 3100, 3110, 3120, 3130, and 3400 West Lake Center Drive (collectively referred to as 3100 W. Lake Center Drive). The proposed amendments to SD-58 would establish permitted and conditionally permitted light industrial land uses, and would include text amendments to various sections of SD-58, including development standards for signage, height, perimeter fencing, off-street parking, and landscaping, as well as project phasing, operational standards and development standards for the new light industrial uses proposed. B. On October 15, 1990, the City of Santa Ana City Council adopted Ordinance No. NS-2089, approving General Plan Amendment No. 90-08, Amendment Application No. 1043, and Development Agreement No. 1990-03, and certifying an Environmental Impact Report. These approvals rezoned certain properties from the Light Industrial (M-1) zoning district to Specific Development (SD), established the SD-58 zoning district, and permitted the development of an office/industrial park ("Lake Center Business Park"). C. On July 18, 2005, the City of Santa Ana City Council adopted Ordinance No. NS-2684, approving ZOA No. 2005-01), which amended SD-58 and modified the standards to conditionally permit private recreational fields and trade schools, within the boundaries of the Lake Center Business Park. At the same public hearing, the City Council adopted Resolution No. 2005-046 City Council 37 — 5 Ordinance f81,t 0C 2 WXX Page 1 of 22 approving various entitlements to facilitate a trade school use and to allow a private recreational field at 3100 W. MacArthur Boulevard. D. The Lake Center Business Park was constructed in the mid- to late-1980s, generally in compliance with the original development plans approved by Ordinance No. NS-2089. However, the business park includes a vacant parcel, approximately 5.58-acres in size, located at the southwest corner of Lake Center Drive and Susan Street (APN: 414-261-01), originally entitled for 320,000 square feet of additional office construction, but which was never constructed. E. Due to the surrounding area not materially upgrading to the original vision of SD-58, the surrounding area remains largely industrial in nature, which has made it challenging for the Property Owners to attract office tenants. Moreover, following the COVID-19 (coronavirus disease 2019) pandemic, shifting market trends have resulted in a decline in demand to lease traditional office spaces. Therefore, the property owner seeks the redevelopment of 3100 W. Lake Center Drive, which may include a variety of uses, such as corporate offices, Research and Development (R&D), light manufacturing, and warehousing, among other industrial uses. F. The proposed amendments to the SD-58 support and are consistent with multiple General Plan goals and policies relating to the elements of Land Use, Urban Design, and Economic Prosperity. Attachment 1 to this Ordinance contains a full list of all applicable General Plan goals and policies that support the project. G. Pursuant to Santa Ana Municipal Code ("SAMC") Section 2-153, the applicant has demonstrated compliance with all requirements of the Sunshine Ordinance, including public notification and hosting of required community meetings. Materials resulting from the meetings were subsequently posted to the City's webpage for the project. H. On July 8, 2024, the Planning Commission held a duly -noticed public hearing and voted to recommend that the City Council adopt an ordinance approving Zoning Ordinance Amendment No. 2024-01. On, August 6, 2024 the City Council held a duly -noticed public hearing to consider this Ordinance, where all interested persons were given an opportunity to be heard. J. For the reasons contained herein, and each of them, Zoning Ordinance Amendment No. 2024-01 is hereby found and determined to be consistent with the intent and purpose of Chapter 41 of the SAMC; thus, changing the zoning district is found to be consistent with the General Plan of the City of Santa Ana and otherwise justified by the public necessity, convenience, and general welfare. City Council 37 — 6 Ordinance 181=01 2 WXX Page 2 of 22 Section 2. The recitals above are each incorporated by reference and adopted as findings by the City Council. Section 3. The City Council finds and determines that pursuant to the California Environmental Quality Act (CEQA) and the CEQA Guidelines, the project is exempt from further review per Section 15183 (Projects Consistent with a Community Plan, General Plan, or Zoning) of the CEQA Guidelines. The environmental review that has been prepared and peer reviewed by a qualified CEQA consultant hired by the City included in the Planning Commission Staff Report for July 8, 2024, assesses the potential for the proposed project to result in environmental effects and whether the proposed project qualifies for an exemption under Section 15183 of the CEQA Guidelines. Moreover, the analysis evaluated whether the potential environmental impacts are addressed in the City of Santa Ana General Plan Update Final Recirculated Program Environmental Impact Report ("GPU EIR"). Specifically, the analysis evaluates demolition of the three existing office buildings, a parking structure, and parking lots to construct three new Class A industrial buildings for office, manufacturing, and/or warehouse use, ancillary improvements including landscaping, parking, freestanding signage, site lighting, and fencing as well as proposed off -site improvements including replacing asphalt, new grind and overlay, relocating the tree wells from the sidewalk to back of sidewalk, and modifications to sidewalks as needed to ensure ADA compliance. CEQA Guidelines Section 15183 allows a streamlined environmental review process for projects that are consistent with the densities established by existing zoning, community plan, or general plan policies for which an environmental impact report (EIR) was certified and does not require additional environmental review, except as might be necessary to examine whether there are project -specific significant effects which are peculiar to the project or its site. Moreover, projects that are consistent with the densities and use characteristics considered by the GPU EIR may qualify for the CEQA Guidelines Section 15183 Exemption process. Specifically, as set forth in CEQA Guidelines Section 15183(d), the 15183 exemption applies to projects which meet the following conditions: The project is consistent with: A. A community plan adopted as part of a general plan, B. A zoning action which zoned or designated the parcel on which the project would be located to accommodate a particular density of development, or C. A general plan of a local agency, and 2. An EIR was certified by the lead agency for the zoning action, the community plan, or the general plan. The GPU was adopted, and the GPU EIR certified, in April 2022 (State Clearinghouse Number 2020029087); the GPU went into effect on May 26, 2022. Any decision by the City affecting land use and development must be consistent with the GPU. The GPU EIR evaluates the potential environmental effects associated with implementation of the GPU and addresses appropriate and feasible mitigation measures City Council 37 — 7 Ordinance f81,tQ 0l 2WXX Page 3 of 22 that would minimize or eliminate these impacts. Pursuant to Section 15183(i)(2) of the CEQA Guidelines, a project is consistent with the GPU if the development density does not exceed what was contemplated and analyzed for the parcel(s) in the certified GPU EIR and complies with the associated standards applicable to that development density. Development density standards can include the number of dwelling units per acre, the number of people in a given area, floor area ratio (FAR), and other measures of building intensity, building height, size limitations, and use restrictions. The prepared environmental review provides a limited examination of environmental effects for the proposed project, evaluating whether there are impacts that are peculiar to the project or the project site, impacts not analyzed as significant effects in the GPU EIR, potentially significant off -site or cumulative impacts not evaluated in the GPU EIR, or previously identified significant effects that are determined to have a more severe adverse impact than discussed in the GPU EIR. Moreover, the review analyzed impacts to aesthetics, agricultural and forestry resources, air quality, biological resources, cultural resources, energy consumption, site geology and soils, greenhouse gas emissions, hazards and hazardous materials, hydrology and water quality, land use and planning, mineral resources, noise, population and housing, public services, recreation, transportation, tribal cultural resources, utilities and service systems, and wildfire risk. Additionally, the review outlines implementation of applicable regulatory requirements and mitigation measures detailed in GPU EIR, related to the above -listed topics analyzed in the environmental review. The environmental review concluded that the proposed project is consistent with buildout of the General Plan Update. Upon implementation of regulatory requirements and mitigation measures contained in the GPU related to air quality, cultural resources, geology and soils, and noise the proposed project would not have any specific effects, which are peculiar to the project or the project site. Moreover, there are no project specific impacts or potentially significant off -site or cumulative impacts that the GPU PEIR did not analyze, and there are no new significant or substantially more severe impacts to aesthetics, agricultural and forestry resources, air quality, biological resources, cultural resources, energy consumption, site geology and soils, greenhouse gas emissions, hazards and hazardous materials, hydrology and water quality, land use and planning, mineral resources, noise, population and housing, public services, recreation, transportation, tribal cultural resources, utilities and service systems, and wildfire risk, than anticipated by the GPU PEIR. Based on this analysis, a Notice of Exemption, Environmental Review No. 2023-109 will be filed for this project. Section 4. The Specific Development No. 58 (SD-58) is hereby amended to read as follows: SPECIFIC DEVELOPMENT PLAN NO. 58 Section 1 - Applicability of Ordinance The specific development zoning district for the subject property, as authorized by Chapter 41, Division 26 Section 41593 et seq., of the Santa Ana Municipal Code (SAMC), is specifically subject to the standards and regulations contained in this plan for the express purpose of establishing land use City Council 37 — 8 Ordinance 18,f QLf 2 CXX Page 4 of 22 regulations and standards. All other applicable chapters, articles, and sections of the SAMC are in full effect unless expressly superseded by regulations contained within this specific development. Section 2 - Purpose The Specific Development Plan Number 58 (SD-58) consisting of standards and regulations, is hereby established for the express purpose of protecting the health, safety, and general welfare of the people of the City by promoting and enhancing the value of properties and encouraging orderly development. Specific Development Plan SD-58 sets forth the development and design criteria for a development consisting of approximately 33 acres. The purpose of this Specific Development Plan is to permit flexibility in site planning and design in response to market conditions while assuring high quality development Specific Development Plan Number SD-58 specifically establishes for the property the following: • The permitted uses; • Maximum authorized development densities; • Signage provisions; and • Development standards for authorized uses, including building height limits, required setbacks, parking requirements, landscaping provisions and enforcement policies. Objectives The objectives of the Specific Development Plan SD-58 include the provision of the following: 1. Landscaping that is appropriate to the level of development and sensitive to the surrounding community; 2. A visually harmonious development as viewed both internally and externally; 3. A circulation system that is responsive to the needs of both vehicular and pedestrian travel, particularly pedestrian safety across major arterials serving the subject site; 4. Development that is exclusive of heavy industrial or noxious fumes except as permitted by the SAMC; 5. Flexibility in development in response to market conditions while achieving overall City and community goals; 6. Creation of new employment opportunities; City Council 37 — 9 Ordinance IRdU00}2WXX Page 5 of 22 7. Permitting certain uses consistent with the underlying General Plan Industrial land use designation within portions of the development; 8. Develop the site to enhance its economic viability, creating a range of employment opportunities and increasing municipal revenue, which contributes to the economic health of the City and the region; 9. Signage that visually enhances the development and is harmonious with the adjacent environs. Section 3 - Uses Permitted Professional and Business Offices 1. General offices providing personal and professional services including, without limit, employment agencies, medical insurance, real estate, travel, trade contractors, architects, engineers, finance, research and development, wherein high technology office use is coupled with minor assembly, research and/or warehousing and shipping, and other similar uses. Commercial/Retail Uses 1. Commercial/retail uses including, but not limited to: service commercial uses such as banks and other financial institutions, delicatessens, food stores, newsstands, automobile support facilities providing services only within the parking structures such as auto detailing, health and exercise centers and other similar uses, day care centers, office and computer equipment, copy centers, postal centers, and other similar uses. 2. Restaurants, retail commercial, travel services, and other commercial uses incidental/accessing to office uses. Uses permitted subject to conditional use permit. 1. Trade and professional schools. 2. Private recreational fields. 3. On the parcels illustrated on Figure 1, any use permitted in the M1 district either by right or subject to a conditional use permit, as listed in the SAMC, that is not listed in the Limited Light Industrial Uses section, above. 4. Any use subject to Section 41-199.4 of the SAMC. 5. Eating establishments exceeding 2,500 square feet in gross floor area. Limited Light Industrial Uses 1. On the parcels illustrated on Figure 1 (the "Limited Light Industrial Parcels"), in addition to Professional and Business Offices and Commercial/Retail uses, the following Limited Light Industrial uses are permitted: City Council 37 — 10 Ordinance IN, Q10f 2WXX Page 6 of 22 a. The compounding, processing, or treatment of raw or previously treated materials into a finished or semi -finished product, excluding those uses specified in sections 41-199.4 and 41-489.5 of the SAMC. b. The manufacture of products from raw or previously treated materials, excluding those uses specified in sections 41-199.4 and 41-489.5 of the SAMC. c. The assembly of products from raw or previously treated materials, excluding those uses specified in section 41-489.5 of the SAMC. d. The packaging or distribution of previously prepared products or materials, excluding those uses specified in section 41-489.5 of the SAMC. e. Wholesale establishments where the primary trade is business to business sale of products, supplies, and equipment. f. Storage of previously prepared goods, products or materials for eventual distribution or sales where the goods, products or materials are the property of the owner or operator of the building or structure. g. Machine shop or other metal working shops. h. Warehousing. i. Research laboratories. j. Movie, photography, musical or video production studios. k. Bulk products sales (twenty-five (25) cubic feet or greater) when such products are the primary sales activity. I. Public utility structures. m. Blueprinting, photoengraving, screen printing and other reproduction processes. n. Eating establishments up to 2,500 square feet in gross floor area. 2. On the Limited Light Industrial Parcels, the following uses are permitted when ancillary to and physically integrated with any limited light industrial uses permitted in Section 1, above, or to any use permitted subject to a conditional use permit: a. Cafes and eating establishments limited to use by employees of the uses specific in Section 1. b. Administrative office use occupying up to thirty (30) percent of the gross floor area. c. Product sales or service uses occupying up to five (5) per cent of the gross floor area. d. Daycare centers occupying up to thirty (30) per cent of the gross floor area; provided, however, that no combination of uses permitted by this section shall exceed thirty (30) per cent of the gross floor area. City Council 37 —11 Ordinance 18, U00f 2WXX Page 7 of 22 e. The outside storage of Class I and Class II liquids (as defined in the fire code of the City of Santa Ana) in above -ground fixed storage tanks when properly screened pursuant to section 41-622 of the SAMC, as it may be amended from time to time. As used herein, "tank" means a vessel containing more than sixty (60) gallons. f. Enclosed storage where the goods, materials or supplies stored are the property of the owner or operator of the building or structure occupying up to thirty (30) per cent. g. Caretakers quarters consistent with the requirements in section 41-479 of the SAMC. Section 4 - Maximum Permitted Building Density/Intensity The maximum authorized building densities/intensities for the Specific Development Plan SD-58 are as follows: 1. 400,890 square feet of existing and approved office and support commercial uses. 2. 569,230 square feet of additional floor area, including a maximum of 325,044 square feet of limited Light Industrial uses on the Light Industrial Parcels. 3. Parking structures and appurtenant uses are not included in the calculation of floor area. 4. The precise timing of development, building sizes, and configuration are predicated on market conditions at the time of construction and are subject to change as market conditions change or as tenants become available. Section 5 - Signage 1. Except as set forth here in, all future on -site signs shall conform to Article XI, Subsections 41-850 through 41-1099 of the SAMC, in effect at the time of adoption of this ordinance. 2. On -site signs for the Professional and Business office uses and Commercial/Retail shall also be consistent with an approved sign program to be on file with the Santa Ana Planning Division. 3. Signage in the SD-58 area is subject to the SAMC and Planned Sign Program on file with the City. Modifications to sign development standards may be made administratively provided they do not exceed a twenty percent deviation for proposed freestanding and wall signs of dimensions for location, height, length, and sign face area. In considering a request for such administrative modification, health and safety and design compatibility of the proposed signage shall be taken into consideration. Section 6 - Development Standards City Council 37 — 12 Ordinance f81,tQ 0l 2WXX Page 8 of 22 1. Building Heights. All future on -site uses with the exception of limited light industrial uses on parcels illustrated on Figure 1 will be subject to a height limitation of 200 feet above ground level which is defined as a measurement from the elevation of the top slab of the first floor on -grade to the top of the structure. Limited light industrial uses on the parcels illustrated on Figure 1 will be subject to a height limitation of 55 feet above ground level, exclusive of any roof -mounted equipment. 2. Setbacks. A minimum of 15 feet setback shall be provided between proposed onsite uses and right of way boundaries for the following streets Lake Center Drive Susan Street Sunflower Avenue and MacArthur. A minimum ten foot setback will be provided for uses adjacent to internal roadways but such ten - foot setback shall not apply to drive aisles in parking lots. 3. Building Separation. Minimum building separation shall be governed by Uniform Building Code requirements except for parking structures which are not required to be separated from structures on separate parcels, and except for walkway covers connecting pedestrian access and atrium connections between buildings. 4. Site Coverage. All building setbacks as described in Section 6.2 (Setbacks) above. Building setbacks shall be maintained for site coverage. 5. Parking. Parking within Specific Development Plan SD-58 will be provided to attract companies contemplated by the Permitted Uses described in Section 3 above (Uses Permitted). This is represented by the properties governed by the SD-58 zoning. It is the intent to provide parking facilities in the form of surface parking, parking structures above and, possibly, below grade or any combination thereof. The parking structures' design shall be compatible with the surrounding land uses. Future on -site buildings may be served by a mix of surface and structure parking. Future spaces will be provided on a phase -by -phase basis consistent with projected demand coinciding with the construction of the proposed buildings. a. Location of Parking. Required off-street parking shall be provided. When parking is provided on a site of different ownership a recorded document shall be approved and filed with the City of Santa Ana Planning Division and signed by the owners of the parking site stipulating to the reservation of use of the site for said parking. b. Joint Use of Parking. Two or more office or commercial uses may jointly develop and utilize required parking facilities if approved by the Planning Division. Parking requirements for each individual use may be reduced through City of Santa Ana (i.e. no compact stalls) as of the date of adoption with regard to surfacing, marking, grading, lighting, walls City Council 37 — 13 Ordinance f81,t 0C 2 WXX Page 9 of 22 circulation, parking dimensions, and layout. Landscaping requirements will be in accordance with this Specific Development Plan. c. Off -Street Parking Plan/Site Plan. A parking plan will be submitted for all projects requiring more than ten parking spaces, unless off street parking facilities are already provided. The required number of off street spaces may be reduced commensurate with the specific type of use and demonstrated hourly parking demand upon approval by the Zoning Administrator. For off- street parking plan areas which contain 500 or more parking spaces a twenty (20) percent reduction may be permitted for required off street parking subject to approval by the Zoning Administrator. This percentage is based upon representative factors for land use as provided by the Urban Land institute's (ULI) shared parking study. The required number of off-street spaces provided may be further modified contingent upon implementation of a transportation demand management plan for Lake Center and based upon the results of a verified transportation study, subject to approval by the Planning Division. d. Number of Required Off -Street Spaces. The minimum number of off- street parking spaces to be provided within the project area are as follows: Medical and Dental. Six spaces for each doctor or one space for each 200 square feet of gross floor area, whichever is greater. Professional and Business Offices. One space for each 333 1 /3 square feet of gross floor area. Restaurant. Restaurant parking shall be in accordance with the following: Restaurants shall provide one parking space per 100 gross square feet of floor area. Outdoor dining areas may be reduced to provide one space per 200 square feet of gross floor area. Parking requirements may be waived for restaurants which primarily serve an onsite building or can be demonstrated to serve on -site users who will not drive to the site. Commercial. One (1) space for each 200 square feet of gross floor area for any freestanding commercial space larger than 3,000 City Council 37 — 14 Ordinance IM0X1 MXX Page 10 of 22 square feet. Parking requirements shall be waived for commercial and service uses which primarily serve an on -site building, or can be demonstrated to serve onsite users who will not drive to the site Trade and professional schools. One space for each 40 square feet of classroom area, plus one space for each 333 square feet of office floor area. A passenger loading and unloading zone shall be provided for each building used for instructional purposes. Limited Light Industrial. One and one -quarter (1.25) spaces for each one thousand square feet of gross floor area. 6. Landscaping Standards. All areas not used for buildings parking or storage shall be landscaped using the following guidelines. All landscaped areas shall be irrigated using an automatic irrigation system. The project shall provide landscaping consistent with the existing landscape theme and existing improvements onsite. Plazas and courtyards shall provide a minimum of 30% of the area dedicated to such amenity in landscaping. The design guidelines outlined herein form an integral element in achieving distinctive development character for the project area. As phases are implemented, landscape plans shall be approved which are consistent with and implement these concepts, and are consistent with existing improvements established by a Master Plan on file with the City Planning Division. Detailed landscaping plans shall be submitted to and be approved by the City of Santa Ana Planning Division prior to issuance of a building permit and installed prior to issuance of a certificate of Use and Occupancy. a. Setback Areas. To create a unifying element surrounding the project area, a landscaped edge will be maintained adjacent to Lake Center Drive, Susan Street, Sunflower Avenue, MacArthur Boulevard and interior streets. This edge will contain formal tree plants with ground cover or shrubs below. b. Side and Rear Yard Setback Area. All building setback areas shall be landscaped utilizing ground cover lawn and or shrub and tree materials consistent with existing improvements. c. Parking Areas. In all areas where there is surface parking the following standards shall apply: Setback - The width of the landscaped edge adjacent to parking areas shall be a minimum of ten feet from the interior rear and interior side yard property lines. Trees - For parking areas that feature head -to -head parking spaces there shall be a minimum five feet by five feet raised planter, including the thickness of the raised curb installed between the head -to -head City Council 37 — 15 Ordinance f81,tQ 0l 2WXX Page 11 of 22 parking spaces a ratio of one (1) planter for each (4) four parking spaces on each side of the head -to -head row (see Figure 2 for a depiction of such planters). For purposes of clarification, for parking spaces that terminate at a curb (i.e. not head -to -head), no such planter shall be required. For every ten parking spaces that terminate in a curb, there shall be a landscape finger at least five feet (5) wide, including the thickness of the raised curbs enclosing such planter, and_each planter will require one 15 gallon size tree, 8 five gallon size shrubs and ground cover to serve as filler materials. Other organic or inorganic materials are not accepted for substitution for ground cover or turf. 7. Enforcement. The penal provisions and permit requirements set forth in Article VIII of the (SAMC) (effective as of the date of adoption of this Specific Development Plan) shall apply to all development within Specific Development Plan SD-58. 8. Perimeter Fencing. All perimeter fencing abutting a public street or private street shall be of decorative, "see -through" material, such as wrought -iron, but in no event shall such fencing be a chain -link material. Such fencing shall be setback at least ten feet (10') from the public right-of-way (the "Public Setback") with landscaping, as approved by the City per Section 6.6 (Landscape Standards) above, between the fencing and the public right-of-way. Provided, however, the Public Setback may be less than ten feet (10') from the public right-of-way to accommodate code -required, accessible exits through such fencing. The portion of the perimeter fencing that is less than ten feet (10') to accommodate such code -required, accessible exit shall not exceed a length of twenty feet (20') as measured parallel to the right-of-way. Perimeter fencing along interior property lines, if any, shall comply with Section 11.8.1 of the City's Industrial Design Guidelines. No perimeter fencing shall exceed seven (7) feet in height as measured from the adjacent grade without the prior authorization by the City. Section 7 - Operational Standards 1. Conditions Covenants and Restrictions (CC & R's) shall be provided which requires future tenants and property owners to participate in the required Transportation Demand Management Program and other mitigation measures as specified in the Environmental Impact Report, or prepared CEQA Exemption 15183 Environmental Documentation. 2. Each future structure(s) shall be required to demonstrate conformity with the applicable provisions of this Specific Development Plan SD-58 and certified Environmental Impact Report, or prepared CEQA Exemption 15183 Environmental Documentation, to provide the opportunity to apply conditions to ensure compliance. 3. Prior to issuance of a Utility Release complete the following: City Council 37 — 16 Ordinance IMUOMXX Page 12 of 22 a) Comply with all mitigation measures applicable to the approved Site Plan and as set forth in the Draft EIR and as modified in the response to comments portion of the EIR. b) Comply with the requirements of the Development Agreement, as applicable. 4. Any amendments and/or modifications to the project or site plan review approval per Development Project (DP) DP No. 2023-37, including modifications to approved materials, finishes, architecture, site plan, landscaping, and square footages must be submitted to the Planning Division for review. At that time, staff will determine if administrative relief is available, per the following: a. Modifications up to ten -percent (10%) deviations shall be reviewed and approved by the City of Santa Ana's Planning Manager. b. Modifications up to twenty -percent (20%) deviations shall require a discretionary review and approval of a minor exception application by the City of Santa Ana's Zoning Administrator, at a duly noticed public hearing, pursuant to all applicable requirements outlined in the SAMC. c. Modifications exceeding twenty -percent (20%) deviations shall require a discretionary review and approval by the City of Santa Ana's Planning Commission, at a duly noticed public hearing, pursuant to all applicable requirements outlined in the SAMC. 5. Prior to the issuance of building permits for any building within the parcels illustrated on Figure 1 (the "Limited Light Industrial Parcels"), a detailed and comprehensive Landscape Plan shall be submitted to the Planning and Building Agency Executive Director or his/her designee for review and approval prior to the issuance of building permits. a. The plan shall comply with the City's Water Efficient Landscape Ordinance (WELD) Chapter 41, Article XVI of the SAMC. The plan shall include an irrigation system layout with the location of controllers and points of connection with data on valve sizes and gallons per minute ( G.P.M.), the size and location of sleeves and all spray heads, including the location of conventional systems and drip systems; an irrigation legend with complete specifications; irrigation notes and construction details of all assemblies and components; a recommended irrigation schedule, preferably on an annual basis; and a summary block on the initial page of submitted plans that will present the above information clearly and accurately. City Council 37 — 17 Ordinance 181=01 2 WXX Page 13 of 22 b. The plan shall include a Plant Legend containing: plant symbol, scientific name of plant material, common name of plant material, plant container size, and plant spacing. Very low, low and medium water usage plant materials are encouraged. c. The plan shall include details of site furnishings. Site furnishing should be compatible in style with the buildings and selected to bring comfort, scale and design expression to the streetscape. These must also be highly durable and easy to maintain. Planters and pots should be used to complement the project architecture and other site amenities; avoiding obstructions to pedestrian traffic flow with planters and pots. All elements of the furniture palette should be uniform. d. Landscaping for the project shall be completed in phases by building and shall be installed and inspected prior to occupancy of units within that building. The Owner and/or maintenance association established by any relevant Conditions Covenants and Restrictions (CC & R's) shall be responsible for maintaining all common area landscaping within the development. 6. Prior to issuance of a building permit for any buildings within any of the parcels illustrated on Figure 1 (the "Limited Light Industrial Parcels"), the property owner shall satisfy all site improvement requirements identified by the City's Development Review Committee (DRC) as part of Development Project (DP) DP No. 2023-37, including but not limited to the following: a. Implementing water and sewer requirements, if any, determined necessary as part of the Water Hydraulic Model Evaluation Study conducted by the City of Santa Ana. 7. Prior to issuance of a building permit for any buildings within any of the parcels illustrated on Figure 1 (the "Limited Light Industrial Parcels"), the property owner shall execute and record a Lot Merger Application to consolidate the lots at 3100 W. Lake Center Drive. 8. Prior to final occupancy of a business established within any of the parcels illustrated on Figure 1 (the "Limited Light Industrial Parcels"), a Property Maintenance Agreement must be executed between the City of Santa Ana and the Property Owner in a form reasonably satisfactory to the City Attorney. The Property Maintenance Agreement shall ensure that the Property and all improvements located thereupon are properly maintained. The maintenance agreement shall contain covenants, conditions and restrictions relating to the following: a. Compliance with operational conditions applicable during any period(s) of construction or major repair (e.g., proper screening and securing of the construction site; implementation of proper erosion control, dust City Council 37 — 18 Ordinance f81,t 0C 2 WXX Page 14 of 22 control and noise mitigation measure; adherence to approved project phasing etc.); b. Compliance with ongoing operational conditions, requirements and restrictions, as applicable (including but not limited to hours of operation, security requirements, the proper storage and disposal of trash and debris, enforcement of the parking management plan, and/or restrictions on certain uses); c. Ongoing compliance with approved design and construction parameters, signage parameters and restrictions as well as landscape designs, as applicable; d. Ongoing maintenance, repair and upkeep of the property and all improvements located thereupon (including but not limited to controls on the proliferation of trash and debris about the property; the proper and timely removal of graffiti; the timely maintenance, repair and upkeep of damaged, vandalized and/or weathered buildings, structures and/or improvements; the timely maintenance, repair and upkeep of exterior paint, parking striping, lighting and irrigation fixtures, walls and fencing, publicly accessible bathrooms and bathroom fixtures, landscaping and related landscape improvements and the like, as applicable); e. If Applicant and the owner of the property are different (e.g., if the Applicant is a tenant or licensee of the property or any portion thereof), both the Applicant and the owner of the property shall be signatories to the maintenance agreement and both shall be jointly and severally liable for compliance with its terms; The maintenance agreement shall further provide that any party responsible for complying with its terms shall not assign its ownership interest in the property or any interest in any lease, sublease, license or sublicense, unless the prospective assignee agrees in writing to assume all of the duties and obligations and responsibilities set forth under the maintenance agreement; g. The maintenance agreement shall contain provisions relating to the enforcement of its conditions by the City and shall also contain provisions authorizing the City to recover costs and expenses which the City may incur arising out of any enforcement and/or remediation efforts which the City may undertake in order to cure any deficiency in maintenance, repair or upkeep or to enforce any restrictions or conditions upon the use of the property. The maintenance agreement shall further provide that any unreimbursed costs and/or expenses incurred by the City to cure a deficiency in maintenance or to enforce City Council 37 — 19 Ordinance IRWQD( 2WXX Page 15 of 22 use restrictions shall become a lien upon the property in an amount equivalent to the actual costs and/or expense incurred by the City; and h. The execution of the maintenance agreement shall be a condition precedent to the Certificate of occupancy. The maintenance agreement shall further provide that any party responsible for complying with its terms shall not assign its ownership interest in any real property illustrated on Figure 1 (the "Limited Light Industrial Parcels"), within the boundaries of Specific Development No. 58, or any interest in any lease, sublease, license or sublicense, unless the prospective assignee agrees in writing to assume all of the duties and obligations and responsibilities set forth under the maintenance agreement. City Council 37 — 20 Ordinance IRdU9&2WXX Page 16 of 22 SD-58 Limited Light Industrial Parcels SA_NTA_ANA._.._.._.._.._.._.._.._.._.._.._.._.._.._.._.._.._.._AV.._.._.._.._.._.._.._.._., SUNFLOWER C05 TA -MESA Limited Light Industrial Parcels = 5D 58 Zoning District Figure 1 0 150 300 Feet City Council 37 — 21 Ordinance Ht2CNW2WCXX Page 17 of 22 Parking Lot Planters �Al" + FUWCM PLM M, PLOM Um MLE am Figure City Council 37 — 22 Ordinance lSt2UAW2WXX Page 18 of 22 Section 5. If any section, subsection, sentence, clause, phrase or portion of this ordinance is for any reason held to be invalid or unconstitutional by the decision of any court of competent jurisdiction, such decision shall not affect the validity of the remaining portions of this ordinance. The City Council of the City of Santa Ana hereby declares that it would have adopted this ordinance and each section, subsection, sentence, clause, phrase or portion thereof irrespective of the fact that any one or more sections, subsections, sentences, clauses, phrases, or portions be declared invalid or unconstitutional. Section 6. This Ordinance shall become effective thirty (30) days after its adoption. Section 7. The Clerk of the Council shall certify the adoption of this ordinance and shall cause the same to be published as required by law. ADOPTED this day of APPROVED AS TO FORM Sonia R. Carvalho, City Attorney By. %k4wc V 1 8; U, se Montoya Assistant City Attorney AYES: NOES: ABSTAIN: NOT PRESENT Councilmembers: Councilmembers: Councilmembers: Councilmembers: .2024. Valerie Amezcua Mayor City Council 37 — 23 Ordinance 18dU00}2WXX Page 19 of 22 CERTIFICATE OF ATTESTATION AND ORIGINALITY I, , City Clerk, do hereby attest to and certify that the attached Ordinance No. NS- to be the original ordinance adopted by the City Council of the City of Santa Ana on , 2024 and that said ordinance was published in accordance with the Charter of the City of Santa Ana. Date: Jennifer L. Hall City Clerk City of Santa Ana City Council 37 — 24 Ordinance I8aU9&2WXX Page 20 of 22 Attachment 1 Consistent and Supportive General Plan Goals and Policies Land Use (LU) Element Goal LU-2: Land Use Needs. Provide a balance of land uses that meet Santa Ana's diverse needs. The project is consistent with this General Plan Land Use Element goal, as the current allowable uses are not meeting the community's needs. Office space demand has declined and with this request, the ownership proposes to diversify and adapt to these needs by establishing additional land uses within the specific development area. Goal LU-3: Compatibility of Uses. Preserve and improve the character and integrity of existing neighborhoods and districts. Policy LU-3.4: Compatible Development. Ensure that the scale and massing of new development is compatible and harmonious with the surrounding built environment. The project is consistent with these General Plan Land Use Element goals and policies, as the goal for the site is to develop high -quality industrial buildings that would revitalize the area and make off -site improvements to enhance the character of the surrounding neighborhood. Additionally, the proposed improvements would also feature reduced mass and scale, which would be more compatible with the surrounding area. Goal LU-4: Complete Communities. Support a sustainable Santa Ana through improvements to the built environment and a culture of collaboration. Policy LU-4.2. Public Realm. Maintain and improve the public realm through quality architecture, street trees, landscaping, and other pedestrian -friendly amenities. The project is consistent with these General Plan Land Use Element goals and policies, which support sustainable improvements to the built environment, maintain, and improve public spaces through quality architecture, street trees, landscaping, and other pedestrian -friendly amenities. As the ownership of the properties would redevelop the site by providing high -quality development and extensive landscaping along West Lake Center Drive, culminating in a passive park for the community and visitors to the nearby field or church. These improvements would improve the public realm, include pedestrian friendly amenities and support the built out environment. Urban Design (UD) Element Goal UD-1. Physical Character. Improve the physical character and livability of the City to promote a sense of place, positive community image, and quality environment. City Council 37 — 25 Ordinance IRWQ10}2 WXX Page 21 of 22 Policy UD-1.1: Design Quality: Ensure all developments feature high quality design, materials, finishes, and construction. Policy UD-1.5: Attractive Public Spaces. Encourage community interaction through the development and enhancement of plazas, open space, people places, and pedestrian connections with the public realm. The project is consistent with these General Plan Urban Design Element goals and policies as the goal for the site would be to develop with high -quality industrial buildings that would feature high -quality materials and finishes that would improve the physical character of the area. Additionally, the proposed passive park would create a space for community interaction and encourage community interaction and pedestrian connection to the public realm. Economic Prosperity (EP) Element Goal EP-1: Job Creation and Retention: Foster a dynamic local economy that provides and creates employment opportunities for all residents in the city. Policy EP-1.1: Protect Industrial: Protect industrial uses that provide quality job opportunities, including middle -income jobs; provide for secondary employment and supporting uses; and maintain areas where smaller emerging industrial uses can locate in a multitenant setting. Policy EP-1.2: Attract Business: Promote new and retain existing job -producing businesses that provide living -wage employment opportunities. The project is consistent with these General Plan Economic Prosperity Element goals and policies, as the request would allow the ownership to transition from a land use that is not attracting businesses or jobs to one that would, thereby benefiting the city's economic prosperity. Furthermore, the request would reintroduce industrial land uses to a site previously rezoned to accommodate only office or commercial uses, which would support industrial land uses Citywide that would provide for employment opportunity. City Council 37 — 26 Ordinance ISWQL( 2WXX Page 22 of 22 City Clerk's Office www.santa-ana.org/city-clerks-office Item # 38 o`er City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report August 20, 2024 TOPIC: Voting Delegate for Cal Cities 2024 Annual Conference General Assembly AGENDA TITLE Designate a Voting Delegate and up to Two Alternates for League of California Cities (Cal Cities) 2024 Annual Conference General Assembly RECOMMENDED ACTION Designate a voting delegate and up to two alternates for the Cal Cities Annual Conference General Assembly on Friday, October 18, 2024. GOVERNMENT CODE 484308 APPLIES: No DISCUSSION The League of California Cities (Cal Cities)' 2024 Annual Conference and Expo is scheduled to take place in Long Beach from October 16 to 18, 2024. Of particular significance at the conference is the Annual Business Meeting, where Cal Cities provides member cities, like the City of Santa Ana, an opportunity to consider and act on resolutions that establish Cal Cities policy. Cal Cities bylaws indicate that each city is entitled to one vote to take a position on matters affecting municipal or Cal Cities policy. To expedite the conduct of business, every city is required to designate a voting representative and up to two alternates who will represent the City at the League Business Meeting (Exhibit 1). These designations must be made by City Council action. ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT There is no fiscal impact associated with this action. City Council 38 — 1 8/20/2024 Voting Delegate for Cal Cities 2024 Annual Conference General Assembly August 20, 2024 Page 2 EXHIBIT(S) 1. League of California Cities Correspondence - Designation of Voting Delegates and Alternates Submitted By: Jennifer L. Hall, City Clerk Approved By: Alvaro Nunez, City Manager City Council 38 — 2 8/20/2024 LEAGUE OF CALIFORNIA CITI ES Council Action Advised by September 25, 2024 DATE: Wednesday, July 10, 2024 TO: Mayors, Council Members, City Clerks, and City Managers RE: DESIGNATION OF VOTING DELEGATES AND ALTERNATES League of California Cities Annual Conference and Expo, Oct. 16-18, 2024 Long Beach Convention Center Every year, the League of California Cities convenes a member -driven General Assembly at the Cal Cities Annual Conference and Expo. The General Assembly is an important opportunity where city officials can directly participate in the development of Cal Cities policy. Taking place on Oct. 18, the General Assembly is comprised of voting delegates appointed by each member city; every city has one voting delegate. Your appointed voting delegate plays an important role during the General Assembly by representing your city and voting on resolutions. To cast a vote during the General Assembly, your city must designate a voting delegate and up to two alternate voting delegates, one of whom may vote if the designated voting delegate is unable to serve in that capacity. Voting delegates may either be an elected or appointed official. Action by Council Required. Consistent with Cal Cities bylaws, a city's voting delegate and up to two alternates must be designated by the city council. Please note that designating the voting delegate and alternates must be done by city council action and cannot be accomplished by individual action of the mavor or city manaaer alone. Following council action, please submit your city's delegates through the online submission portal by Wed., Sept. 25. When completing the Voting Delegate submission form, you will be asked to attest that council action was taken. You will need to be signed in to your My Cal Cities account when submitting the form. Submitting your voting delegate form by the deadline will allow us time to establish voting delegate/alternate records prior to the conference and provide pre -conference communications with voting delegates. Conference Registration Required. The voting delegate and alternates must be registered to attend the conference. They need not register for the entire conference; they may register for Friday only. Conference registration is open on the Cal Cities website. LEAGUE OF CALIFORNIA CITI ES For a city to cast a vote, one voter must be present at the General Assembly and in possession of the voting delegate card and voting tool. Voting delegates and alternates need to pick up their conference badges before signing in and picking up the voting delegate card at the voting delegate desk. This will enable them to receive the special sticker on their name badges that will admit the voting delegate into the voting area during the General Assembly. Please view Cal Cities' event and meeting policy in advance of the conference. Transferring Voting Card to Non -Designated Individuals Not Allowed. The voting delegate card may be transferred freely between the voting delegate and alternates, but only between the voting delegate and alternates. If the voting delegate and alternates find themselves unable to attend the General Assembly, they may not transfer the voting card to another city official. Seating Protocol during General Assembly. At the General Assembly, individuals with a voting card will sit in a designated area. Admission to the voting area will be limited to the individual in possession of the voting card and with a special sticker on their name badge identifying them as a voting delegate. The voting delegate desk, located in the conference registration area of the Long Beach Convention Center in Long Beach, will be open at the following times: Wednesday, Oct. 16, 8:00 a.m.-6:00 p.m. and Thursday, Oct. 17, 7:30 a.m.-4:00 p.m. On Friday, Oct. 18, the voting delegate desk will be open at the General Assembly, starting at 7:30 a.m., but will be closed during roll calls and voting. The voting procedures that will be used at the conference are attached to this memo. Please share these procedures and this memo with your council and especially with the individuals that your council designates as your city's voting delegate and alternates. Once again, thank you for submitting your voting delegate and alternates by Wednesday, Sept. 25. If you have questions, please contact Zach Seals at zseals@calcities.ora. Attachments: • General Assembly Voting Guidelines • Information Sheet: Cal Cities Resolutions and the General Assembly LEAGUE OF CALIFORNIA CITI ES General Assembly Voting Guidelines One City One Vote. Each member city has a right to cast one vote on matters pertaining to Cal Cities policy. 2. Designating a City Voting Representative. Prior to the Cal Cities Annual Conference and Expo, each city council may designate a voting delegate and up to two alternates; these individuals are identified on the voting delegate form provided to the Cal Cities Credentials Committee. 3. Registering with the Credentials Committee. The voting delegate, or alternates, may pick up the city's voting card at the voting delegate desk in the conference registration area. Voting delegates and alternates must sign in at the voting delegate desk. Here they will receive a special sticker on their name badge and thus be admitted to the voting area at the General Assembly. 4. Signing Initiated Resolution Petitions. Only those individuals who are voting delegates (or alternates), and who have picked up their city's voting card by providing a signature to the credentials committee at the voting delegate desk, may sign petitions to initiate a resolution. 5. Voting. To cast the city's vote, a city official must have in their possession the city's voting card and voting tool; and be registered with the credentials committee. The voting card may be transferred freely between the voting delegate and alternates but may not be transferred to another city official who is neither a voting delegate nor alternate. 6. Voting Area at General Assembly. At the General Assembly, individuals with a voting card will sit in a designated area. Admission to the voting area will be limited to the individual in possession of the voting card and with a special sticker on their name badge identifying them as a voting delegate. 7. Resolving Disputes. In case of dispute, the credentials committee will determine the validity of signatures on petitioned resolutions and the right of a city official to vote at the General Assembly. LEAGUE OF CALIFORNIA CITIES General Resolutions Sixty days before the Annual Conference and Expo, Cal Cities members may submit policy proposals on issues of importance to cities. The resolution must have the concurrence of at least five additional member cities or individual members. Petitioned Resolutions The petitioned resolution is an alternate method to introduce policy proposals during the annual conference. The petition must be signed by voting delegates from 10% of member cities, and submitted to the Cal Cities President at least 24 hours before the beginning of the General Assembly. General Assembly How it works: Cal Cities Resolutions and the General Assembly Policy Committees • • • The Cal Cities President assigns • • • general resolutions to policy committees where members review, debate, and recommend positions for each policy proposal. Recommendations are forwarded to the Resolutions Committee. Resolutions Committee • • • The Resolutions Committee considers • • • all resolutions. General Resolutions approved' by either a policy committee or the Resolutions Committee are next considered by the General Assembly. General resolutions not approved, or referred for further study by both a policy committee and the Resolutions Committee do not go to the General Assembly. All Petitioned Resolutions are considered by the General Assembly, unless disqualified.2 1 ff•i• •�• .During the General Assembly, voting delegates ♦;� •� •11•�• • debate and consider general and petitioned resolutions forwarded by the Resolutions Committee. Potential Cal Cities bylaws amendments are also considered at this meeting. Who's who Cal Cities policy development is a member - informed process, grounded in the voices and experiences of city officials throughout the state. The Resolutions Committee includes representatives from each Cal Cities diversity caucus, regional division, municipal department, and policy committee, as well as individuals appointed by the Cal Cities president. Voting delegates are appointed by each member city; every city has one voting delegate. The General Assembly is a meeting of the collective body of all voting delegates —one from every member city. Seven policy committees meet throughout the year to review and recommend positions to take on bills and regulatory proposals. Policy committees include members from each Cal Cities diversity caucus, regional division, and municipal department, as well as individuals appointed by the Cal Cities president. The Resolution C 2 Petitioned Resoluo jjitypalified by the Resolutions Committee according WaL(Bies Bylaws Article VI. Sec. 5(f). 8/20/2024 For more information visit www.calcities.org/general-assembly Parks, Recreation, and Community Services www.santa-ana.org/parks Item # 39 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report August 20, 2024 TOPIC: An Ordinance of the City Council of the City of Santa Ana Amending Article VI (Stadium), Section 2-743 (Liquor) of the Santa Ana Municipal Code AGENDA TITLE Ordinance Amending Article VI (Stadium), Sec. 2-743 (Liquor) of the Santa Ana Municipal Code to Allow for the Sale and Consumption of Beer, Wine, and Distilled Spirits at Eddie West Field -Santa Ana Stadium RECOMMENDED ACTIONS 1. Approve first reading of an ordinance amending Article VI (Stadium), Section 2-743 (Liquor) of the Santa Ana Municipal Code (SAMC) (Exhibit 1) to allow for the sale and consumption of beer, wine, and distilled spirits at Eddie West Field -Santa Ana Stadium with the expressed written consent of the City Manager or designee. ORDINANCE NO. NS-XXXX entitled AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING CHAPTER 2 OF THE SANTA ANA MUNICIPAL CODE (ADMINISTRATION), ARTICLE VI (STADIUM), SECTION 2-743 - LIQUOR 2. Determine that, in accordance with the California Environmental Quality Act (CEQA) and the CEQA Guidelines, the project is categorically exempt from further review per Section 15301 (Class 1 — Existing Facilities). GOVERNMENT CODE §84308 APPLIES: No DISCUSSION The City of Santa Ana's Parks, Recreation and Community Services Agency (PRCSA) operates the Eddie West Field -Santa Ana Stadium, hosting a variety of practices and games for local athletic groups ranging from youth to adult teams. In addition, Eddie West Field -Santa Ana Stadium has been host to special events ranging from concerts, rodeos, and boxing matches. Under the current SAMC, only beer may be sold at Eddie West Field -Santa Ana Stadium for an event deemed an "adult event" with the express written permission of the Executive Director of PRCSA. City Council 39 — 1 8/20/2024 Ordinance Amending Article VI, Section 2-743 of the Santa Ana Municipal Code August 20, 2024 Page 2 The proposed amendment to the SAMC would allow for the sale and consumption of "alcoholic beverages" as defined by the California Businesses & Professions (CB&P) Code Section 23004 (Exhibit 2) with the expressed written consent of the City Manager or designee for events deemed an "adult event" if the predominate age of the audience can reasonably be expected to exceed 21 years. This would include beer, wine, and distilled spirits. Analysis Concert venues, temporary outdoor activities, and special events throughout Santa Ana already allow for the diversity in the sale of alcohol with conformance to the SAMC and Alcoholic Beverage Control (ABC) state law and established parameters. This amendment would allow the City to mirror these venues and position the Stadium competitively to attract revenue generating events, creating a safe and appealing economic development opportunity. By expanding alcohol sales at "adult events," the stadium can boost revenue through increased concession sales and provide a more enjoyable experience for attendees. This amendment can also support local businesses by driving more traffic to nearby establishments before and after events. The Police Department has reviewed this request and has identified no additional areas of concern. The application and review process will ensure that any operational standards for expanding the sale of alcohol adhere to Type 21 Alcoholic Beverage Control (ABC) requirements, which permit the sale of beer, wine, and distilled spirits, as well as comply with the City's municipal code for special events. This will involve a review by the Santa Ana Police Department of applications for the sale and service of alcoholic beverages to mitigate any potential negative impacts. ENVIRONMENTAL IMPACT In accordance with the California Environmental Quality Act (CEQA) and the CEQA Guidelines, the project is categorically exempt from further review per Section 15301 (Class 1 — Existing Facilities). The Class 1 exemption applies to the operation, repair, maintenance, permitting, leasing, licensing, or minor alteration of existing public or private structures, facilities, mechanical equipment, or topographical features, involving negligible or no expansion of existing or former use. The requested ordinance amendment would allow for wine and distilled spirits, in addition to the existing permissible sale of beer, to be sold at the existing stadium facilities, and no physical construction is required nor necessary to accommodate the proposed SAMC text changes. Upon adoption of the ordinance's first reading, a Notice of Exemption will be filed for the project. FISCAL IMPACT There is no fiscal impact associated with this action. City Council 39 — 2 8/20/2024 Ordinance Amending Article VI, Section 2-743 of the Santa Ana Municipal Code August 20, 2024 Page 3 EXHIBIT(S) 1. Ordinance (Redline for First Reading) 2. California Businesses and Professions Code Section 23004 Submitted By: Hawk Scott, Executive Dir. of Parks, Recreation and Community Services Approved By: Alvaro Nunez, City Manager City Council 39 — 3 8/20/2024 ORDINANCE NO. NS-XXX AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING CHAPTER 2 OF THE SANTA ANA MUNICIPAL CODE (ADMINISTRATION), ARTICLE VI (STADIUM), SECTION 2-743 - LIQUOR WHEREAS, the City of Santa Ana's Parks, Recreation and Community Services Agency ("PRCSA") operates the Eddie West Field -Santa Ana Stadium ("Stadium"), which hosts a variety of practices, games, and events for local athletic groups, ranging from youth to adult teams, as well as special events such as concerts, rodeos, and boxing matches; and WHEREAS, Chapter 2, Article VI, Section 2-743 of the Santa Ana Municipal Code ("SAMC") currently prohibits the sale and consumption of intoxicating liquor at the Stadium with the exception of beer upon express written consent by the Executive Director of PRCSA; and WHEREAS, California Business and Professions Code Section 23004 establishes a robust definition of "alcoholic beverage"; and WHEREAS, the proposed amendment to the SAMC would allow for the sale and consumption of "alcoholic beverages," as defined by the California Businesses & Professions Code Section 23004, with the express written consent of the City Manager or their designee, for events deemed "adult events" where the predominant age of the audience can reasonably be expected to exceed twenty-one (21) years, thereby including beer, wine, and distilled spirits; and WHEREAS, concert venues, temporary outdoor activities, and special events throughout Santa Ana already allow for a variety in the sale of alcohol, in conformance with SAMC and Alcoholic Beverage Control (ABC) state laws and established parameters; and WHEREAS, this amendment would position Eddie West Field -Santa Ana Stadium competitively with other venues in the City by allowing expanded alcohol sales, thereby attracting revenue -generating events, and providing a safe and appealing economic development opportunity; and WHEREAS, expanding alcohol sales at "adult events" at the stadium has the potential to boost revenue through increased concession sales, enhance the experience for attendees, and support local businesses by driving more traffic to nearby establishments before and after events; and Ordinance No. NS-XXX Page 1 of 5 City Council 39 — 4 8/20/2024 NOW, THEREFORE, THE CITY COUNCIL OF THE CITY OF SANTA ANA, CALIFORNIA, DOES HEREBY ORDAIN AS FOLLOWS: Section 1. The recitals above are each incorporated by reference and adopted as findings by the City Council. Section 2. Chapter 2 of the SAMC (Administration), Article VI (Stadium), Section 2-743 - Liquor is hereby amended to read as follows. Sec. 2-743. Lor Alcoholic Beverages. No intOXiGatinn liquor alcoholic beverages, as defined in California Business and Professions Code Section 23004, shall be sold or consumed upon the premises known as Eddie West Field -Santa Ana Stadium except with the express written consent of the eXeG Live rdiron+nr Gf ni 1't ale d ronreatinn aR nrDmmi inity SeFViGe6 Cit�ger, or their designee, for adult events. The executive diron+or Of ni It Ural reGreatinn aR d Gommi a ii+ o„An event may be deemed an "adult event" if the predominate age of the audience can reasonably be expected to exceed twenty-one (21) years. The application and review process shall be in accordance with a DOlicv established by the Citv Manager �**=BMW - - - MMI EMMISM I I M.C. HIM 0,10.1 I OPINION- -1@11.._ MINOR _ _. ._ Section 4. The City Council finds and determines, in accordance with the California Environmental Quality Act (CEQA) and the CEQA Guidelines, the project is categorically exempt from further review per Section 15301 (Class 1 — Existing Facilities). Class 1 exemption applies to the operation, repair, maintenance, permitting, leasing, licensing, or minor alteration of existing public or private structures, facilities, mechanical equipment, or topographical features, involving negligible or no expansion of existing or Ordinance No. NS-XXX Page 2 of 5 City Council 39 — 5 8/20/2024 former use. The project proposes to allow the sales of alcoholic beverages with express written consent of the City Manager, or their designee, at an existing facility that, currently, may sell beer with the express written consent of the Executive Director of Parks, Recreation and Community Services, with negligible or no expansion of the existing use proposed. As such, a Notice of Exemption, Environmental Review No. 2024-XX, will be filed for this project. Section 5. If any section, subsection, sentence, clause, phrase or portion of this ordinance is for any reason held to be invalid or unconstitutional by the decision of any court of competent jurisdiction, such decision shall not affect the validity of the remaining portions of this ordinance. The City Council of the City of Santa Ana hereby declares that it would have adopted this ordinance and each section, subsection, sentence, clause, phrase or portion thereof irrespective of the fact that any one or more sections, subsections, sentences, clauses, phrases, or portions be declared invalid or unconstitutional. Section 6. This Ordinance shall become effective thirty (30) days after its adoption. Section 7. The City Clerk shall certify the adoption of this ordinance and shall cause the same to be published as required by law. ADOPTED this day of , 2024. Valerie Amezcua Mayor Ordinance No. NS-XXX Page 3 of 5 City Council 39 — 6 8/20/2024 APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: ��/✓ B ndon Salvatierra Deputy City Attorney AYES: NOES: ABSTAIN: NOT PRESENT Councilmembers Councilmembers Councilmembers Councilmembers Ordinance No. NS-XXX Page 4 of 5 City Council 39 — 7 8/20/2024 CERTIFICATE OF ATTESTATION AND ORIGINALITY I, Jennifer L. Hall, City Clerk, do hereby attest to and certify the attached Ordinance No. NS- to be the original ordinance adopted by the City Council of the City of Santa Ana on , and that said ordinance was published in accordance with the Charter of the City of Santa Ana. Date: City Clerk City of Santa Ana Ordinance No. NS-XXX Page 5 of 5 City Council 39 — 8 8/20/2024 I STATE OF CALIFORNIA LEc�sLAr�vE AUTHENTICATED COUNSEL BUREAU ELECTRONIC LEGAL MATERIAL State of California BUSINESS AND PROFESSIONS CODE Section 23004 23004. "Alcoholic beverage" includes alcohol, spirits, liquor, wine, beer, and every liquid or solid containing alcohol, spirits, wine, or beer, and which contains one-half of 1 percent or more of alcohol by volume and which is fit for beverage purposes either alone or when diluted, mixed, or combined with other substances. "Alcoholic beverage" does not include "powdered alcohol," as defined in Section 23003.1. (Amended by Stats. 2016, Ch. 778, Sec. 2. (SB 819) Effective January 1, 2017.) City Council 39 — 9 8/20/2024