HomeMy WebLinkAboutNEWPORT BEACH, CITY OF 2 -2004
A-2004-176-06
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AGREEMENT TO TRANSFER OR PURCHASE EQUIPMENT OR SERVICES
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Including Services and Technology Specifically Required Under the
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INTEGRATED LAW AND JUSTICE PROJECT
FOR FY04 URBAN AREA SECURITY INITIATIVE (UASI)
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THIS AGREEMENT is entered into this 11i:i.-day oJ~~ . 2005, which
date is enumerated for purposes of reference only, by and between the CITY F SANTA ANA, a
municipality of the State of California, hereinafter referred to as "CITY", and the CITY OF Newport
Beach, acting as Lead Agency for the Orange County Integrated Law and Justice (IL&J) project,
hereinafter referred to as "SUBGRANTEE."
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WHEREAS, CITY, acting through the Santa Ana Police Department in its capacity as the Core
City for the Santa Ana Urban Area under the FY04 Urban Area Security Initiative, has applied for,
received and accepted a grant entitled "FY04 Urban Area Security Initiative" from the federal
Department of Homeland Security, Office of Domestic Preparedness, through the State of California,
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Office of Homeland Security, to enhance countywide emergency preparedness, hereinafter referred to as
"the grant," as set forth in the grant guidelines that are attached hereto as Attachment A and incorporated
herein by reference.
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WHEREAS, the terms of the grant require that CITY use certain grant funds to purchase, or
reimburse SUB GRANTEE for the procurement of, equipment, technology or services that will be
transferred to SUB GRANTEE to be used for grant purposes, including the transfer of technology to
Orange County Police Agencies under the Urban Area Security Initiative.
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NOW, THEREFORE, IT IS MUTUALLY AGREED AS FOLLOWS:
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1.
Effective January 23, 2004, SUB GRANTEE was designated as the lead agency and grant
25 administrator for the monies allocated by the federal government for the Orange County Integrated Law
26 and Justice Project (ILJ), a countywide effort and multi-phase project to integrate the diverse
27 information systems of all criminal justice agencies in the county pursuant to a COPS MORE grant.
28 These grant monies are held by SUB GRANTEE on behalf of the ILJ Steering Committee. The ILJ
I Steering Committee, chaired by Chief of Police Bob McDonell of Newport Beach, makes distribution of
2 these funds and decisions on how they are expended.
3 2. The funds allocated under the COPS Office grant are insufficient to implement the entire
4 IL&J project, thus the Santa Ana and Anaheim Urban Areas will fund the portion of the project that
5 enables data and information sharing, as well as the data analysis and intelligence tools in support of
6 homeland security objectives. In no case will the UASI funds supplant the COPS Office grant funds.
7 3. The ILJ Project Steering Committee seeks to procure services from a responsible vendor
8 to provide a technical and operational solution to enable the justice agencies in the county to share
9 information with each other from their records management systems and related databases, and to
10 provide a set of tools that can be used to analyze the data in those systems across jurisdictional
11 boundaries. This particular and critical phase of the ILJ Project is the "RMS/CMS Information Sharing
12 Project," and is being undertaken by the City of Newport Beach (SUB GRANTEE) on behalf of the
13 justice agencies in Orange County, California.
14 4. The RMS/CMS Information Sharing Project includes the supply of required computer
15 software and hardware as well as integration and implementation services. In an effort to ensure that
16 Orange County law enforcement agencies are able, to the greatest extent possible, prevent, deter and
17 effectively respond to potential acts of terrorism and crime, there are two objectives for the project:
18 a. To enable sharing of data from records management systems (RMS), case management
19 systems (CMS) and related databases across the County.
20 b. To acquire and implement a set of data analysis/intelligence tools in support of enhanced
21 homeland security and crime related investigations.
22 c. The project is structured in two phases. Phase 1 is designed to establish the solution and
23 will enable the sharing of the Court's citation data, five police RMS systems (Newport
24 Beach, Irvine, Garden Grove, Brea, and the new release of the RMS System being
25 implemented to serve the West Covina Consortium consisting of Cypress, Seal Beach
26 and others), and the Orange County Sheriffs Department RMS and LARS (Local Arrest
27 Records System, including their Mug-shot database). Search and analysis tools will be
28 acquired and deployed to allow for the flexible export of data as well as analysis within
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1 the provided toolsets. Phase 2 involves the incorporation of the approximately 17
2 additional remaining Police RMS systems and portions of the District Attorney and the
3 Probation CMS systems into the infrastructure. Phase 2 will be contracted on a work
4 order basis as agencies add their RMS system to the integration platform.
5 5. Depending upon the agreement, City may transfer to SUBGRANTEE, or
6 SUBGRANTEE shall purchase, the equipment or services as specified in Attachment B hereto, in
7 accordance with grant guidelines and in full compliance with all of the subgrantee's purchasing and
8 bidding procedures.
9 6. Throughout its useful life, SUB GRANTEE shall use any equipment acquired with grant
10 funds only for grant purposes, and shall make it available for mutual aid response.
II 7. SUB GRANTEE shall exercise due care to preserve and safeguard equipment acquired with
12 grant funds from damage or destruction and shall provide regular maintenance and such repairs for said
13 equipment as are necessary, in order to keep said equipment continually in good working order. Such
14 maintenance and servicing shall be the responsibility of sub grantee and other participating criminal
15 justice agencies, who shall assume full responsibility for maintenance and repair of the equipment
16 throughout the life of said equipment.8. If equipment acquired with grant funds becomes obsolete,
17 SUB GRANTEE shall dispose
18 of it only in accordance with the instructions of CITY or the agency from which CITY received the
19 grant funds.
20 9. Upon receipt of an invoice for a purchase of any equipment or services as specified in Attachment B,
21 SUB GRANTEE shall submit the invoice to the CITY as soon as practical, but in no event later than 30
22 days after receiving it.
23 10. SUB GRANTEE understands that the CITY shall have 60 days to reimburse
24 SUB GRANTEE upon receipt of the invoice, or longer if the Office of Homeland Security takes longer
25 to issue payment to the CITY.
26 11. By executing this Agreement, SUBGRANTEE agrees to comply with and be fully bound by
27 all applicable provisions of the Attachments hereto and shall be fully responsible for payment of items
28 purchased that do not adhere to grant guidelines.
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I 12. SUB GRANTEE agrees to indenmify, defend and save harmless CITY and the agency from
2 which CITY received grant funds, and their officers, agents and employees from any and all claims and
3 losses accruing or resulting to any and all contractors, subcontractors, laborers, and any other person,
4 firm or corporation furnishing or supplying work services, materials or supplies in connection with
5 SUBGRANTEE's performance of this Agreement, including the Attachments hereto, and from any and
6 all claims and losses accruing or resulting to any person, firm, or corporation who may be injured or
7 damaged by SUB GRANTEE in the performance of this Agreement, including the Attachments hereto.
8 13. No alteration or variation of the terms of this Agreement shall be valid unless made in
9 writing and signed by duly authorized representatives of the parties hereto, and no oral understanding or
10 agreement not incorporated herein shall be binding on any of the parties hereto.
11 14. SUB GRANTEE may not assign this Agreement in whole or in part without the express
12 written consent of CITY.
13 15. For a period of three years after final delivery hereunder or until all claims related to this
14 Agreement are finally settled, whichever is later, SUB GRANTEE shall preserve and maintain all
15 documents, papers and records relevant to the equipment acquired in accordance with this Agreement,
16 including the Attachments hereto. For the same time period, SUB GRANTEE shall make said
17 documents, papers and records available to CITY and the agency from which CITY received
18 Grant funds or their duly authorized representative( s), for examination, copying, or mechanical
19 reproduction on or off the premises of SUB GRANTEE, upon request during usual working hours.
20 16. SUBGRANTEE shall provide to CITY all records and information requested by CITY for
21 inclusion in quarterly reports and such other reports or records as CITY may be required to provide to
22 the agency from which CITY received grant funds or other persons or agencies.
23 17. CITY may terminate this Agreement and be relieved of the delivery of any consideration to
24 SUB GRANTEE if a) SUBGRANTEE fails to perform any of the covenants contained in this
25 Agreement, including the Attachments hereto, at the time and in the matter herein provided, or b) CITY
26 loses funding under the grant.
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1 18. SUBGRANTEE and its agents and employees shall act in an independent capacity in the
2 performance of this Agreement, including the Attachments hereto, and shall not be considered officers,
3 agents or employees of CITY or of the agency from which CITY received grant funds.
4 19. SUBGRANTEE and its officers, agents, employees shall abide by all applicable federal,
5 State and local laws, including all applicable statutes, regulations, executive orders and ordinances.
6 IN WITNESS WHEREOF, the parties have executed this Agreement in the City of Santa Ana,
7 County of Orange, State of California.
8 ATTEST:
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CITY OF SANTA ANA, a municipal
Corporation ofthe State of California
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David N. Ream'
City Manager
11 Patricia E. Healy
Clerk of the Council
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RECOMMENDED FOR APPROVAL:
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15 Paul M. Walters
Chief of Police
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APPROVED AS TO FORM:
SUB GRANTEE
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Bob McDonell, Chief
Newport Beach Police Department
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Pula Coleman
Assistant City Attorney
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Attachment A
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Office of Homeland Security
at
Governor's Office of Emergency Services
FY04 Urban Areas Security Initiative (VASI)
Grant Guide for Local Governments
February 24,2004
Attachment A
Table of Contents
Foreword: Director's Message to Grant Recipients...................................................................3
Part One - Grant Overview ......................................................................................................... 4
Purpose of this Grant ................. .......... ............................. ................ .......... ....... .......... ........... 4
Eligible Grant Recipients ................. .......... ................... ..... ........ ............... ......... ......... ............ 4
Purpose of this Grant Guide............. ................. ............... .............. ............. ....... ...... ............... 4
Grant Program Differences between FY03 Part II and FY04................................................. 5
Performance Period........ ................. ......... .... ......... .,. ....................... ............ ...:... ..................... 5
Matching Requirements ................ ............. ... ... ............. .................... .......... ............................ 5
Allocations and Methodologies - Overview ...........................................................................6
Urban Area Allocations ........ .... ...... .............. ..... ............ ............ ... .... ...... ....... ........... ..... ......... 7
Transit Agency Allocations. ................................. ........ ............. ................. .............. .... ..... ..... 7
Grant Recipient Responsibilities............................................................................................. 8
Applicable Laws, Regulations and Guidance Documents.................................................... 10
National Incident Management System and Incident Command System............................. 10
Due Dates for Grant Documents and Work Completion...................................................... 11
Contact Information.................................................................... .......................................... 11
Part Two - Program Specific Information ................................................................................12
Program Overview.......... ...... ................... ................ .......... ... ............ ....... ................ ............. 12
Defmition of Core City and Core County.............................................................................12
Points of Contact................................................................................................................... 12
Defmition of Urban Area ..................... ............ ........... ....... ........ .................... .......... ............. 13
Description of Transit Agency.... ............. ... ................ .................. ........... ........... .... .............. 13
Urban Area Working Group ................................................................................................. 13
Urban Areas Approval Authority Body................................................................................13
Transit Agency Coordination with Urban Area Working Group ......................................... 14
New Urban Areas - Assessment and Strategy ...................................................................... 14
Transit Agencies - Assessment and Plan .............................................................................. 15
Urban Areas Allocation of Funds ......................................................................................... 16
Transit Agencies Allocation of Funds .................................................................................. 16
Eligible Costs and Activities - Overview.............................................................................. 17
Eligible Planning Activities.... ....... ........ ........... ........ ........... ............. ...... ..... ......................... 18
Eligible Planning Costs...... ....... ......... ....... ........ ........... ............... ....... .......... ......................... 19
Eligible Equipment Activities and Costs ..............................................................................20
Eligible Training Activities. ........................ ......... ........................... ............ ....................... ... 21
Training Target Audience and Subjects................................................................................23
Approval and Reporting ofNon-ODP Sponsored Training ................................................. 23
Eligible Exercise Activities... ... .......... .......... .......... ....................... .............. .............. ........ .... 24
Eligible Exercise Costs ......... .... ........... .................. ........................... ........... ............ ......... .... 25
Exercise After Action Reports ...... .... .............. ....... ............................ ............ ....... ............. ... 26
Exercise Models, Simulations and Games............................................................................26
Eligible Management and Administration Activities ........................................................... 26
Eligible Management and Administration Costs .................................................................. 27
Unauthorized Activities and Costs............... .......... ........ ............. ....... ........... ... ... ......... ......... 28
FY04 Urban Areas Security Initiative
Page 1
Attachment A
Table of Contents, continued
Part Three - Application Requirements and Process ................................................................ 29
Application Components ....... .................... ...... ............ ...... ................. ..... ................. ....... ..... 29
Mailing Address.. ........ ............. ....... ... .................................... .... ....... ...................... .............. 29
Application Cover Sheet ............. .............. .............................. ..................... ............. ......... ... 29
Project Narrative and Budget Worksheet .............................................................................30
Eligible Projects.. .................... ................... .......................................... ...... ......... ....... ........... 30
Goveming Body Resolution ....... ......... ....... ............. ........ .... ............. ..... ............... ......... ....... 31
Grant Assurances .... ......... .................... ................. ........... ........... ................. ... ...... ......... ....... 31
Funding Distribution by Jurisdiction....... ....... ....... .... ...... ....... ............... ..... ............ ..... ......... 31
Application Due Date ...... .... ..... .... ....... ....... ........ ............. .................... .................. .... ........ ... 31
Application Assistance.......................................................................................................... 31
Application Approval..... ..... ........ .... ....... ......... ........... ... ............. .......... ............... ......... ......... 32
Conditional Approvals. ........... ............. ....... ............. ....... .... ............................ ................ ...... 32
Part Four - Performance Period Activities................................................................................33
Reimbursement of Eligible Costs ......................................................................................... 33
Duplication of Benefits ......... ................. ..... .... ..... .... ......... ........... ........... ......... ... ..... ............. 33
Changes to Scope of Work or Budget...................................................................................33
Performance Reports............................................................................................................. 34
Interest Eamings .. ........ ........ ... ............... ... ......... ........................... ....... ......... .... .............. ...... 34
Procurement Requirements... ..... ........ ....... .... ..... ........................ ........ ... ...................... .......... 35
Monitoring Grant Performance ................... .... ..... ............. ........... .......... ........................... .... 35
Record Retention Requirements .....,..... ......... .......... ..... ........................... ............ ..... ............ 35
Accessibility of Records ... ............ ............ .... ... ........................ ....... ... ....................... .... ........ 35
Freedom of Information Act (FOIA) ... .......... .... ......................... .... ... ............. ..... ........... ...... 36
Suspension or Termination. ...................... ....... .................. ............. ......... ..... ... ...... ............... 37
Part Five - Grant Closeout ........................................................................................................38
Notification of Grant Completion... ........ ......... ........................................ ............. ................ 38
Closeout Review and Notification... .................. .................... .................. '" ........ .... ........ ...... 38
Financial Reconciliation of Grant Funds ..... ...................... .......... .... ... ................ ......... ......... 38
Audit Requirements.. ...... ......... ...... ........ ...... .................. .... .................. ............... .... .............. 38
Appendix A - Authorized Equipment List................................................................................39
Appendix B - Training Classes and Approval Process............................................................. 57
Appendix C - Development of Interoperable Communications Plans...................................... 60
Appendix D - Letter Regarding Submission of Equal Employment Opportunity Plan............ 63
Appendix E - Grant Forms........................................................................................................66
Appendix F - State Homeland Security Strategy - DRAFT ..................................................... 80
Appendix G - Abbreviations and Acronyms ............................................................................82
FY04 Urban Areas Security Initiative
Page 2
Attachment A
Foreword: Director's Message to Grant Recipients
Following on the heels of a successful 2003 in which the Califomia Office of Homeland Security
distributed more than $226 million in federal homeland security funds to our state's first
responders, we are pleased to release the FY 04 Urban Area Security Initiative grant program.
Last year's UASI grant funded five urban cities in Califomia for a total of $62 million.
Recognizing that a highly populated state like Califomia has a number of urban areas, the federal
Department of Homeland Security doubled to ten the number of cities selected for this year's
UASI program. Better still, the amount of total funding awarded to the ten select cities has more
than doubled to $135.25 million. This increase in the cities selected and the funding provided
allows the state to address the unique equipment, training, planning and exercise needs of large,
high-threat urban areas.
Similar to last year's UASI program, activities must involve coordination by the identified core
city, core county, and the California Office of Homeland Security. Like last year, in an effort to
ensure that each Urban Area has as much resources as possible to address the needs and priorities
identified in the Urban Area assessment and strategy, the state is declining its option of retaining
20% of the funding. As was the case last year, it is expected that this 20% will be used for the
benefit of the Urban Area as a whole.
In addition to the funding provided to the ten Urban Areas, the FY 04 UASI program also
includes more than $5 million in funding for six mass transit authorities identified by federal
DHS. This funding is provided to enhance the security and improve the preparedness of these
selected mass transit authorities.
OHS is releasing this Grant Guide for Local Govermnents to fully explain the grant application
and performance process. In addition to this Guide, should you need further assistance we have
dedicated staff at the Office of Emergency Services who will be available to provide guidance.
You can reach OES' Grant Management Section at (916) 845-8110, or send an e-mail to
Grant.Management@oes.ca.gov.
I look forward to working with you on this and other grants. Through our combined efforts,
local first responders will be better prepared to prevent and respond to the threat of terrorism.
RONALD L. IDEN
Director
California Office of Homeland Security
FY04 Urban Areas Security Initiative
Page 3
Attachment A
Part One. Grant Overview
Purp()se oHbis
Grant
Eligible Grant
Recipients
Purpose of this
Grant Guide
The federal Department of Homeland Security (DHS) has provided funding to
California's Office of Homeland Security (OHS) through the Fiscal Year
2004 Urban Areas Security Initiative (FY04 UASI). This grant provides
funds to:
· address the unique planning, equipment, training and exercise needs of
large urban areas;
· assist urban areas in building an enhanced and sustainable capacity to
prevent, respond to and recover from threats or acts of terrorism; and,
· assist identified mass transit authorities in the protection of critical
infrastructure and emergency preparedness activities.
The following 10 urban areas (core cities) and six transit agencies are eligible
to apply for this grant:
Urban Areas
1. Los Angeles
2. San Francisco
3. Santa Ana
4. Long Beach
5. San Diego
6. Anaheim
7. San Jose
8. Sacramento
9. Oakland
10. Fresno
Transit Al!encies
I. Los Angeles Metrolink
2. San Francisco Bay Area Rapid Transit District (BART)
3. San Francisco Caltrain
4. San Jose Altamont Commuter Express (ACE)
5. Los Angeles County Metropolitan Transportation Authority
6. San Diego Coaster
This Grant Guide will provide grant recipients, and any designated agencies,
with guidance and forms to apply for, perform and closeout the FY04 UASI
grant. This Guide specifies the performance period, allocations, eligible
activities and other grant related information and requirements.
Continued on next page
FY04 Urban Areas Security Initiative
Page 4
Attachment A
Part One - Grant Overview, Continued
Grant Program
Differences
between FY03
Part II and
FY04
Performance
Period
Matching
Requirements
The major program differences between the FY03 UASI Part II and FY04
UASI programs are as follows:
. The FY04 allocation to the state is almost double that of the FY03 Part II
allocation.
. Five new urban areas and six transit agencies have been added to the
FY04 program.
. Eligible planning activities have been expanded.
. Eligible equipment within existing categories has been expanded, and new
categories have been added.
. Non-Office for Domestic Preparedness (ODP) sponsored training courses
may be eligible for reimbursement.
. Funds must be tied to measurable projects in support of the state or urban
area strategy, or the Transit Security Emergency Preparedness Plan.
The performance period for FY04 UASI is 24 months from the federal award
date; however, that date was not known at the time this Guide was published.
The performance period will be identified in the Notification of Grant
Application Approva/letter.
The state will allow grant recipients the maximum performance period
allowed by ODP. Therefore, requests for time extension cannot be
granted by the state unless the state receives an extension from ODP.
There are no cost-share or match requirements for this grant.
Continued on next page
Page 5
FY04 Urban Areas Security Initiative
Attachment A
Part One - Grant Overview, Continued
Allocations and
Methodologies -
Overview
Califomia has been allocated $141,672,927 for FY04 UASI, and is required
to subgrant at least 80% of the funds, or $113,338,342, to urban areas and
transit agencies. Like the FY 03 UASI Part II grant, however, in an effort to
ensure that each urban area has as much resources as possible to address the
needs and priorities identified in the urban area assessment and strategy, the
state is declining its option of retaining 20% of the UASI and mass transit
funding. As was the case last year, at least with regard to the UASI grants, it
is expected that the state's 20% portion will be distributed so as to benefit the
urban area as a whole. When submitting this application, all grant recipients
are requested to provide a breakdown of the funding distribution by
jurisdiction.
The federal Department of Homeland Security determined the allocations for
each of California's urban areas by using a formula based upon a combination
of current threat estimates, critical assets within the urban area and population
density. The formula was a weighted linear combination of each factor, the
result of which was ranked and used to calculate the proportional allocation of
resources. Mass transit systems eligible for participation in the FY04 UASI
program were identified using a formula based upon ridership and total route
miles. Only heavy rail and commuter rail systems were included.
At the discretion of each grant recipient, funds may be distributed between
eligible categories (planning, equipment, training, exercises, management and
administration); however, no more than 3% of the total allocation to each
grant recipient may be used for management and administration costs.
The state is prohibited from retaining any of the $113,338,342 unless
requested, in writing, from the urban area or transit agency. If requested, the
state may retain some or all of the urban area or transit agency allocation for
purchases made by the state on behalf of the urban area or transit agency. In
this situation, the state and urban area or transit agency must enter into a
Memorandum of Understanding (MOU) specifying the amount of funds to be
retained by the state.
Continued on next page
FY04 Urban Areas Security Initiative
Page 6
Attachment A
Part One - Grant Overview, Continued
Urban Area
Allocations
Urban areas allocations are:
Urban Area Allocation
I Los Anl!eles* $28.101,720
2 San Francisco* $26.325 036
3 Santa Ana $14,969 683
4 Lonl! Beach* $12.064,488
5 San Diel!o* $10,418,116
6 Anaheim $10,284 651
7 San Jose $9,923,545
8 Sacramento* $7,977,579
9 Oakland $7,808,348
10 Fresno $7,034 646
Total $134,907.812
* These urban areas were also included in the FY 03 UASI Part II grant.
Transit Agency Transit agencies allocations are:
Allocations
Transit Aeencv Allocation
I Los Anl!eles Metrolink $1,971,111
2 San Francisco Bav Area Rapid Transit District $1 612884
3 San Francisco Caltrain $795 280
4 San Jose Altamont Commuter EXPress (ACE) $795,280
5 Los Angeles County Metropolitan Transportation $795,280
Authority
6 San Diel!o Coaster $795 280
Total $6 795 115
Continued on next page
FY04 Urban Areas Security Initiative
Page 7
Attachment A
Part One - Grant Overview, Continued
Grant Following are grant recipient responsibilities:
Recipient
Responsibilities 1. Submit a grant application package to the state by Apri124, 2004.
2. New urban areas must:
a. establish an Urban Area Working Group (UA WG);
b. conduct an urban area assessment (previously collected assessment
data from the 2003 State Homeland Security Assessment and Strategy
program may be used); and,
c. develop and submit an Urban Area Homeland Security Strategy.
3. Transit agencies must:
a. conduct a Transit System Threat and Vulnerability Assessment (if not
already completed); and,
b. develop a Transit Security and Emergency Preparedness Plan (if a
current one does not exist).
4. Comply with all assurances and certifications contained in the Grant
Assurances.
5. Ifrequired, submit an Equal Employment Opportunity Plan (EEOP) to the
Department of Justice's Office of Civil Rights (OCR) in accordance with
the OCR letter dated July 29,2002 (Appendix D), with a copy of the
cover letter to OES. Grant recipients are also responsible for ensuring
that any jurisdictions receiving funds from them must also comply with
EEOP requirements.
6. Conduct threat- and performance-based exercises in accordance with
ODP's Homeland Security Exercise and Evaluation Program (HSEEP)
manuals. Once an exercise paid for with grant funds has been scheduled,
grant recipients must notifY the California Military Department (CMD) of
the date, time and location of the exercise. Such notice can be made by
calling Major Louis Millikan at (916) 826-6399 or via e-mail to
louis.millikan(alca.ngb.armv.mil. On behalf of OHS, the CMD will
maintain a web-based master schedule of all exercises occurring
throughout the state to increase communication and coordination of all
exercises.
7. Prepare After Action Reports (AARs) and Corrective Action Plans
(CAPs) for each exercise conducted with ODP support (grant funds or
direct support). These reports must be submitted to CMD within 45 days
following completion of an exercise.
Continued on next page
FY04 Urban Areas Security Initiative
Page 8
Attachment A
Part One - Grant Overview, Continued
Grant
Recipient
Responsibilities,
continued
8. Prepare performance reports for the duration of the performance period, or
until all work is completed, whichever comes first. Further reporting
details are included in Part Four - Performance Period Activities -
Performance Reports.
9. Establish and maintain property, programmatic and financial records in
accordance with the grant record requirements, and:
a. Maintain financial management systems that support grant activities in
accordance with Title 28, Code of Federal Regulations (CFR), Part
66.20, and DOJ Financial Guide, Part II, Chapter 3.
b. Maintain an equipment tracking system that includes the components
identified in 28 CFR Parts 66.32 and 66.33, and DOJ Financial Guide
Part III, Chapter 6.
c. Retain records in accordance with retention requirement contained in
Part Four - Performance Period Activities - Record Retention
Requirements.
10. Notify the state, in writing, within 30 days of completing all approved
scopes of work and disbursing all funds.
II. If changes are required after the initial grant award, submit revision
requests to the state orior to incurring the associated expenditures.
Further details are included in Part Four - Performance Period Activities -
Changes to Scope of Work or Budget.
12. Remit unexpended funds to the state after all work has been completed
and payments have been disbursed.
13. Comply with the audit requirements contained in Office of Management
and Budget (OMB) Circular A-B3, and 28 CFR Part 66.26.
Continued on next page
Page 9
FY04 Urban Areas Security Initiative
Attachment A
Part One - Grant Overview, Continued
Applicable
Laws,
Regulations
and Guidance
Documents
National
Incident
Management
System and
Incident
Command
System
Urban areas and transit agencies must ensure that local and intemal
departments are aware of the following laws, regulations and guidance
documents that apply to this grant:
· U.S.A Patriot Act, Public Laws 108-7 and 108-11
· Office of Management and Budget (OMB) Circulars A-87, A-102, A-B3
htto:/ /www.whitehouse.gov/omb/circulars/index.html
· Title 28, Code of Federal Regulations
htto:/ /www.access.goo.gov/nara/cfr/cfr-table-search.html#oage I
. DOJ OJP Office of the Comptroller, Financial Guide
www.oio.usdoi.gov/oc
· ODP WMD Training Course Catalogue htto://www.oio.usdoi.gov/odo
. DOJ Office for Civil Rights www.oio.usdoi.gov/ocr
· Federal Freedom of Information Act (5 U.S.C. Sect. 552)
http://www. usdoi. gOV /04 foia/
· Califomia Public Records Act
· P.L. 107-296, the Homeland Security Act of2002
· California's Grant Guide for Local Government www.oes.ca.gov
Grant recipients should begin utilizing the National Incident Management
System (NIMS) concepts, principles, terminology, and technologies, as they
are made available by DHS. Beginning in FY 2005, adoption ofNlMS will
be a federal requirement for receipt of future Homeland Security grant funds.
Additionally,jurisdictions and agencies should institutionalize the use of the
Incident Command System (ICS) as taught by ODP, or the National Fire
Academy, across their entire response system by the end of the two-year
performance period.
Continued on next page
FY04 Urban Areas Security Initiative
Page 10
Attachment A
Part One. Grant Overview, Continued
Due Dates for The grant due dates are:
Grant
Documeuts and
Work
Completion
Due Date
January 31,
2004
A ril 24 2004
60 days from
date on the
Application
A rovalletter
July 15*
January 15*
End of
performance
period as noted
in Application
A rovalletter
Activi
New urban areas must submit an Urban Area Homeland
Security Strategy to ODP.
Submit the com leted a lication to the state.
Submit Equal Employment Opportunity Plan, if required, to
the Department of Justice, Office of Civil Rights, with a
copy of the cover letter to the state.
For the duration of the performance period or until all grant
activities are completed and the grant is formally closed, a
performance report is due to the state by Julv 15 for the
period covering Januarv I through June 30 (or any partial
ortion of this eriod.
For the duration of the performance period or until all grant
activities are completed and the grant is formally closed, a
performance report is due to the state by J anuarv 15 for the
period covering Julv 1 through December 31 (or any partial
ortion of this eriod.
All grant activities mnst be completed and all funds
disbursed.
* A performance report template, with instructions, will be distributed to each
grant recipient prior to the deadline for any required performance report.
Contact
Information
For technical assistance throughout the application and grant performance
process, call OES' Grant Management Section at (916) 845-8110, or send an
e-mail toGrant.Managementlaloes.ca.gov .
FY04 Urban Areas Security Initiative
Page 11
Attachment A
Part Two - Program Specific Information
Program
Overview
Definition of
Core City and
Core County
Points of
Contact
The FY04 UASI program provides financial assistance to address the
unique planning, equipment, training, and exercise needs of large urban areas,
and to assist them in building an enhanced and sustainable capacity to
prevent, respond to and recover from threats or acts of terrorism. This
program also provides funding to specific mass transit authorities to address
security needs at these high risk critical infrastructure facilities and to
promote comprehensive regional planning and coordination. .
Urban areas must:
· allocate all funding in support of goals and objectives identified in their
Urban Area Homeland Security Strategy or the State Homeland Security
Strategy; and,
. take a regional metropolitan area approach to the development aild
implementation of this program by involving core cities, core counties,
contiguous jurisdictions and mutual aid partners.
Additionally, urban areas are encouraged to employ regional approaches to
planning and preparedness and to adopt regional response structures
whenever appropriate to meet the needs identified in the assessments and the
urban area strategy. It is ODP's intent to steer urban area security and
preparedness efforts toward a project-oriented process to address common,
measurable objectives.
Mass transit authorities must allocate all funding in support of their Transit
Security and Emergency Preparedness Plan developed through this program.
Allowable activities for both the urban areas and the mass transit authorities
can complement the FY04 Homeland Security Grant Program (HSGP). More
information on FY04 HSGP can be found on the OES webpage.
The core city is defined as the 10 cities to which urban area funds are
allocated. The core county is defined as the county within which the core city
is geographically located.
Points of Contact (POC) must be identified for each transit agency, and each
urban area's core city and associated core county.
Continued on next page
FY04 Urban Areas Security Initiative
Page 12
Attachment A
Part Two. Program Specific Information, Continued
Definition of
Urban Area
Description of
Transit Agency
Urban Area
Working
Group
Urban Areas
Approval
Authority Body
The state, in coordination with the urban area core city POC and the core
county POC(s), must fully define the urban area as it will apply to the FY04
UASI program. Specifically, the geographical borders of what constitutes the
urban area, including any possible contignous jurisdictions and mutual aid
partners, must be drawn and all participating jurisdictions within the border
identified. The definition of the urban area is limited to jurisdictions
contiguous to the core city and county, or with which the core city or county
have established formal mutual aid agreements.
Each transit agency m.ust describe its operating system, including the location,
infrastructure, miles oftracks, numbers of vehicles, types of service, ridership
and other important features. The agency must also provide a map and
description of the geographical borders of its system and identify the cities
and counties served.
Each urban area must have an Urban Area Working Group (VA WG). The
state, in coordination with the core city and core county POCs, will work
through the Mayors/CEOs from all other jurisdictions within the defined
urban area to identify POCs from these jurisdictions to serve on the UA WG.
The UA WG will be responsible for coordinating development and
implementation of all initiative elements, including the urban area strategy
development, the methodology for the allocation of funds (in coordination
with the state), and any direct services that are delivered by ODP. ODP
strongly encourages that, wherever possible, previously established local
working groups are leveraged for this purpose.
OHS strongly recommends that the urban areas create an Approval Authority
Body, in addition to the mandatory UA WG. The membership composition of
this Body, however, is at the joint discretion of the core city and core county.
If established, this Body should make all final determinations on any urban
area funding allocations.
Continued on next page
Page 13
FY04 Urban Areas Security Initiative
Attachment A
Part Two. Program Specific Information, Continued
Transit Agency
Coordination
with Urban
Area Working
Group
New Urban
Areas -
Assessment and
Strategy
Transit agencies located in urban areas that receive FY04 UASI grant
program funds must coordinate their emergency plans with the UA WG. A
copy of the transit agency's grant program proposal and budget plan should be
shared with the UA WG. Any training or exercises conducted with FY04
UASI Transit System Program funds should also be coordinated with the
UA WG. Sharing of information and coordination of activities is expected to
continue, at a minimum, throughout the performance period for this program.
NOTE: The transit agency must provide written concurrence that
coordination with the UA WG has occurred.
New urban areas must:
· Conduct an Urban Area Assessment. Newly identified urban areas
receiving funding under this program may use previously collected
assessment data from the 2003 State Homeland Security Assessment and
Strategy (SHSAS) program, which in turn will guide development of an
Urban Area Homeland Security Strategy.
· Develop an Urban Area Homeland Security Strategy. Newly
identified urban areas receiving funding under this program must develop
a comprehensive Urban Area Homeland Security Strategy. This strategy
must be developed jointly by all units of local government defmed as the
urban area and meet the requirements for a validated Urban Area
Homeland Security Strategy as outlined in ODP's Urban Areas Security
Initiative Administrator Handbook, which can be found at
http://www.shsasresources.com.
Note: Receipt of all funds is contingent upon submission of a validated
Urban Area Assessment and a validated Urban Area Homeland Security
Strategy. The Urban Area Homeland Security Strategies for the new
urban areas were due to ODP by January 31, 2004.
Continued on next page
FY04 Urban Areas Security Initiative
Page 14
Attachment A
Part Two. Program Specific Information, Continued
Transit
Agencies -
Assessment and
Plan
Transit agencies must:
. Conduct a Transit System Threat and Vulnerability Assessment. If
not already completed, each transit agency will be required to conduct a
threat and vulnerability assessment (TV A) which includes requirements
outlined in The Public Transportation System Security and Emergency
Guide, Chapter 5, published by the U.S. Department of Transportation's
Federal Transit Administration (FTA), and available at:
htto:/ /transit-safetv. volpe.dot. gOV IPublications/securitvlPlanningGuide. odf
For purposes of this grant, transit agencies may use the recently completed
Security Readiness Assessment conducted by the FTA. Transit agencies
may also use the vulnerability assessments that were completed during the
previous round ofUASI Transit System Security Grants. These
assessments must be available for federal and state homeland security
officials to review upon request.
As part of the UASI Program, ODP is making available technical
assistance to mass transit agency headquarters for enhancing their capacity
and preparedness to respond to weapons of mass destruction (WMD)
terrorism. This technical assistance includes provision of a project team
that can support the agency on-site in the implementation of a needs
assessment process. The overall needs assessment process is used to
identify and prioritize mass transit agency needs, according to risk,
security, and response capability. The process involves three primary
components, as follows:
I. Risk Assessment.
2. Response Capabilities Assessment.
3. Needs Assessment.
The process will result in two products:
I. Prioritization of security countermeasures and emergency response
capability needs based on terrorist threat and risk.
2. Development of a roadmap for future transit agency funding
allocations for terrorist attack risk reduction.
Continued on next page
Page 15
FY04 Urban Areas Security Initiative
Attachment A
Part Two - Program Specific Information, Continued
Transit
Agencies -
Assessment and
Plan, continued
Urban Areas
Allocation of
Funds
Transit
Agencies
Allocation of
Funds
· Develop a Transit Security and Emergency Preparedness Plan. The
transit agency must have a current (updated within the past year)
comprehensive plan that provides written policies and procedures to guide
the transit agency's activities for homeland security and emergency
preparedness. The Emergency Preparedness Plan must demonstrate that
the security program is an integrated one, and has been coordinated with
other agencies, including the UA WG (for those transit systems located in
urban areas that were recipients ofUASI funds). This plan must
be available for federal and state homeland security officials to review
upon request.
Urban areas must utilize their Urban Area Homeland Security Strategy as the
basis for allocating funds to address the prioritized needs, outlined in the
strategy's goals and objectives, in enhancing and refining the urban area's
preparedness efforts. There must be a clear correlation between the issues
identified in the Urban Area Homeland Security Strategy and FY04 VASI
activities. As stated above, when submitting the application, urban areas are
requested to provide a breakdown of the funding distribution by jurisdiction.
NOTE: At a minimum, the core city and core county, as members of the
UA WG, must provide written concurrence on the allocation of funds
provided through the FY04 UASI.
Transit agencies' allocation of funds must be based upon their Emergency
Preparedness Plan.
Continued on next page
FY04 Urban Areas Security Initiative
Page 16
Attachment A
Part Two. Program Specific Information, Continued
Eligible Costs
and Activities -
Overview
Eligible costs and activities for urban areas and transit activities are classified
into five categories:
1. Planning
2. Equipment acquisitions
3. Training
4. Exercise
5. Management and administrative (M&A).
NOTE: Other than a 3% cap on M&A funds, there are no restrictions on
allocation of funds across these categories.
Urban areas must allocate all funding in support of projects related to the
goals and objectives identified in their Urban Area Homeland Security
Strategy and the State Homeland Security Strategy.
Mass transit authorities must allocate all funding in support of projects related
to their Transit Security and Emergency Preparedness Plans developed
through this program. Funding for mass transit systems is intended to address
security needs at these high-risk critical infrastructure facilities and to
promote comprehensive regional planning and coordination.
Continued on next page
FY04 Urban Areas Security Initiative
Page 17
Attachment A
Part Two - Program Specific Information, Continued
Eligible
Planning
Activities
Eligible planning activities include:
· Establishment or enhancement of mutual aid agreements.
. Development or enhancement of emergency operations plans and
operating procedures.
· Development of terrorism prevention/deterrence plans.
· Development or enhancement of response and recovery plans.
· Development or enhancement of cyber security plans.
· Development or enhancement of cyber risk mitigation plans.
· Development of communications and interoperability protocols and
solutions.
· Coordination of citizen and family preparedness plans and programs,
including donations programs and volunteer initiatives.
· Conducting point vulnerability assessments at critical infrastructure and
development of remediation/security plans.
· Conducting cyber risk and vulnerability assessments.
· Development or enhancement of continuity of operations and continuity
of government plans. .
· Conferences to facilitate eligible planning activities, including local or
regional program implementation meetings.
Continued on next page
FY04 Urban Areas Security Initiative
Page 18
Attachment A
Part Two. Program Specific Information, Continued
Eligible Eligible planning costs include:
Planning Costs
. Regular time, overtime, Compensating Time Off (CTO) and fringe
benefits for current or newly hired full- or part-time staff to support
eligible planning activities.
- Payment of salaries and fringe benefits must be in accordance with the
policies of the grant recipient and in accordance with applicable laws
and regulations.
- Payment of overtime expenses will be for work performed by the grant
recipient in excess ofthe established work week, usually 40 hours.
Overtime payments are allowed only to the extent the payment for such
services is in accordance with the policies of the grant recipient and in
accordance with applicable laws and regulations. In no case is dual
compensation allowable. That is, an employee of a grant recipient may
not receive compensation from their unit or agency of government
AND from an award for a single period oftime (Le., 1:00 pm - 5:00
pm), even though such work may benefit both activities.
Fringe benefits on overtime hours are limited to FICA, Workers'
Compensation and Unemployment Compensation.
- CTO eamed while performing eligible activities must be cashed-out or
taken before the end of the performance period.
- NOTE: Grant funds are not for the purposes of hiring public safety
personnel.
. The cost of contractors/consultants hired to support eligible activities.
- Contracts must be executed in accordance with the grant recipient's
formal written procurement policy, and must comply with federal and
state requirements.
. Conference, workshop and meeting related expenses to support eligible
activities, including rental of spacellocations, badges and facilitation costs.
For a complete list of allowable meeting-related expenses, please review
the OJP Office of the Comptroller (OC) Financial Guide at
htto://www.ojo.usdoi.govlFinGuide.
. Materials and supplies required, expended or consumed to support eligible
activities.
. Travel costs (i.e., airfare, mileage, per diem, hotel, etc) for employees
who are on travel status for official business to support eligible activities.
These costs must be in accordance with the grant recipient's approved
travel policy.
Continued on next page
FY04 Urban Areas Security Initiative
Page 19
Attachment A
Part Two - Program Specific Information, Continued
Eligible
Equipment
Activities and
Costs
Eligible equipment activities and costs include purchasing the following types
of equipment and related costs:
I. Personal Protective Equipment (PPE)
2. Explosive Device Mitigation and Remediation Equipment
3. CBRNE Search and Rescue Equipment
4. Interoperable Communications Equipment
5. Detection Equipment
6. Decontamination Equipment
7. Physical Security Enhancement Equipment
8. Terrorism Incident Prevention Equipment
9. CBRNE Logistical Support Equipment
10. CBRNE Incident Response Vehicles
11. Medical Supplies and Limited Types of Pharmaceuticals
12. CBRNE Reference Materials
13. Agricultural Terrorism Prevention, Response and Mitigation Equipment
14. CBRNE Response Watercraft
15. CBRNE Aviation Equipment
16. Cyber Security Enhancement Equipment
17. Intervention Equipment
18. Other Authorized Equipment and Related Costs
A complete list of authorized equipment purchases and other related costs can
be found in Appendix A, Authorized Equipment List. If grant recipients have
questions about the eligibility of equipment not specifically addressed in
Appendix A, contact OES' Grant Management Section at (916) 845-8110 or
grant.management(aloes.ca.fl:ov .
All equipment acquired or maintain under this grant program must be made
available for mutual aid, as set forth in the Grant Assurances.
Sustainment, maintenance and training in the use of equipment procured
using these grant funds should be addressed in the urban area homeland
security strategy.
Continued on next page
FY04 Urban Areas Security Initiative
Page 20
Attachment A
Part Two. Program Specific Information, Continued
Eligible
Training
Activities
Eligible training activities include:
. Establishment of CBRNE and cyber security training programs within
existing training academies, universities or junior colleges.
. Attendance at ODP-sponsored and/or approved CBRNE and cyber
security training courses.
. Backfill behind employees attending ODP-sponsored or approved
courses.
. Planning and conducting training workshops, conferences and training
projects.
. Training plan development.
. Design, develop, conduct and evaluate CBRNE training.
Continued on next page
FY04 Urban Areas Security Initiative
Page 21
Attachment A
Part Two - Program Specific Information, Continued
Eligible Eligible training costs include:
Training Costs
. Overtime, OT CTO and OT fringe benefits for emergency preparedness and
response personnel attending ODP-sponsored or ODP approved training classes.
- Payment of overtime expenses will be for work perfonned by the grant
recipient in excess of the established work week, usually 40 hours. Overtime
payments are allowed only to the extent the payment for sucb services is in
accordance with the policies of the grant recipient and in accordance with
applicable laws and regulations. In no case is dual compensation allowable.
That is, an employee of a grant recipient may not receive compensation from
their unit or agency of government AND from an award for a single period of
time (i.e., I :00 pm - 5:00 pm), even though such work may benefit both
activities.
Fringe benefits on overtime hours are limited to FICA, Workers'
Compensation and Unemployment Compensation.
CTO earned while perfonning eligible activities must be cashed-out or
taken before the end of the perfonnance period.
. Backfill behind those attending ODP-sponsored or ODP approved training
classes.
. Regular time, overtime, CTO and fringe benefits for current or newly hired full-
or part-time staff to support eligible training activities.
Payment of salaries and fringe benefits must be in accordance with the
policies of the grant recipient and in accordance with applicable laws and
regulations..
- See the overtime, OT CTO and OT fringe benefit infonnation listed above.
. The cost of contractors/consultants hired to support eligible activities.
Contracts must be executed in accordance with the grant recipient's fonnal
written procurement policy, and must comply with federal and state
requirements.
. Conference, workshop and meeting related expenses to support eligible
activities, including rental of space/locations, badges and facilitation costs. For a
complete list of allowable meeting-related expenses, please review the OJP
Office of the Comptroller (OC) Financial Guide at
http://www.oip. usdoi. gov/FinGuide.
· Materials and supplies required, expended or consumed during the course of
conducting eligible activities (i.e., copying paper, gloves, tape and non-sterile
masks).
. Travel costs (i.e., airfare, mileage, per diem, hotel, etc) for employees who are
on travel status for official business related to conducting eligible activities, or
for attending ODP-sponsored or ODP approved courses. These costs must be in
accordance with the grant recipient's approved travel policy.
Continued on next page
FY04 Urban Areas Security Initiative
Page 22
Attachment A
Part Two - Program Specific Information, Continued
Training
Target
Audience and
Subjects
Approval and
Reporting of
Non-ODP
Sponsored
Training
The target audience for training courses funded must be emergency
preparedness, prevention and response personnel, emergency managers and
public/elected officials within the following disciplines:
. firefighting
. law enforcement
. emergency management
. hazardous materials
. public works
. public health
. health care
. emergency medical services
. public safety communications
. governmental administrative
. cyber security
. private security providers
Awareness training for citizen preparedness is also allowable.
See Appendix B, Training Classes and Approval Process, for ODP awareness
and performance level courses that grant recipients are encouraged to adopt,
and recommended subjects for other eligible courses.
Grant recipients who wish to use grant funds to support attendance at and/or
development ofnon-ODP sponsored training, must receive approval from the
state prior to using funds for non-ODP sponsored training. See Appendix B,
Training Classes and Approval Process, for the process to obtain approval of
non-ODP sponsored training.
Grant recipient using these funds to develop their own courses should address
the critical training areas and gaps identified in the Urban Area Homeland
Security Strategy or the Transit Security and Emergency Preparedness Plan.
Grant recipients using funds to develop courses or to attend non-ODP courses
will be required to report the number of individuals trained, by discipline and
course level, in their performance reports.
Continued on next page
Page 23
FY04 Urban Areas Security Initiative
Attachment A
Part Two - Program Specific Information, Continued
Eligible
Exercise
Activities
Eligible exercise activities include:
· Planning, designing, developing, conducting, participating in and
evaluating exercises and projects that train homeland security
preparedness, prevention and response personnel.
· Evaluating prevention and response plans, policies, procedures and
protocols.
· Assessing the readiness of jurisdictions to prevent and respond to a
terrorist attack.
· Planning, conducting and participating in an Exercise Planning
Workshop.
· Setting up and maintaining a system to track the completion and
submission of After Action Reports, the implementation of corrective
actions from exercises, and meeting with local units of government to
define procedures.
Exercises must be threat and performance-based, in accordance with ODP's
Homeland Security Exercise and Evaluation Program (HSEEP) manuals.
These manuals provide explicit direction on the design, conduct, and
evaluation of terrorism exercises. Exercises conducted with ODP support
(grant funds or direct support) must be managed and executed in accordance
with HSEEP. See www.oio.usdoi.gov/odo/exercises/state.htm .
The date, time and location of any exercise to be conducted with grant funds
must be given to the CMD at the time such exercise is initially scheduled.
This information can be given to the CMD by calling Major Louis Millikan at
(916) 826-6399 or e-mailinglouis.millikanlalca.ngb.armv.mil. On behalf of
OHS, the CMD will maintain a web-based master schedule of all state and
local exercises occurring in the state to improve the communication and
coordination of such exercises.
Continued on next page
FY04 Urban Areas Security Initiative
Page 24
Attachment A
Part Two. Program Specific Information, Continued
Eligible Eligible exercise costs include:
Exercise Costs
o Backfill behind those who are designing, developing and conducting
CBRNE exercises.
o Regular time, overtime, CTO and fringe benefits for current or newly
hired full- or part-time staff to support eligible exercise activities.
- Payment of salaries and fringe benefits must be in accordance with the
policies of the grant recipient and in accordance with applicable laws
and regulations.
Payment of overtime expenses will be for work performed by the grant
recipient in excess ofthe established work week, usually 40 hours.
Overtime payments are allowed only to the extent the payment for
such services is in accordance with the policies of the grant recipient
and in accordance with applicable laws and regulations. In no case is
dual compensation allowable. That is, an employee of a grant
recipient may not receive compensation from their unit or agency of
government AND from an award for a single period oftiriJe (i.e., 1:00
pm- 5:00 pm), even though such work may benefit both activities.
Fringe benefits on overtime hours are limited to FICA, Workers'
Compensation and Unemployment Compensation.
CTO earned while performing eligible activities must be cashed-out or
taken before the end of the performance period.
o The cost of contractors/consultants hired to support eligible activities.
- Contracts must be executed in accordance with the grant recipient's
formal written procurement policy, and must comply with federal and
state requirements.
o Meeting related expenses to support eligible activities, including rental of
space/locations for planning and conducting exercises, signs, badges,
facilitation costs, etc. For a complete list of allowable meeting-related
expenses, please review the OJP Office of the Comptroller (OC) Financial
Guide at htto://www.oiv.usdoLgov/FinGuide .
o Materials and supplies that are required, expended or consumed to support
eligible exercise activities (Le., copying paper, gloves, tape and non-sterile
masks).
0- Travel costs (Le., airfare, mileage, per diem, hotel, etc) for employees
who are on travel status for official business related to eligible exercise
activities. These costs must be in accordance with the grant recipient's
approved travel policy.
Continued on next page
FY04 Urban Areas Security Initiative
Page 25
Attachment A
Part Two. Program Specific Information, Continued
Exercise After
Action Reports
Exercise
Models,
Simulations
and Games
Eligible
Management
and
Administration
Activities
After Action Reports (AAR) must be provided to the Califomia Military
Department (CMD) within 45 days following the completion of each
exercise. The CMD is the point of contact for questions and concems
regarding implementation of the HSEEP. Grant recipients may contact the
CMD's Major Louis Millikan at (916) 826-6399, or Chief Warrant Officer
Dan Shemenski at (916) 826-5152, or e-mail
WMDExerciseslaJ,ca.ngb.armv.mil .
After Action Reports should be mailed to:
Califomia Military Department
Attn: Major Louis Millikan
9800 Goethe Road Box 56
Sacramento, CA 95827-3563
Grant recipients that wish to expend funds on models, games, or simulations
must consult with "Review of Models, Simulations, and Games for Domestic
Preparedness Training and Exercising, Volume I," which provides an
overview and analysis of existing models, games and simulations. This report
is available at www.oio.usdoi.gov/odo/exercises/state.htm .
Eligible management and administration activities include:
· Management of the FY04 VASI grant.
· Implementation and administration of the Urban Area Homeland Security
Strategy or the Transit Security and Emergency Preparedness Plan.
· Acquisition of authorized office equipment.
- Authorized office equipment includes personal computers, laptop
computers, printers, LCD projectors, and other equipment or software
which may be required to support the implementation of the urban
area strategy or transit agency security and emergency preparedness
plan.
Continued on next page
FY04 Urban Areas Security Initiative
Page 26
Attachment A
Part Two. Program Specific Information, Continued
Eligible
Management
and
Administration
Costs
Eligible management and administration (M&A) costs include:
. Regular time, overtime, CTO and fringe benefits for current or newly
hired full- or part-time staff to support eligible M&A activities.
- Payment of salaries and fringe benefits must be in accordance with the
policies of the grant recipient and in accordance with applicable laws
and regulations.
- Payment of overtime expenses will be for work performed by the grant
recipient in excess of the established work week, usually 40 hours.
Overtime payments are allowed only to the extent the payment for
such services is in accordance with the policies of the grant recipient
and in accordance with applicable laws and regulations. In no case is
dual compensation allowable. That is, an employee of a grant
recipient may not receive compensation from their unit or agency of
government AND from an award for a single period of time (Le., 1:00
pm - 5:00 pm), even though such work may benefit both activities.
- Fringe benefits on overtime hours are limited to FICA, Workers'
Compensation and Unemployment Compensation.
- CTO earned while performing eligible activities must be cashed-out or
taken before the end of the performance period.
. The cost of contractors/consultants hired to support eligible activities.
- Contracts must be executed in accordance with the grant recipient's
formal written procurement policy, and must comply with federal and
state requirements.
. Meeting related expenses to support eligible activities, including rental of
space/locations, facilitation costs, etc. For a complete list of allowable
meeting-related expenses, please review the OJP Office of the
Comptroller (OC) Financial Guide at htto://www.oio.usdoLl!ov/FinGuide.
. The cost of authorized office equipment, as previously described.
. Leasing and/or renting of space for newly hired personnel to administer
the FY04 UASI.
. Materials and supplies that are required, expended or consumed during the
course of administering the FY04 UASI.
. Travel costs (Le., airfare, mileage, per diem, hotel, etc) for employees who
are on travel status for official business related to the M&A of FY04
VASI. These costs must be in accordance with the grant recipient's
approved travel policy.
NOTE: No more than 3% of each urban area and transit agency allocation
may be used for M&A purposes.
Continued on next page
Page 27
FY04 Urban Areas Security Initiative
Attachment A
Part Two. Program Specific Information, Continued
Unauthorized
Activities and
Costs
Unauthorized activities and costs include:
. Purchasing general-use:
- software (word processing, spreadsheet, graphics, etc.);
- computers (other than for allowable M&A activities, or otherwise
associated preparedness or response functions) and rel~ted equipment;
and,
- vehicles.
. Licensing fees.
. Weapons systems and ammunition.
· Activities unrelated to the completion and implementation of the FY04
UASI program.
. Construction or renovation of facilities.
· Other items not in accordance with the Authorized Equipment List or
previously listed as allowable costs.
FY04 Urban Areas Security Initiative
Page 28
Attachment A
Part Three. Application Requirements and Process
AppUcation
Components
The application must include the following items:
. Application Cover Sheet
. Project Narrative and Budget Worksheet*
. Grant Assurances and Governing Body Resolution
NOTE: The five urban areas that participated in FY03 UASI Part II
need not file new Assurance and Resolution forms if the ones on file with
OES are current.
. Funding Distribution by Jurisdiction
. Additional items for urban areas:
- core city and core county POCs;
- definition of the urban area; and,
- UA WG member information.
. Additional items for transit agencies:
POC for the transit agency; and,
- description of the transit agency.
All forms can be found in Appendix E.
* The Project Narrative and Budget Worksheet is an EXCEL spreadsheet and
must be completed and submitted to the state on CD or e-mailed as an
attachment to Grant.Managementlaloes.ca.gov .
Mailing
Address
All application components must be mailed to:
Governor's Office of Emergency Services
Grant Management Section
Post Office Box 419023
Rancho Cordova, CA 95741-9023
AppUcation
Cover Sheet
Fill in all requested information on the Application Cover Sheet, have it
signed by the Authorized Agent, and mail it to the address shown above.
Continued on next page
FY04 Urban Areas Security Initiative
Page 29
Attachment A
Part Three - Application Requirements and Process, Continued
Project
Narrative and
Budget
Worksheet
Eligible
Projects
The federal Department of Homeland Security is developing an EXCEL
worksheet that must be used to apply for FY04 UASI. The final version of
the worksheet, with instructions, was not available when this Guide was
published, therefore, a DRAFT version of the worksheet is available on OES'
web site. The final version of the worksheet and instructions will be posted at
www.oes.ca.gov as soon as they are made available by federal DHS.
Applications submitted on the DRAFT form will not be accepted.
In the past, ODP's homeland security related applications required that both
the state and grant recipients provide a Program Narrative generally
describing the type of activities that would be undertaken with grant funds.
Additionally, grant recipients were required to submit a Budget Detail
Worksheet which identified specific pieces of equipment that would be
purchased with grant funds.
For the FY04 UASI, using the Project Narrative and Budget Worksheet, core
cities and transit agencies will be required to identify a maximum of 20
specific projects to be completed with UASI funds. For each project, the
core cities and transit agencies must identifY:
. The goals and objectives in the Urban Area Homeland Security Strategy,
Transit Security and Emergency Preparedness Plan or State Homeland
Security Strategy" supported by the project.
· The solution area (planning, training, exercises, etc) and solution area
sub-category (eligible activities) under which project work will be
performed.
· The value of funding, goods and services provided to each discipline by
solution area for the project.
NOTE: The 20 project maximum is for the transit agency's and core city's
application as a whole, including all jurisdictions within the urban area.
" The final version of the State Homeland Security Strategy was not
available when this Guide was published, therefore, a DRAFT version of the
Strategy has been included in this Guide. The final version of the Strategy
will be posted at www.oes.ca.gov as soon as it has been approved by federal
DHS.
Continued on next page
FY04 Urban Areas Security Initiative
Page 30
Attachment A
Part Three. Application Requirements and Process, Continued
Governing
Body
Resolution
Grant
Assurances
Funding
Distribution by
Jurisdiction
Application
Due Date
Application
Assistance
The Goveming Body Resolution appoints agents authorized to execute any
actions necessary under this grant. All six transit agencies and the five new
urban areas must submit a Resolution. The Governing Body Resolution does
not have to be submitted with the application, however, no payments can be
made until a valid Resolution has been received by OES.
NOTE: The five urban areas that participated in FY03 UASI Part II need not
file a new Resolution form so long as the one on file with OES is current.
The Grant Assurances form lists the requirements to which each core city and
transit agency will be held accountable. All six transit agencies and the five
new urban areas must submit an Assurances form. The Grant Assurances do
not have to be submitted with the application, however, no payments can be
made until the Grant Assurances have been received by OES.
NOTE: The five urban areas that participated in FY03 UASI Part II need not
file a new Assurances form so long as the one on file with OES is current.
Grant recipients must identify funding distribution by jurisdiction. Each core
city and transit agency must indicate the amount of funds distributed from
their allocation to other jursidictions.
Applications are due to the state by April 24, 2004. The hard copy documents
should be mailed to the address previously shown. The EXCEL spreadsheet
can be sent on a CD with the other hard copy documents, or it can be e-
mailed to Grant.Management@oes.ca.gov. Incomplete applications will not
be approved.
The state will work closely with the core cities and transit agencies
throughout the application process to ensure that the application meets grant
requirements. Contact OES' Grant Management Section at (916) 845-8110
or Grant.Management@OES.ca.gov for assistance.
Continued on next page
Page 31
FY04 Urban Areas Security Initiative
Attachment A
Part Three. Application Requirements and Process, Continued
Application
Approval
Grant recipients will be notified, in writing, of the approved application,
award amount and performance period.
Conditional
Approvals
Grant recipients will be notified, in writing, if a proposed project is
conditionally approved, subject to further review. Work can begin on the
project after the grant recipient has received written notice from the state
indicating that the condition(s) have been removed.
FY04 Urban Areas Security Initiative
Page 32
Attachment A
Part Four - Performance Period Activities
Reimbursement
of Eligible
Costs
Duplication of
Benefits
Changes to
Scope of Work
or Budget
FY04 UASI funds will be disbursed on a reimbursement basis, by project,
using the Reimbursement Request form included in Appendix E.
Core cities and transit agencies are strongly encouraged to submit
reimbursement requests as soon as costs have been incurred which includes
when a vendor invoice has been received. In last year's grant, there was
confusion about the reimbursement process. In particular, some grant
recipients were under the impression that they must first purchase items with
their own funds before seeking reimbursement. Instead, an invoice from a
particular vender is sufficient for purchasing jurisdictions to request
reimbursement from OES. For questions about the reimbursement process
please contact OES' Grant Payments Unit at (916) 845-8110.
The cost of employee labor and expenses has been incurred as soon as the
time has been worked or the expense has been paid. Vendor costs have been
incurred when the purchasing jurisdiction has received the vendor's invoice
for payment. Encumbrances, purchase orders or signed contracts. do not
qualify as incurred costs.
NOTE: Payments can only be made if the grant recipient has the following
documents on file with DES:
. Approved Application.
. Valid Governing Body Resolution.
. Valid Grant Assurance.
In no case is a duplication of benefits allowable. That is, a single cost may
not be reimbursed under more than one grant.
All changes to the approved scope of work or budget must be submitted to
OES and approved by OHS. Revisions must be requested in writing and
approved Drior to initiating the revised scope of work or incurring the
associated costs. These changes can be requested as part of the performance
report process; however, grant recipients are not precluded from submitting
revision requests at any time.
Failure to submit revision requests and receive approval prior to expenditure
could result in a reduction or disallowance of that part of the grant.
Continued on next page
Page 33
FY04 Urban Areas Security Initiative
Attachment A
Part Four - Performance Period Activities, Continued
Performance
Reports
Grant recipients must prepare and submit performance reports to the state for
the duration of the grant period, or until all grant activities are completed and
the grant is formally closed, whichever comes first. The reports must include
the status of all projects, as well as other requested information and data, and
are due as follows:
· Reporting Period January 1 through June 30 - due by July 15
· Reporting Period July 1 through December 31 - due by January 15
A performance report template, with instructions, will be distributed under
separate cover prior to the deadline for the report. Failure to submit
performance reports could result in grant reduction, termination or
suspension.
Interest
Earnings
In accordance with Title 28, Code of Federal Regulations, Part 66.21, and
DOJ Financial Guide, Part III, Chapter 1, any interest eamed, in excess of
$100 per federal fiscal year, must be remitted quarterly to:
United States Department of Health and Human Services
Division of Payment Management Services
P.O. Box 6021
Rockville, MD 20852
NOTE: The transmittal letter included with the check should indicate that
the core city or transit agency is retuming interest earned on FY04 UASI
funds.
A copy of the transmittal letter should be sent to:
Govemor's Office of Emergency Services
Attn: Accounting Office/Federal Unit
Post Office Box 419047
Rancho Cordova, CA 95742-9047
Additionally, interest eamings must be reported on the grant recipient's
performance report submitted to the state.
Continued on next page
FY04 Urban Areas Security Initiative
Page 34
Attachment A
Part Four. Performance Period Activities, Continued
Procurement
Requirements
Monitoring
Grant
Performance
Record
Retention
Requirements
Accessibility of
Records
Core cities and transit agencies must follow their own procurement
requirements as long as they meet the federal requirements at a minimum.
Federal procurement requirements for this grant can be found in;
. OMB Circular A-102;
. Title 28, CFR, Part 66.36; and,
. DOJ Financial Guide, Part III, Chapter 10.
The state may perform periodic reviews of the grant recipient's grant
performance, including on-site visits. These reviews may include, but are not
limited to:
. Comparing actual grant activities to those approved on the Project
Narrative and Budget Worksheet.
. Confirming compliance with:
- Grant Assurances;
- Information provided on the performance reports;
- Urban Area Homeland Security Strategies; and,
- Transit Security and Emergency Preparedness Plans.
Record retention requirements differ for property records vs. all other grant
records. Refer to the following for specific requirements:
. Title 28, CFR, Part 66.42
. DOJ Financial Guide, Part III, Chapters 6 and 12
In the Grant Closeout letter, the state will notify the grant recipient of the
start of the record retention period for grant related records.
The federal Department of Homeland Security, the DHS Office of Inspector
General, the Comptroller General of the United States, OHS, OES and any of
their authorized representatives, shall have the right of access to any books,
documents, papers, or other records which are pertinent to the grant, in order
to make audits, examinations, excerpts and transcripts. The right of access is
not limited to the required retention period but shall last as long as the records
are retained. Refer to 28 CFR 66.42 and DOJ Financial Guide, Part III,
Chapter 12 for more information about accessibility of records.
Continued on next page
Page 35
FY04 Urban Areas Security Initiative
Attachment A
Part Four - Performance Period Activities, Continued
Freedom of
Information
Act (FOIA)
The state recognizes that much of the information submitted in the course of
applying for funding under this grant, or provided in the course of its grant
management activities, may be considered law enforcement sensitive or
otherwise important to national security interests. This may include threat,
risk, and needs assessment information, and discussions of demographics,
transportation, public works, and industrial and public health infrastructures.
While this information is subject to requests made pursuant to the Freedom of
Information Act,S U.S.C. Sect. 552 (FOIA), and Califomia's Public Records
Act, all determinations concerning the release of information of this nature
will be made on a case-by-case basis by the state, and may fall within one or
more of the available exemptions under the Act.
Grant recipients are encouraged to consult their own local laws and
regulations regarding the release of information, which should be considered
when reporting sensitive matters in the grant application, needs assessment
and strategic planning process.
NOTICE: The details of the grant application will be subject to the
provisions of the Califomia Public Records Act (Governmental Code Section
6250 et seq.). This means that all, or part, of the application may be publicly
disclosed. While the state will make every effort to protect sensitive
information, it is imperative that the grant application does not contain
information that constituent jurisdictions or agencies believe are confidential.
The grant recipient's failure to protect such information from disclosure may
jeopardize the safety and security of the people of the State ofCalifomia. For
example, do not specifically identity potential targets, locations, and their
vulnerabilities if this information is not already public knowledge. While
bridges and shopping malls are well known, key distribution points of
petroleum products and data storage facilities are not.
Write the grant application with the expectation that it may be made publicly
available. If there are any questions about the inclusion of sensitive
information in the preparation of the application, contact the Office of
Homeland Security at (916) 324-8910.
Continued on next page
FY04 Urban Areas Security Initiative
Page 36
Attachment A
Part Four. Performance Period Activities, Continued
Suspension or
Termination
The state may suspend or terminate core city or transit agency funding, in
whole or in part, or other measures may be imposed, for any of the following
reasons:
. Failing to comply with the requirements or statutory objectives of federal
or state law.
. Failing to make satisfactory progress toward the goals or objectives set
forth in the grant recipient's application.
. Filing to follow grant agreement 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.
. Failing to submit required reports.
. Filing a false certification in the application or other report or document.
Before taking action, the state will provide the core city or transit agency
reasonable notice of intent to impose measures and will make efforts to
resolve the problem informally.
FY04 Urban Areas Security Initiative
Page 37
Attachment A
Part Five - Grant Closeout
Notification of
Grant
Completion
Closeout
Review and
Notification
Financial
Reconciliation
of Grant Funds
Audit
Requirements
The grant recipient must submit a written notification to the state within 30
days of the completion of all approved work and disbursement of all funds.
The state will review the grant recipient's fmal performance report for
compliance with all grant conditions. After compliance has been verified, the
state will notify the grant recipient of the grant closure and record retention
requirements.
If the final performance report indicates that the grant recipient:
· is owed additional funds, the state will send the final payment
automatically to the grant recipient.
· did not use all funds received, the state will issue an Invoice to recover
unused funds.
Grant recipients, and any other agencies to which they sub grant funds, must
comply with the audit requirements contained in OMB Circular A-133 and
Title 28, CFR, Part 66.26.
FY04 Urban Areas Security Initiative
Page 38
Attachment A
Appendix A . Authorized Equipment List
1. Personal Protective Equipment - Equipment worn to protect the individual from hazardous
materials and contamination. Levels of protection vary and are divided into categories based on
the degree of protection afforded.
Sub Cate~orv Deserlntlon
Fully Encapsulated Liquid and Vapor Ensemble, reusable or disposal (tested and
Level A certified aoainst CB Ihreats)
evelA Fullv Encaosulated Trainin~ Suits
Level A Closed-Circuit Rebreather (minimum 2-hour sunnlv nreferred)
Level A IOnen-circuit SCBA or (when annronriate)
Level A Soare CvlindersIBottles for rebreathers
Level A SCBA and Service Renair Kits
Level A Chemical Resistant Gloves including thennal as annronriate to hazard
Level A Enuinment needed for maintainina bodv core temoeralure within aeceotable limits: Vest
Equipment needed for maintaining body core temperature within acceptable limits: Full
evelA Suit
Level A Chemical Resistant Boots, Steel or Fibemlass Toe and Shank
Level A Hardhat
Level A ChemicallBiololrical Protective Unden>:arment (fire resistant ontional)
Level A Inner oloves
Level A Annroved Chemical Resistant Tane
Level A Chemical Resistant Outer Booties
Level A Air-Line Svstem with 15-minute escaoe SCBA
evelB Linuid Snlash Resistant Chemical Clothing, encansulated or non-encansulated
Level B Chemical Resistant Gloves, inc1udina thennal as aourooriate to hazard
Level B Closed-Circuit Rebreather (minimum 2-hour sunnlv nreferred)
Level B Soare CvlindersIBottles for rebreathers
Level B IRenair Kit
Level B Eouioment needed for maintainina bodv core temoeralure within acceotable limits: Vest
Equipment needed for maintaining body core temperalure within acceptable limits: Fnll
evelB Suit
cevel B Chemical Resistant Boots, Steel or Fiberalass Toe and Shank
l.,evelB Linuid Snlash Resistant Hood
Level B Onen-circuit SCBA
Level B Air-Line Svstem with 15-minute escaoe SCBA
Level B Hardhat
Level B ChemicallBiolooical Protective Undergannent (fire resistant ontionai;
Level B Inner oloves
Level B Aooroved Chemical Resistant Taoe
evelB Chemical Resistant Outer Booties
Continued on next page
FY04 Urban Areas Security Initiative
Page 39
Attachment A
Appendix A . Authorized Equipment List, Continued
1. Personal Protective Equipment, continued
Sub Cateeory Description
Level C Liquid Chemical Splash Resistant Clothing Inenneable or non-penneable)
Level C Chemical Resistant Gloves, including thermal as appropriate to hazard
Tight-fitting, full facepiece, negative pressure air purifying respirator with the
appropriate cartridge(s) or canister(s) and PI 00 filter( s) for protection against toxic
Level C 'ndustrial chemicals, particulates, andmilitarv soecific agents.
Level C lPersonal Coolin~ System vest or full suit with suooort equipment: Vest
Level C Personal Coolin~ System, vest or full suit with support equipment: Suit
Level C Chemical Resistant Boots, Steel or Fiberglass Toe and Shank
Level C Liouid Chemical Splash Resistant Hood luenneable or non-permeable)
right-fitting, full facepiece, powered air purifying respirator (P APR) or P APR with
chemically resistant hood with appropriate cartridge(s) or canister(s) and high-efficiency
filter(s) for protection against toxic industrial chemicals, particulates, and military
Level C soecific agents.
Batteries - rechargeable (e.g. NiCAD) or non-rechargeable with extended shelf life (e.g.
Level C Lithium)
!Level C Hardhat
Level C ChemicallBiological Protective Under~arment (fire resistant ootional)
Level C Inner gloves
Level C Chemical Resistant Tape
Level C Chemical Resistant Outer Booties
Circuit Rebreather (minimum 2-hour supply, preferred), open-circuit SCBA, or when
Level C lapprooriate Air-Line Svstem with IS-minute minimum escape SCBA
Level C SCBA Service and renair kits .
Level C Soare cvlinderlbottles for rebreathers or SCBA
Level D Escaoe mask for self-rescue
During CBRNE response operations, the incident commander determines the appropriate level of
personal protective equipment. As a guide, Levels A, B, and C are applicable for chemical/
biological/radiological contaminated environments. Personnel entering protective postures must
undergo medical monitoring prior to and after entry. All SCBAs must meet standards
established by the National Institute for Occupational Safety and Health (NIOSH) for
occupational use by emergency preparedness and response personnel when exposed to Chemical,
Biological, Radiological and Nuclear (CBRN) agents in accordance with Special Tests under
NIOSH 42 CFR 84.63(c), procedure number RCT-CBRN-STP-0002, dated December 14,2001.
Grant recipients must purchase: I) protective ensembles for chemical and biological terrorism
incidents that are certified as compliant with Class 1, Class 2, or Class 3 requirements of
Continued on next page
FY04 Urban Areas Security Initiative
Page 40
Attachment A
Appendix A . Authorized Equipment List, Continued
National Fire Protection Association (NFP A) 1994, Protective Ensembles for
ChemicallBiological Terrorism Incidents; 2) protective ensembles for hazardous materials
emergencies that are certified as compliant with NFP A 1991, Standard on Vapor Protective
Ensembles for Hazardous Materials Emergencies, including the chemical and biological
terrorism protection; 3) protective ensembles for search and rescue or search and recovery
operations where there is no exposure to chemical or biological warfare or terrorism agents and
where exposure to flame and heat is unlikely or nonexistent that are certified as compliant with
NFPA 1951, Standard on Protective Ensemble for USAR Operations; and, 4) protective clothing
from blood and body fluid pathogens for persons providing treatment to victims after
decontamination that are certified as compliant with NFPA 1999, Standard on Protective
Clothing for Emergency Medical Operations. For more information regarding these standards,
please refer to the following web sites: The National Fire Protection Association -
httD://www.nfoa.org National Institute for Occupational Safety and Health-
httD://www.cdc.gov/niosh .
2. Explosive Device Mitigation and Remediation - Equipment providing for the mitigation and
remediation of explosive devices in a CBRNE enviromnent
Sub Cate 0
itigation and
emediation
itigation and
emediation
. tigation and
emediation
Descr! tion
omb Search Protective Ensemble for ChemicallBiolo
hemicallBiolo ical Under arment For Bomb Search Protective Ensemble
Coolin Garments to mana e heat stress
ression
allistic Threat Helmet not for riot su ression
last and Ballistic Threat E e Protection not for riot su ression
last and Ove ressure Threat Ear Protection not for riot su ression
eal Time X-Ra Unit
. tigation and
Remediation
Portable X-Ra Unit
Continued on next page
FY04 Urban Areas Security Initiative
Page 41
Attachment A
Appendix A - Authorized Equipment List, Continued
2. Explosive Device Mitigation and Remediation, continued
Sub Cate or
Mitigation and
emediation
itigation and
Remediation
Mitigation and
Remediation
Mitigation and
emediation
Mitigation and
emediation
Mitigation and
Remediation
Descrl lion
TCV
WMD U rades for existin TCV
obot
Robot U rades
ents, standard or air inflatable for chemlbio rotection
Ins ection mirrors
on Track Ex losive Detector
lanket, Bomb Su ression Blanke ex losive devices blanket
3. CBRNE Search and Rescue Equipment - Equipment providing a technical search and
rescue capability for a CBRNE environment.
Sub Cate 0
CBRNE Technical
E ui ment
Descri tion
istenin Devices
Search cameras includin thermal ima 'n
Blockin and bracin materials
Evacuation chairs for evacuation of disabled ersonnel
Continued on next page
FY04 Urban Areas Security Initiative
Page 42
Attachment A
Appendix A . Authorized Equipment List, Continued
3. CBRNE Search and Rescue Equipment, continued
Sub Cate or
CBRNE Technical
E ui ment
CBRNE Technical
E ui ment
CBRNE Technical
E ui ment
Descr! tion
Ventilation fans
Confined S ace Kits such as MSA Watchman
nderwater equipment including: lights, metal detectors, communication and video units,
lift bags, water rescue helmets, ice hooks, buoyancy compensator, and underwater
scooter/DPV
4. Interoperable Communications Equipment - Equipment and systems providing
connectivity and electrical interoperability between local and interagency organizations to
coordinate CBRNE response operations. When utilizing ODP program funds in the category of
Interoperable Communications Equipment to build, upgrade, enhance, or replace
communications systems, core cities and transit agencies should develop a comprehensive
interoperable communications plan before procurement decisions are made. Guidance for
development of interoperable communications plans is provided in Appendix C.
Sub Cate 0
Interoperable
CommWlications
E ui ment
teroperable
Communications
E ui ment
Interoperable
Communications
E ui ment
Interoperable
Communications
E ui ment
De.er! lion
er.onnel Alert Safety System (PASS) - (location and physiological monitoring systems
o tional
ortable Meteorological Station (monitors temperature, wind speed, wind direction and
arometric ressure at a minimum
Commerciall available crisis mana ement software
tenna and tower s stems
Continued on next page
Page 43
FY04 Urban Areas Security Initiative
Attachment A
Appendix A - Authorized Equipment List, Continued
4. Interoperable Communications Equipment, continued
Sub Cate or
Interoperable
Communications
E ui ment
Interoperable
Communications
E ui ment
Interoperable
Communications
E ui ment
Deser! lion
Individual/portable radios, software radios, portable repeaters, radio interconnect
s stems satellite hones, batteries char ers and batte conditionin s stems.
Personnel Accouutabili S stems
Aviation and maritime seeuri voice and data transmission e ui ment
Leasin and rental of tower s ace
In an effort to improve emergency preparedness and response interoperability, all new or
upgraded radio systems and new radio equipment should be compatible with a suite of standards
called ANSI/TIA/EIAA-102 Phase I (project 25). These standards have been developed to allow
for backward compatibility with existing digital and analog systems and provide for
interoperability in future systems. The FCC has chosen the Project 25 suite of standards for
voice and low-moderate speed data interoperability in the new nationwide 700 MHZ frequency
band. The Integrated Wireless Network (IWN) of the U.S. Justice and Treasury Departments has
also chosen the Project 25 suite of standards for their new radio equipment. In an effort to
realize improved interoperability, all radios purchased under this grant should be APCO 25
compliant.
Continued on next page
FY04 Urban Areas Security Initiative
Page 44
Attachment A
Appendix A - Authorized Equipment List, Continued
5. Detection Equipment - Equipment to sample, detect, identify, quantify and monitor for
chemical, biological, radiological/nuclear and explosive agents throughout designated areas or at
specific points, including equipment necessary to enhance laboratory detection capabilities
Chemical
Chemical
Chemical
Chemical
Chemical
Chemical
Chemical
Chemical
Chemical
Chemical
Chemical
emical
Chemical
Chemical
Chemical
Chemical
Chemical
Chemical
x losive
lications
Continued on next page
Page 45
FY04 Urban Areas Security Initiative
Attachment A
Appendix A . Authorized Equipment List, Continued
6. Decontamination Equipment - Equipment and material used to clean, remediate, remove or
mitigate chemical and biological contamination.
Sub Cateeorv Descrintlon
Biological HEPA !High Efficiency Particulate Air) Vacuum for drv decontamination
Chemical Runoff Containment Bladden s)
Chemical Inecon litters/roller systems
Chemical Extraction Litters rollable
Chemical Non-transparent Cadaver Bags (CDC standard)
Chemical Overpak Drums
!Decontamination system for individual and mass application with environmental
Chemical controls water heating system, showers, lighting, and transportation (trailer)
Chemical Spill Containment Devices
Chemical Hand Carts
Chemical Waste water classification kits/strios
7. Physical Security Enhancement Equipment - Equipment to enhance the physical security of
critical infrastructure.
. Sub CategorY Description
Explosion Protection Blast/ShocklImpact Resistant Systems
P.xplosion Protection rotective Clothing
Explosion Protection Column and Surface Wraps: Breakage Shatter Resistant Glass; Window Wraps
Explosion Protection !Robotic Disarm/Disable Systems
Ground Motion Detector Systems: Aconstic; Infrared; Seismic; Magnetometers
Ground lBarriers' Fences' Jersey Walls
Ground IImpact Resistant Doors and Gates
Ground Portal Systems
Ground ~lann Systems
Ground !video Assessment/Cameras: Standard Low Light, IR, Automated Detection
Ground Personnel Identification: Visual' Electronic; Acoustic' Laser Scanners' Ciohers/Codes
Ground IX-Rav Units
Ground Magnetometers
Ground Vehicle Identification: Visual' Electronic' Acoustic' Laser' Radar
Inspection/Detection
Systems Vehicle & Cargo Inspection System-Gamma Rav
Inspection/Detection Mobile Search & Inspection Svstem-X-rav
Systems
Inspection/Detection lNon-Invasive RadiologicaVChem/Bio Exolosives Svstem-Pulsed Neutron Activation
Systems
Continued on next page
FY04 Urban Areas Security Initiative
Page 46
Attachment A
Appendix A . Authorized Equipment List, Continued
7. Physical Security Enhancement Equipment, continued
Sub Cate or
Sensors -
Agent/Explosives
Detection
Sensors -
Agent/Explosives
Detection
Sensors.
gent/Explosives
etection
Deser! tlon
Chemical: ActivelPassive; MobilelFixed' Handheld
Biolo 'cal: ActivelPassive' MobileIFixed' Handheld
TO ammin software
Continued on next page
FY04 Urban Areas Security Initiative
Page 47
Attachment A
Appendix A . Authorized Equipment list, Continued
8. Terrorism Incident Prevention Equipment (Terrorism Early Warning, Prevention and
Deterrence Equipment and Technologies) - State and local emergency preparedness,
prevention and response agencies will increasingly rely on the integration of emerging
technologies and equipment to improve jurisdictional capabilities to deter and prevent terrorist
incidents. This includes, but is not limited to, equipment and associated components that
enhance a jurisdiction's ability to disseminate advanced waming information to prevent a
terrorist incident or disrupt a terrorist's ability to carry out the event, including hiformation
sharing, threat recognition and public/private sector collaboration.
Sub Cate or
Equipment and
ecOOolo ies
Equipment and
ecOOolo ies
Equipment and
TecOOolo ies
Equipment and
echnolo ies
Equipment and
echnolo ies
Equipment and
eclmolo ies
Equipment and
TecOOolo ies
Equipment and
TecOOolo ies
Equipment and
ecbnolo 'es
quipment and
echnolo ies
Deserl lion
ata collectionlinfonnation atherin software
Data s thesis software azard rediction assessment and threat modelin software
Geo a hic lnfonnation S stem infonnation tecOOolo and software
Law enforcement surveillance e ui ment
lert Notification S stems
acial reeD itian hardware and software
ees for use of databases containin terrorist threat information
GIS lotter software and rioters
ardware, software and internet-based systems that allow for infonnation exchange and
dissemination
Continued on next page
FY04 Urban Areas Security Initiative
Page 48
Attachment A
Appendix A . Authorized Equipment List, Continued
9. CBRNE Logistical Support Equipment - Logistical support gear used to store and transport
the equipment to the CBRNE incident site and handle it once onsite. This category also includes
small support equipment including intrinsically safe (non-sparking) hand tools required to
support a variety of tasks and to maintain equipment purchased under the grant, as well as
general support equipment intended to support the CBRNE incident response. The State should
also consider procurement of software to assist in tracking and maintaining statewide equipment
assets .
Sub Cate 0
CBRNE
CBRNE
CBRNE
RNE
CBRNE
CBRNE
CBRNE
CBRNE
CBRNE
CBRNE
CBRNE
CBRNE
CBRNE
CBRNE
CBRNE
CBRNE
CBRNE
CBRNE
CBRNE
CBRNE
CBRNE
CBRNE
CBRNE
Deser! tion
lications
control
Continued on next page
Page 49
FY04 Urban Areas Security Initiative
Attachment A
Appendix A - Authorized Equipment List, Continued
10. CBRNE Incident Response Vehicles - This category includes special-purpose vehicles for
the transport of CBRNE response equipment and personnel to the incident site. Licensing and
registration fees are the responsibility of the jurisdiction and are not allowable under this grant.
In addition, general-purpose vehicles (squad cars, executive transportation, etc.), fire apparatus
and non-CBRNE tactical/armored assault vehicles are not allowable.
Sub Cateeory Description
Vehicles !Mobile command post vehicles
Vehicles ~azardous materials (HazMat) resDonse vehicles
Vehicles 180mb response vehicles
Vehicles l>rime movers for equipment trailers
2-wheel personal transport vehicles for transporting fully suited bomb technicians, Level
Vehicles AIB suited technicians to the Hot Zone
Multi-wheeled all terrain vehicles for transporting personnel and equipment to and from
Vehicles the Hot Zone
Vehicles Mobile Command Unit
Vehicles Mobile Morgue Unit
"esponse vehicles to deploy special weapons personnel, equipped to detect chemical,
Ibiological and radiological materials; these vehicles may be armored to protect these
Vehicles lPersonnel from explosions and projectiles when required to enter hot zones.
Continued on next page
FY04 Urban Areas Security Initiative
Page 50
Attachment A
Appendix A - Authorized Equipment List, Continued
11. Medical Supplies and Pharmaceuticals - Medical supplies and pharmaceuticals required
for response to a CBRNE incident at the advanced life support level. Core cities and transit
agencies are responsible for replenishing items after shelf-life expiration date(s).
Sub Cate.orv Descrlntlon
Medical SUDDlies Automatic Binhasic External Defibrillators
Equipment/supplies for establishing and maintaining a patient airway at the advanced
Medical Sunnlies life support level (includes OP and NG airways; ET tubes, styletes, blades, and handles;
>'ortable suction devices and catheters' and stethoscones for monitorin. breath sounds)
Medical Suuulies IV Administration Sets (Macro and Micro)
Medical Sunnlies IV Catheters 114 16 18 20. and 22 gaulle)
Medical Suuulies IV Catheters iRuttertlv 22 24 and 26 Ilaulle)
Medical Sunnlies Mauual Biuhasic Defibrillators
Medical Suuulies Eve Lens for Lavalle or Continuous Medication
Medical Suuulies Nasollastric Tubes
Oxygen administration equipment and supplies (including bag valve masks: rebreather
and non-rebreather masks and nasal cannulas; oxygen cylinders, regulators, tubing and
manifold distribution systems; and pulse oximetry, Capnography and C02 detection
Medical Sunnlies devices)~ .
Medical Suuulies Svrinlles (3cc and IOcc)
Medical Sunnlies 26 Ila. Yz" needles (for syringes)
Medical Suuulies 21 .a. 1-1/2" needles (for svrinlles)
MedicalSunnlies Blood Pressure Cuffs
Medical Suuulies Mor.an Eve Shields
>iedical Suuulies Trialle TailS and Taros
\Jedical Sunnlies Sterile and Non-Sterile dressinlls all fonns and sizes
Medical Suuulies Sterile and Non-Sterile dressinlls, all fonns and sizes
>iedical Suuulies Gauze all sizes
Medical SUDulies h>nlmonarv Fit Tester
Medical Suuulies IPortable Ventilators
Medical SUDDlies !Rum kits
Phannaceuticals IAdenosine
Phannaceuticals IAlbuterol Sulfate .083%
Pharmaceuticals Albuterol MDI 3 ml
Phannaceuticals Atronine
Phannaceuticals Benadrvl
Phannaceuticals Calcium Chloride
Pharmaceuticals Calcium Gluconate 10%
Pharmaceuticals Cvanide Antidote Kits
Pharmaceuticals Donamine
Pharmaceuticals Glucallon
Continued on next page
FY04 Urban Areas Security Initiative
Page 51
Attachment A
Appendix A - Authorized Equipment List, Continued
11. Medical Supplies and Pharmaceuticals, continued
Sub Category Description
~harmaceuticals Lasix
[Pharmaceuticals Lidocaine
Pharmaceuticals Loperamide
Pharmaceuticals Magnesium Sulfate
Pharmaceuticals Metl1ylorednisolone
Pharmaceuticals Narcan
Pharmaceuticals II"11bain
Pharmaceuticals lNitroglycerin
Pharmaceuticals Silver Sulfadiazine
Pharmaceuticals Sodium Bicarbonate
harmaceuticals Sterile Water
Pharmaceuticals etracaine
~harmaceuticals Thiamine
Pharmaceuticals Valium
~harmaceuticals Potassium Iodide
Pharmaceuticals Ciprofloxin PO
~harmaceuticals Qextrose
IPharmaceuticals . Doxycvcline PO
Pharmaceuticals Epin~hrine
~harmaceuticals I-Ionnal Saline (500 and 1000 ml bags)
Pharmaceuticals 2Pam Chloride .
Pharmaceuticals Atropine Auto Iniectors
Pharmaceuticals CANA Auto Iniectors
12. CBRNE Reference Materials - Reference materials and software designed to
assist emergency preparedness and response personnel in preparing for and responding to a
CBRNE incident. This includes but is not limited to the following:
Sub Cate 0
CBRNE
CBRNE
CBRNE
CBRNE
CBRNE
Descrl tion
II' A Guide to hazardous materials
10SH Hazardous Materials Pocket Guide
orth American Emer enc Res onse Guide
Jane's Chem-Bio Handbook
irst Res onder Job Aids
Continued on next page
FY04 Urban Areas Security Initiative
Page 52
Attachment A
Appendix A . Authorized Equipment List, Continued
13. Agricultural Terrorism Prevention, Response and Mitigation Equipment -
Equipment used for agricultural terrorism prevention, response and/or mitigation. DHS ODP
expanded the scope of its programs based on feedback from its constituency. To that end, an
agricultural section has been incorporated into the State Homeland Security Assessment and
Strategy and grant programs to assist with preventing, responding to and recovering from agro-
terrorism events. In addition to the following categories, any of the equipment items from the
authorized equipment list may be used for agricultural homeland security efforts.
Sub Cate20rv Descrlntlon
~nimal Restraint Electric nrods
i\nimal Restraint Halters
Mimal Restraint H02 oaddles
Mimal Restraint HOg snare
Animal Restraint Knee boards
<\nimal Restraint Lariat
Mimal Restraint eashes
Animal Restraint Nose leads
Animal Restraint Panels
Mimal Restraint Portable cattle and h02 chutes .
<\nima! Restraint Portable nens crates, kennels
Mima! Restraint iimbanus
Mimal Restraint Swine mouth soeculum
3uming and Incinerating
Sunolies Clean fuel oil and other incineration materials
3uming and Incinemting
Sunolies Portable incinerators
Cleaning, Disinfection, and Bleach
Fumigation
Cleaning, Disinfection, and
~umigation Other surface and topical disinfectants
Cleaning, Disinfection, and
~umigation Potassium bromide
Cleaning, Disinfection, and
Fumigation Soda ash
Cleaning, Disinfection, and
Fumi2ation Sodium hydroxide and vinegar
Deponulation Cantive bolt oistol (appropriate gauge)
Deoooulation Euthanasia solution
Diagnostic Eauinment Animal identification suoolies !back tags, marker cravons, watemrooftaoe and pens)
Diamastic Eauinment Biohazard bags and containers
Diamastic Eauinment Biohazard nackine: container
Diamastic Eouinment Blood samoling sunolies (needles svringes, blood tubes)
Continued on next page
FY04 Urban Areas Security Initiative
Page 53
Attachment A
Appendix A - Authorized Equipment List, Continued
13. Agricultural Terrorism Prevention, Response and Mitigation Equipment, continued
Sub Cate20rv Description
Diagnostic Eauipment Ice packs for shiooin. and access to freezer
Diagnostic Eauipment Shams containers
Diagnostic Eouioment Soecimen containers
Disposal Equipment and
Supplies Draglines
[Disposal Equipment and Heavy plastic liners
Supplies
General k'>nimal handlin. ruidelines
General Chisel
General IDisposable scaloelslblades
General Euthanasia guidelines
General Worceps
General Identification svstem for animals .
General IPlastic file boxes or filin. cabinets
General IPliers
General Ouarantine forms
General Reference materials for soecific animal management in disasters/agroterrorism
General Sur.ical scissors
14. CBRNE Prevention & Response Watercraft - This category allows for the purchase of
surface boats and vessels for port homeland security purposes, including prevention and
response. Allowable costs also include the purchase of customary and specialized navigational,
communications, safety and operational equipment necessary to enable such watercraft to carry
out their homeland security mission.
Licensing, registration fees, insurance, and all ongoing operational expenses are the
responsibility of the core cities and transit agencies and are not allowable under this grant.
Sub Cate 0
CBRNE Prevention &
Res ODse Watercraft
Descri lion
Surface boats and vessels for port homeland security purposes including customary and
s ecialized navi ational, communications safe and 0 erational e ui ment.
Continued on next page
FY04 Urban Areas Security Initiative
Page 54
Attachment A
Appendix A . Authorized Equipment List, Continued
15. CBRNE Aviation Equipment - This category allows for the purchase of special purpose
aviation equipment where such equipment will be utilized primarily for homeland security
objectives and permissible program activities, and provides that the local units of government
certify that it has an operating aviation unit and that the costs for operation and maintenance of
such equipment will be paid from non-grant funds. Aviation equipment is defined as fixed-wing
aircraft, helicopters, and air-safety containers for CBRNE prevention, response, mitigation
and/or remediation. Allowable costs include the purchase of customary and specialized
navigational, communications, safety and operational equipment necessary for CBRNE
prevention, response and/or recovery.
Prior to obligating funds for this category of equipment, grant recipients must submit a written
request to the state. The state will seek a written waiver from the Secretary ofthe Department of
Homeland Security Secretary through ODP. The state will consult with the ODP Preparedness
Officer and provide a detailed justification for obligating funds in this category. No funds can
be used for this category of equipment until the grant recipient receives written approval
from the state and ODP to obligate funds.
Licensing, registration fees, insurance and all ongoing operational expenses are the responsibility
of the local units of government and are not allowable under this grant. In addition, the
purchases of general-purpose public safety aircraft such as, but not limited to, firefighting planes
or police helicopters are not allowable.
Furthermore, grant recipients must certify that they have an operating aviation unit and that no
expenses will be charged against the grant award for the operation of such aviation unit. Also
prohibited is aviation equipment acquisition that is inconsistent with the State's updated
homeland security assessment and strategy.
Sub Cate 0
Desed lion
Customary and specialized navigational, communications, safety, and operational
equipment necessary for CBRNE prevention, response and/or recovery including fixed-
in aircraft, helico ters, and air-safe containers.
CBRNEAviation
ui ment
Continued on next page
FY04 Urban Areas Security Initiative
Page 55
Attachment A
Appendix A . Authorized Equipment List, Continued
16. Cyber Security Enhancement Equipment
Sub Cate 0
Enhancement E ui ment
Enhancement E ui ment
Enhancement E ui ment
Enhancement E ui ment
Enhancement E ui ment
Enhancement E ui ment
Enhancement E ni ment
C ber Securi
Descr! lion
Confi ation mana ement and atch dissemination tools
Ene tiOD S stems
Firewall and authentication technolo ies
Geo a hic information s stems
ntrusion detection devices and s stems
etwork traffic monitorin and anal sis s stems
Scaunin and enetration tools
Security hardware and software countermeasures to protect against
c ber attacks
17. Intervention Equipment - this category allows for the purchase of specialized law
enforcement equipment that is necessary to further enhance their capabilities to prevent domestic
terrorism incidents. Core cities and transit agencies are reminded that they must comply with 28
CFR, Parts 66 and 70. In addition, when procuring any Title III equipment, core cities and transit
agencies must strictly adhere to requirements of 18 u.s. C., Part I, Chapter 119, Section 2512,
pertaining to the manufacture, distribution, possession and advertising of wire, oral, or electronic
communications interception devices. This category includes but is not limited to the following:
Sub Cate 0
Intervention E ui ment
Intervention E ui ment
Intervention E ui ment
18. Other Authorized Equipment and Related Costs
Sub Cate 0 Deseri tton
Authorized Equipment and
Related Costs Installation costs for authorized e ui ment urchased throu h ODP rants
Authorized Equipment and Maintenance contracts for authorized equipment purchased through ODP grants and
Related Costs ac uired throu DHS-ODPs Homeland Defense e ui ment Reuse IDER Pro am
uthorized Equipment and
Related Costs Multi Ie Inte ated Laser En a ement S stem MILES
Authorized Equipment and
Related Costs Trainin on CBRNE and c ber securi e ui ment b vendors or local & state entities
Miscellaneous aintenance - General
Miscellaneous Shi in and Handlin
Miscellaneous axes
FY04 Urban Areas Security Initiative
Page 56
Attachment A
Appendix B . Training Classes and Approval Process
Recommended
Training
Classes
Grant recipients are encouraged to use FY04 UASI funds to adopt the current
ODP awareness and performance level courses noted below:
. Campus Law Enforcement Awareness Training on WMD
. A WR-IOO Emergency Response to Terrorism: Basic Concepts
. A WR-I01 Emergency Response to Terrorism: Basic Concepts (Train-
the-Trainer)
. A WR-I02 Emergency Response to Terrorism: Basic Concepts (Self-
Study)
. A WR 103 WMD Crime Scene Management for Emergency Responders
. A WR-11O Terrorism Awareness for Emergency Responders (Internet)
. A WR-III Emergency Medical Services (EMS): Basic Concepts for
WMD Incidents (Internet)
. A WR-112 Public Works: Basic Concepts for WMD Incidents (Intemet)
. A WR-120 Law Enforcement Response to WMD - Awareness
. AWR-121 Law Enforcement Response to WMD -Awareness (Train-the-
Trainer)
. A WR-130 Incident Response to Terrorist Bombings - Awareness
. AWR-140 WMD RadiologicallNuc1ear Awareness
. A WR-141 WMD RadiologicallNuclear Awareness (Train-the-Trainer)
. PER-200 Managing Civil Actions in Threat Incidents (MCATI): Basic
Course (Train-the- Trainer)
. PER-225 Law Enforcement Response to WMD - Operations Level
(Train-the- Trainer)
. PER-251 Emergency Response to Terrorism: Operations Course (Train-
the-Trainer)
Note: In order to deliver these courses, state and local instructors must have
been certified to deliver the course by successfully completing ODP's Train-
the-Trainer course delivery.
Continued on next page
Page 57
FY04 Urban Areas Security Initiative
Attachment A
Appendix B - Training Classes and Approval Process,
Continued
Approval
Process for
Non-ODP
Course
Development
and Attendance
The process for requesting ODP approval ofnon-ODP course development
and attendance is as follows:
I. Grant recipient requests for review of awareness and performance level
courses should be made on letterhead addressed to Lt. Col. William
Hipsley, California Military Department. Lt. Co!. Hipsley will collect all
requests and forward to the appropriate DHS-ODP Preparedness Officer.
This letter should be sent to:
Governor's Office of Emergency Services
Grant Management Section A TTN: Lt. Co!. Hipsley
Post Office Box 419023
Rancho Cordova, CA 95741-9023
Do not send course materials at this time.
2. The DHS-ODP Preparedness Officer will forward the request to the ODP
Training Division.
3. Upon receipt of the request, the ODP Training Division will respond as
follows:
A. Send a letter of acknowledgment and conditional approval to CMD,
accompanied by the following:
(1) ODP Training Approval Template and instructions for use.
(2) ODP Training Doctrine which includes the following 4 documents:
- ODP Training Strategy
- Emergency Responder Guidelines
- Prevention Guidelines
- Training Approval Guidelines
B. Notify the DHS-ODP Preparedness Officer that funding may be
conditionally approved pending further review by the DHS-ODP,
Center for Domestic Preparedness (CDP). The grant recipient may
begin obligating funds at this time.
C. Ensure that the request has been entered in the ODP Training Approval
Tracking System.
4. Upon receipt of the conditional approval, the Template and the Training
Doctrine, CMD will work with grant recipients to document a comparison
between the objectives of the course in question and the ODP Training
Doctrine, using the template provided. The completed template and course
materials must be returned to the ODP Training Division Designee within
30 days.
Continued on next page
FY04 Urban Areas Security Initiative
Page 58
Attachment A
Appendix B - Training Classes and Approval Process,
Continued
Approval
Process for
Non-ODP
Course
Development
and
Attendance,
continued
5. The ODP CDP will execute a review of course materials based on the
completed template and issue a report to the ODP Training Division.
6. The CDP will conduct this review within 45 days from receipt of the
course materials and template. For performance level courses, the review
period will be extended to 90 days if the ODP CDP determines that a site
visit is necessary to adequately assess the course.
7. Upon completion of CDP review and issuance of a recommendation memo,
the ODP Training Division will initiate a final notification process that will
include the DHS-ODP Preparedness Officer and the CMD.
Page 59
FY04 Urban Areas Security Initiative
Attacbment A
Appendix C - Development of Interoperable Communications
Plans
Components of
Interoperable
Communication
Plans
When utilizing ODP program funds in the category of Interoperable
Communications Equipment to build, upgrade, enhance or replace
communications systems, grant recipients should develop comprehensive
interoperable communications plans before procurement decisions are made.
Plans should be retained by the grant recipient and be available for review by
the state and ODP. The plan should address, as appropriate, the areas of:
· building public safety communication systems;
· upgrading/enhancing public safety communication systems and
equipment;
· replacing public safety communication systems and equipment;
· maintaining public safety communication systems and equipment;
. training public safety staff on issues related to emergency response
communications; and,
· managing public safety communications projects.
Continued on next page
FY04 Urban Areas Security Initiative
Page 60
Attachment A
Appendix C . Development of Interoperable Communications
Plans, Continued
Interoperable
Communication
Plan
Considerations
The following considerations should be made when developing a
communications plan:
. Has the grant recipient already completed a plan that illustrates their
commitment to public safety communication priorities?
Obtain/retain an executive summary that clearly illustrates how the
proposed effort will lead to enhanced public safety communications
interoperability.
What type of multi-jurisdictional or multidisciplinary agreements does
the grant recipient possess (Le., MOUs, interstate compacts, mutual
aid agreements)?
. Has the grant recipient considered public safety's operational needs of the
communications equipment?
In what type of topography/terrain does the grant recipient operate?
In what types of structures does the grant recipient need to
communicate? (Le., tunnels, high-rise buildings)
What methods of communication does the grant recipient use? (Le.,
email, paging, cellular calls, portable radio communications)
What is the process for dispatching calls?
Is the communications center independently owned and operated by
the grant recipient? Does it serve several public safety agencies in
the grant recipient's jurisdiction? Is it a multi-agency, multi-
jurisdictional facility?
Does the grant recipient have the ability to patch across channels? If
so, how many patches can be simultaneously set up? Is a dispatcher
required to set up and break the patches down?
What is the primary radio language used by the grant recipient when
communicating with other agencies or organizations? (Le. 'plain'
English, code)
What types of equipment can immediately be deployed to provide
short-term solutions for improved communications?
Continued on next page
FY04 Urban Areas Security Initiative
Page 61
Attachment A
Appendix C - Development of Interoperable Communications
Plans, Continued
Interoperable
Communication
Plan
Considerations,
continued
· Has the grant recipient considered the system requirements to ensure
interoperability with systems used by other disciplines or other levels of
govermnent?
What type of equipment is currently used by the grant recipient?
Is there a regional, multi-jurisdictional, or statewide system in place
that requires interoperability in order to communicate with other
agencies? If so, how does the grant recipient plan on
interoperating/connecting to that system?
Is the equipment compatible with the Project 25 suite of standards?
For data-related systems, is the grant recipient using XML standards?
How scalable is the system? Can it be used locally between agencies
and jurisdictions, statewide, and at multi-state or national level?
What internal and extemal security requirements exist in the
architecture to secure information and maintain privacy levels for
data as required by law?
Is the infrastructure shared with any other agency or organization?
Is it owned or leased?
Does the grant recipient use analog or digital radio systems or both?
Is the system conventional or trunked?
Which radio frequencies are used to communicate with other public
safety agencies?
How many channels does the grant recipient have solely designated
for communication with other agencies?
FY04 Urban Areas Security Initiative
Page 62
Attachment A
Appendix D . Letter Regarding Submission of Equal
Employment Opportunity Plan
FY04 Urban Areas Security Initiative
Page 63
Attachment A
U.$;:~parthtent l,If Jtl,~iice
Ciffice ofJUlluce:. Programs
Office for Civil Rights
w,;'),q""",. l>.C, 2fJS11
Jilly29,2002
Mr,Da)lllllh.lt1lilB
q;.1I~i",'O{ii:c~ of_EmergenCy ~"ite:l
P.'(l,.$o:>>:4l9041
Rancho CordOV;l, ,CA 95741.9041
DearMr;JorlQ;:
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FY04 Urban Areas Security Initiative
Page 64
Attachment A
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FY04 Urban Areas Security Initiative
Page 65
Attachment A
Appendix E . Grant Forms
Grant Forms
This appendix contains the following grant forms:
· Application Cover Sheet
· Funding Distribution by Jurisdiction
· Governing Body Resolution
. Grant Assurances
. Reimbursement Request Form
A DRAFT version ofthe Project Narrative and Budget Worksheet can be
found on OES' web site at www.oes.ca.gOV .
FY04 Urban Areas Security Initiative
Page 66
Attachment A
FY04 Urban Areas Security Initiative - A~lication Cover Sheet
Applicant:
Core City / Transit Agency
Contact Information:
Authorized Agent Mailing Address
Name/Title
City, State, Zip Code
Area Code/Office Telephone Number
E-Mail Address
Maximum Amount Allocated (see page 7 of this Guide) $
Total Amount Requested (as shown on the Project Narrative and Budget Worksheet) $
Certification and Signature of Authorized Agent
1 am the duly appointed Authorized Agen/ and have the authority to apply for this grant and submit this application on behalf
of /he Core City / Transit Agency. By signing below, 1 hereby certify that the enclosed application represents the consensus
of/he Core City, Core County, Transit Agency, and/or the Urban Area Working Group, as appropriate.
Printed Name
Signature of Core City/rransit Agency Authorized Agent
Date
Tille
Signature of Core County Point of Contact
(neededfor Urban Area applications only)
Printed Name
Title
Date
.
AJ'l]l1icatlon reviewedlCJrllUt award approved by:
N~tne'
11,10
l'>tlll11 Pet1'Olmance Poriod:
OIlS lD #
Catalog of Fede,.1 IDomes!:ic Assistance ,#97,008 " ." ~
,.
FY04 Urban Areas Security Initiative
Page 67
Attachment A
FY04 Urban Areas Security Initiative
Funding Distribution by Jurisdiction
If a core city or transit agency distributes any part of their allocation to another jurisdiction, a
breakdown of the funding distribution must be submitted as part of the application package.
Using the following format, indicate the amount of funds retained by the core city or transit
agency, and the amount distributed to whichjurisdiction(s). .
Jurisdiction Amount
Core Citv/Transit Agency
Grand Total
NOTE: The Grand Total must equal the total amount requested, as shown on the Project
Narrative and Budget Worksheet.
FY04 Urban Areas Security Initiative
Page 68
Attachment A
Governing Body Resolution
BE IT RESOL VED BY THE
(Governing Body)
OF THE
THAT
(Name of Applicant)
OR
(Name or Title of Authorized Agent)
OR
(Name or Title of Authorized Agent)
(Name or Title of Authorized Agent)
is hereby authorized to execute for and on behalf of the named applicant, a public entity
established under the laws of the State of California, any actions necessary for the purpose of
obtaining federal fmancial assistance provided by the federal Department of Homeland Security
and subgranted through the State of California.
Passed and approved this
day of
,20_
Certification
I,
, duly appointed and
(Name)
of the
(Governing Body)
(Title)
do hereby certify that the above is a true and correct copy of a resolution passed and approved by
the
of the
on the
(Governing body)
(Name of Applicant)
day of
,20
(Official Position)
(Signature)
(Date)
FY04 Urban Areas Security Initiative
Page 69
Attachment A
Instruction Sheet for the Governing Body Resolution
Purpose
Authorized
Agent(s)
Authorized
Agent Changes
The purpose of the Goveming Body Resolution is to appoint individuals to
act on behalf of the governing body and grant recipient.
The Goveming Body Resolution allows for the appointment of individuals
or positions. For each person or position appointed by the goveming body,
submit the following information, with the Resolution, to the state on the
applicant's letterhead:
[J Jurisdiction [J Telephone
[J Grant Program [J Fax #
[J Name [J Cell Phone #
[J Title [J E-Mail Address
[J Address
[J City
[J Zip Code
· If the Governing Body Resolution identified Authorized Agents by
position and/or title, changes can be made by submitting new Authorized
Agent information to the state, as indicated above.
· If the Goveming Body Resolution identified Authorized Agents by name,
a new Resolution is needed when any changes are made. The information
listed above must also be submitted with the new Resolution.
FY04 Urban Areas Security Initiative
Page 70
Attachment A
Grant Assurances
Name of Applicant:
Address:
City:
State:
Zip Code:
Telephone Number: ( )
Fax Number: ( )
E-Mail Address;
As the duly authorized representative of the applicant, I certify that the applicant named above:
1. Has the legal authority to apply for federal assistance, and has the institutional,
managerial and financial capability to ensure proper planning, management and
completion of the grant provided by the federal Department of Homeland Security and
sub granted through the State of Califomia.
2. Will assure that grant funds are only used for allowable, fair and reasonable costs.
3. 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; and will establish
a proper accounting system in accordance with generally accepted accounting standards
or awarding agency directives.
4. Will provide progress reports and such other information as may be required by the
awarding agency.
5. Will initiate and complete the work within the applicable time frame after receipt of
approval of the awarding agency.
6. Will establish safeguards to prohibit employees from using their positions for a purpose
that constitutes or presents the appearance of personal or organizational conflict of
interest, or personal gain for themselves or others, particularly those with whom they
have family, business or other ties.
7. Will comply, if applicable, with the Lead-Based Paint Poisoning Prevention Act (42
U.S.C. ~~ 4801 et seq.) which prohibits the use oflead based paint in construction or
rehabilitation of residence structures.
FY04 Urban Areas Security Initiative
Page 71
Attachment A
8. Will comply with all federal statues relating to nondiscrimination. These include but are
not limited to:
a. Title VI of the Civil Rights Act of 1964 (P.L. 88-352), as amended, which
prohibits discrimination on the basis of race, color or national origin;
b. Title IX of the Education Amendments of 1972, as amended (20 V.S.C. SS 1681-
1683 and 1685-1686), which prohibits discrimination on the basis of sex;
c. Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. S 794)
which prohibits discrimination on the basis of handicaps;
d. The Age Discrimination Act of 1975, as amended (42 U.S.C. SS 6101-6107)
which prohibits discrimination on the basis of age;
e. The Drug Abuse Office and Treatment Act of 1972 (P.L. 92-255) as amended,
relating to nondiscrimination on the basis of drug abuse;
f. The Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and
Rehabilitation Act of 1970 (p.L. 91-616), as amended, relating to
nondiscrimination on the basis of alcohol abuse or alcoholism SS 523 and 527 of
the Public Health Service Act of 1912 (42 U.S.C. 290 dd-3 and 290 ee-3), as
amended, relating to confidentiality of alcohol and drug abuse patient records;
g. Title VIII of the Civil Rights Act of 1968 (42 U.S.C. S 3601 et seq.), as amended,
relating to nondiscrimination in the sale, rental or financing of housing;
h. Title 28, Code of Federal Regulations, Part 42, Subparts C, D, E and G;
1. Title 28, CFR, Part 35;
j. Any other nondiscrimination provisions in the specific statute(s) under which
application for federal assistance is being made, and
k. The requirements on any other nondiscrimination statute(s) which may apply to
the application.
9. Will comply, or has already complied, 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 provides for fair and equitable treatment of persons displaced or whose
property is acquired as a result offederal or federally assisted programs. These
requirements apply to all interested in real property acquired for project purposes
regardless of federal participation in purchases.
10. Will comply, if applicable, with the flood insurance purchase requirements of Section
102(a) of the Flood Disaster Protection Act of 1973 (p.L. 93-234) which requires
recipients in a special flood hazard area to participate in the program and to purchase
flood insurance if the total cost ofinsurable construction and acquisition is $10,000 or
more.
FY04 Urban Areas Security Initiative
Page 72
Attachment A
11. Will comply with environmental standards which may be prescribed pursuant to the
following:
a. institution of environmental quality control measures under the National
Environmental Policy Act of 1969 (P.L. 91-190) and Executive Order (EO)
11514;
b. notification of violating facilities pursuant to EO 11738;
c. protection of wetlands pursuant to EO 11990;
d. evaluation of flood hazards in floodplains in accordance with EO 11988;
e. assurance of project consistency with the approved state management program
developed under the Coastal Zone Management Act of 1972 (16 U.S.C. SS 1451
et seq.);
f. conformity of federal actions to State (Clean Air) Implementation Plans under
Section 176(c) of the Clean Air Act of 1955, as amended (42 U.S.C. S 7401 et
seq.);
g. protection of underground sources of drinking water under the Safe Drinking
Water Act of 1974, as amended, (p.L. 93-523); and
h. protection of endangered species under the Endangered Species Act of 1973, as
amended, (P.L. 93-205).
12. Will comply with the Wild and Scenic Rivers Act of 1968 (16 U.S.C. SS 1271 et.seq.)
related to protecting components or potential components of the national wild and scenic
rivers system.
13. Will 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), EO 11593 (identification
and preservation of historic properties), and the Archaeological and Historic Preservation
Act of 1974 (16 U.S.C. 469a-1 et seq).
14. Will comply with Standardized Emergency Management System (SEMS) requirements
as stated in the California Emergency Services Act, Government Code, Chapter 7 of
Division 1 of Title 2, Section 8607.1(e) and CCR Title 19, Sections 2445,2446,2447 and
2448.
15. Has requested through the State of Cali fomi a, federal financial assistance to be used to
perform eligible work approved in the applicant's application for federal assistance.
Will, after the receipt of federal financial assistance, through the State of California,
agree to the following:
a. Promptly return to the State of Califomia all the funds received which exceed the
approved, actual expenditures as accepted by the federal or state government.
b. In the event the approved amount of the grant is reduced, the reimbursement
applicable to the amount of the reduction will be promptly refunded to the State of
Califomia.
c. Separately account for interest eamed on grant funds, and will return all interest
earned, in excess of$IOO per federal fiscal year.
FY04 Urban Areas Security Initiative
Page 73
Attachment A
16. Will comply with the Intergovernmental Personnel Act of 1970 (42 U.S C. Sections
4728-4763) relating to prescribed standards for merit systems for programs funded under
one of the nineteen statutes or regulations specified in Appendix A ofOPM's Standards
for a Merit System of Personnel Administration (5 C.F.R. 900, Subpart F).
17. Will comply with provisions of the Hatch Act (5 U.S.c. Sections 1501-1508 and 7324-
7328) which limit the political activities of employees whose principal employment
activities are funded in whole or in part witb federal funds.
18. Will comply with P.L. 93-348 regarding the protection of human subjects involved in
research, development, and related activities supported by this award of assistance.
19. Will comply, if applicable, with the Laboratory Animal Welfare Act of 1966 (P. L. 89-
544, as amended, 7 U.S.C. 2131 et seq.) pertaining to the care, handling, and treatment of
warm blooded animals held for research, teaching, or other activities supported by this
award of assistance.
20. Will comply with the minimum wage and maximum hour provisions of the Federal Fair
Labor Standards Act (29 U.S.C. 201), as they apply to employees of institutions of higher
education, hospitals, and other non-profit organizations.
21. Will comply, as applicable, with the provisions of the Davis-Bacon Act (40 U.S.c.
Section 276a to 276a-7), the Copeland Act (40 U.S.C. Section 276c and 18 U.S.c.
Sections 874), and the Contract Work Hours and Safety Standards Act (40 U.S.c.
Sections 327-333), regarding labor standards for federally assisted construction sub-
agreements.
22. Will not make any award or permit any award (subgrant or contract) to any party which is
debarred or suspended or is otherwise excluded from or ineligible for participation in
Federal assistance programs under Executive Order 12549 and 12689, "Debarment and
Suspension."
FY04 Urban Areas Security Initiative
Page 74
Attachment A
23. Agrees 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 any agency, a Member of Congress, an officer or employee
of Congress, or an employee of a Member of Congress in connection with the
making of any federal grant, the entering into of any cooperative agreement, and
the extension, continuation, renewal, amendment, or modification of any federal
grant or cooperative agreement.
b. If any other funds 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 an employee of Congress, or
employee of a Member of Congress in connection with the federal grant or
cooperative agreement, the undersigned shall complete and submit Standard Form
LLL, "Disclosure of Lobbying Activities," in accordance with its instructions.
c. The undersigned shall require that the language of this certification be included in
the award documents for all sub awards at all tiers including sub grants, contracts
under grants and cooperative agreements, and subcontract(s) and that all sub
recipients shall certif'y and disclose accordingly.
d. 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.
24. Agrees that equipment acquired or obtained with grant funds:
a. Will be made available under the California Disaster and Civil Defense Master
Mutual Aid Agreement in consultation with representatives of the various fIre,
emergency medical, hazardous materials response services, and law enforcement
agencies within the jurisdiction of the applicant.
b. Is consistent with needs as identified in the Terrorism Annex to the State's
Emergency Plan, and will be deployed in conformance with that plan.
c. Will be made available pursuant to applicable terms of the California Disaster and
Civil Defense Master Mutual Aid Agreement and deployed with personnel trained
in the use of such equipment in a manner consistent with the California Law
Enforcement Mutual Aid Plan or the California Fire Services and Rescue Mutual
Aid Plan.
25. Agrees that funds awarded under this grant will be used to supplement existing funds for
program activities, and will not supplant (replace) funds that have been appropriated for
the same purpose.
26. Will comply with all applicable federal statutes, regulations, policies, guidelines and
requirements, including OMB Circulars A-87 and A-133, E.O. 12372 and Uniform
Administrative Requirements for Grants and Cooperative Agreements contained in Title
28, Code of Federal Regulations, Part 66, that govern the application, acceptance and use
of Federal funds for this federally-assisted project.
FY04 Urban Areas Security Initiative
Page 75
Attachment A
27. Will comply, and assure the compliance of all its sub grantees and contractors, with the
nondiscrimination requirements of the Omnibus Crime Control and Safe Streets Act of
1968, as amended, 42 USC 3789(d), or the Juvenile Justice and Delinquency Prevention
Act, or the Victims of Crime Act, as appropriate; the provision of the current edition of
the Office of Justice Programs Financial and Administrative Guide for Grants, M7100.1,
and all other applicable Federal laws, orders, circulars, or regulations.
28. Will comply with provisions of28 CFR applicable to grants and cooperative agreements,
including Part 18, Administrative Review Procedures; Part 20, Criminal Justice
Information Systems; Part 22, Confidentiality ofIdentifiable Research and Statistical
Information; Part 23, Criminal Intelligence Systems Operating Policies; Part 30,
Intergovernmental Review of Department of Justice Programs and Activities; Part 42,
NondiscriminationlEqual Employment Opportunities Policies and Procedures; Part 61,
Procedures for Implementing the National Environmental Policy Act; Part 64, Floodplain
Management and Wetland Protection Procedures; and Federal laws or regulations
applicable to Federal Assistance Programs.
29. Will ensure that the facilities under its ownership, lease or supervision which shall be
utilized in the accomplishment of this project are not listed in the Environmental
Protection Agency's (EPA) list of Violating Facilities and that it will notifY the Federal
Grantor agency of the receipt of any communication from the Director of the EP A Office
of Federal Activities indicating that a facility to be used in the project is under
consideration for listing by the EP A.
30. Will comply with Subtitle A, Title II of the Americans with Disabilities Act (ADA) 1990.
31. Will, in the event a Federal or State court or Federal or State administrative agency
makes a fmding of discrimination after a due process hearing on the grounds or race,
color, religion, national origin, sex, or disability against a recipient of funds, the recipient
will forward a copy of the finding to the Office of Civil Rights, Office of Justice
Programs.
32. Will provide an Equal Employment Opportunity Plan, if applicable, to the Department of
Justice Office of Civil Rights within 60 days of grant award.
33. Will comply with the financial and administrative requirements set fortb in the current
edition of the Office of Justice Programs (OJP) Financial Guide.
34. Will comply, if applicable, with the provision of the Coastal Barrier Resources Act (P.L.
97-348) dated October 19,1982 (16 USC 3501 et seq.) which prohibits the expenditure of
most new Federal funds within the units of the Coastal Barrier Resources System.
35. Will comply with all applicable requirements of all other federal laws, executive orders,
regulations, program and administrative requirements, policies and any other
requirements governing this program.
FY04 Urban Areas Security Initiative
Page 76
Attachment A
36. Understands that failure to comply with any ofthe above assurances may result in
suspension, termination or reduction of grant funds.
The undersigned represents that he/she is authorized by the above named applicant to enter into
this agreement for and on behalf of the said applicant.
Signature of Authorized Agent:
Printed Name of Authorized Agent:
Title:
Date:
FY04 Urban Areas Security Initiative
Page 77
Attachment A
Urban Areas Security Initiative
Reimbursement Request for Grant Expenditures
Award #
Mail Reimbursement Request to:
Applicant:
Core City! Transit Agency
Governor's Office of Emergency Services
Grant Payments Unit
Post Office Box 419023
Rancho Cordova, CA 95741-9023
OES In #;
Please mark this box to indicate a change in
the Authorized Agent Mailing Address
belowD
Total
Expenditures
Project # Solution Area Expenditure Period (from/to dates) for the
Expenditure
Period
.
. Grand Total
Under penalty of perjury, I certify that:
· I am the duly authorized officer of the claimant herein.
· This claim is in all respects true, correct, and all expenditures were made in accordance with
applicable laws, rules, regulations and grant conditions and assurances.
Authorized Agent (Per Governing Body Resolution)
Printed Name
Phone Number
Title
E.Mail Address
Mailing Address
Fax No.
City, State, Zip Code
Signature
Date
FY04 Urban Areas Security Initiative
Page 78
Attachment A
Instruction Sheet for the Reimbursement Request
Applicant
Award Number
OES ID #
Address Cbanges
Project Number and
Solution Area
Expenditure Period
Total Expeuditures
for the Expenditure
Period
Authorized Agent
Information
Mail
Supporting
Documents
The applicant is the core city/transit agency, as identified in the original grant
application. Do not identify any sub-departments or offices as the applicant.
The award number is identified on tbe Notification of Application Approval letter.
The OES ID# is the core city/transit agency's identification number as identified on the
Notification of Application Approval letter.
Indicate a change in address by checking the box shown and noting the new address in
the area marked "mailing address".
Indicate the project number and solution area as noted for the project on the
Project Narrative and Budget Worksheet.
Indicate the expenditure period for which funds are being requested. Identify the
month and year for the beginning and ending of the period covered by this request.
This is not the Peiformance Period listed on the Notification of Application Approval
letter. The grant recipient may indicate different from/to dates for each project.
The expenditure period cannot cross state fiscal years, therefore, separate requests must
be submitted for expenditures incurred on or before June 30, and on or after July 1.
Indicate the total expenditures for the expenditure period. Based upon the total
expenditures and amounts previously paid to the grant recipient, the state will
automatically calculate the funds that can be paid, and will process a payment
request for that amount.
Complete all line items requested and ensure that the fonn is signed by an Authorized
Agent named in the Governing Body Resolution
Mail the original to the address identified at the top of the request form.
Supporting documents are not required to be submitted with the Reimbursement
Request; however, the state reserves the right to request documentation at any time.
Grant recipients are reminded to maintain documents that support the expenditure
amounts shown on the request.
FY04 Urban Areas Security Initiative
Page 79
Attachment A
Appendix F - State Homeland Security Strategy - DRAFT
Goal and
Objectives #1
Goal and
Objectives #2
Goal and
Objectives #3
Goal and
Objectives #4
Goal #1: Institutionalize terrorism emergency planning in California's multi-
hazard emergency planning and response processes.
Obiectives:
1.1 Update the State Emergency Plan Terrorism Annex.
1.2 Update Local Planning Guidance on Terrorism.
1.3 Incorporate Terrorism into the State Multi-Hazard Mitigation Plan.
1.4 Develop/update procedures needed to implement terrorism plans.
1.5 Exercise terrorism plans and procedures.
1.6 Integrate training and exercise programs.
1.7 Train personnel on terrorism plans and procedures.
Goal #2: Enhance public outreach, education and training efforts to address
terrorism events.
Obiectives:
2.1 Support the development and capabilities of Citizen Corps and other
community-based organizations.
2.2 Evaluate Citizen Corps and related programs for long-term effectiveness.
Goal #3: Ensure emergency responders have the equipment necessary for
multi-discipline response to terrorism events.
Obiectives:
3.1 Administer the Homeland Security Grant program.
3.2 Administer state portion of equipment funds.
3.3 Meet equipment related training needs.
Goal #4: Enhance regional response capabilities for terrorism events.
Obiectives:
4.1 Conduct regional exercises.
4.2 Evaluate regional response capabilities based on exercises.
Continued on next page
FY04 Urban Areas Security Initiative
Page 80
Attachment A
Appendix F - State Homeland Security Strategy - DRAFT,
Continued
Goal and
Objectives #5
Goal and
Objectives #6
Goal and
Objectives #7
Goal #5: Enhance intelligence sharing and evaluation efforts to deter,
prevent, and respond to terrorism events.
Objectives:
5.1 Support intelligence collection, analysis, and dissemination operations.
5.2 Meet intelligence/prevention related training and exercise needs.
5.3 Meet intelligence/prevention related equipment and capital improvement
needs.
Goal #6: Enhance security at all identified critical infrastructure sites.
Obiectives:
6.1 Update list of all critical infrastructure sites in California, otaffectirig
California's security.
6.2 Assess the vulnerability of all critical infrastructure sites in California.
6.3 Enhance security at all critical infrastructure sites in Califomia.
Goal #7: Incorporate Recovery element in all plans and procedures to ensure
the capability to recover from a terrorism incident.
Obiectives:
7.1 All jurisdictions will develop, review, or update appropriate plans to
include Recovery.
7.2 Train and exercise personnel on Recovery procedures.
Page 81
FY04 Urban Areas Security Initiative
Attachment A
Appendix G . Abbreviations and Acronyms
A
AAR After Action Reports
AEL Authorized equipment list
APCO Association of Public-Safety Communications Officials
B
BSIR Biannual Strategy Implementation Reports
C
CAP Corrective Action Plan
CAPR Categorical Assistance Progress Reports
CBRN Chemical, Biological, Radiological and Nuclear
CBRNE Chemical, biological, radiological, nuclear, and explosive
CCP Citizen Corps Program
CDP Center for Domestic Preparedness
CERT Community Emergency Response Teams
CFDA Catalog of Federal Domestic Assistance
CMD California Military Department
CNG Califomia National Guard
CSID Centralized Scheduling and Information Desk
D
D&B Dun and Bradstreet
DHS U.S. Department of Homeland Security
DPETAP Domestic Preparedness Equipment Technical Assistance Program
DUNS Data Universal Numbering System
E
EMS Emergency Medical Services
F
FAR Federal Acquisition Regulations
FID Flame Ionization Detector
FOIA Freedom ofInformation Act
FSR Financial Status Report
G
GAN Grant Adjustment Notice
GC/MS Gas ChromatographlMass Spectrometer
GIS Geographic Information System
Continued on next page
FY04 Urban Areas Security Initiative
Page 82
Attachment A
Appendix G . Abbreviations and Acronyms, Continued
H
HAZCAT Hazard Categorizing
HazMat Hazardous materials
HDER Homeland Defense Equipment Reuse
HEP A High Efficiency Particulate Air
HSEEP Homeland Security Exercise and Evaluation Program
HSGP Homeland Security Grant Program
I
lAB Interagency Board
ICS Incident command system
IP Improvement Plan
IWN Integrated Wireless Network
J
JRIES Joint Regional Information Exchange System
L
LETPP Law Enforcement Terrorism Prevention Program
LLEA Lead Law Enforcement Agency
LOCES Letter of Credit Electronic Certification System
M
M&A Management and administrative
MILES Multiple Integrated Laser Engagement System
MRC Medical Reserve Corps
N
NFPA National Fire Protection Association
NIMS National Incident Management System
NIOSH National Institute for Occupational Safety and Health
o
OC Office of the Comptroller
ODP Office for Domestic Preparedness
OMB Office of Management and Budget
Continued on next page
FY04 Urban Areas Security Initiative
Page 83
Attachment A
Appendix G . Abbreviations and Acronyms, Continued
P
P APR Powered Air Purifying Respirator
P APRS Phone Activated Paperless Request System
PASS Personnel Alert Safety System
PID Photo-Ionization Detector
PPE Personal Protective Equipment
S
SAA State Administrative Agency
SCBA Self-Contained Breathing Apparatus
SEL Standardized Equipment List
SHSAS State Homeland Security Assessments and Strategies
SHSP State Homeland Security Program
SHSS State Homeland Security Strategy
SPOC Single Point of Contact
T
TCV Total Containment Vessel
U
USAR Urban Search and Rescue
V
VIPS Volunteers in Police Service
W
WMD Weapons of Mass Destruction
FY04 Urban Areas Security Initiative
Page 84
Attachment A
Attachment B
PROFESSIONAL SERVICES AND SOFTWARE LICENSE AGREEMENT
BETWEEN KNOWLEDGE COMPUTING CORPORATION AND
THE CITY OF NEWPORT BEACH
'It/1
THIS AGREEMENT is made and entered into as of this L day of January. 2005, by
and between the CITY OF NEWPORT BEACH, a Municipal Corporation ("City"), and
KNOWLEDGE COMPUTING CORPORATION, an Arizona State corporation, whose
principal place of business is 6601 East Grant Road, Tucson, AZ 85715 ("Contractor"),
and is made with reference to the following:
RECITALS
A. City is a municipal corporation duly organized and validly existing under the
laws of the State of California with the power to carry on its business as it is
now being conducted under the statutes of the State of California and the
Charter of City.
B. Effective January 23, 2004, the City was designated as the lead agency and
grant administrator for the monies allocated by the federal government for the
Orange County Integrated Law and Justice Project (OCILJ), a Countywide
. effort and multi-phase project to integrate the diverse information systems of all
criminal justice agencies in the County, pursuant to a COPS MORE grant.
These grant monies are held by City on behalf of the OCILJ Steering
Committee. The OCILJ Steering Committee, chaired by Chief of Police Bob
McDonell of Newport Beach, makes decisions on how these funds are
distributed.
C. The OCILJ Project Steering Committee seeks to procure services from a
responsible vendor to provide a technical and operational solution to enable the
Justice agencies in the County to share information with each other from their
records management systems and related databases, and to provide a set of
tools that can be used to analyze the data in those systems across
jurisdictional boundaries. This particular and critical phase of the OCILJ
Project is known as the "RMS/CMS Information Sharing Project," and is being
undertaken by the City of Newport Beach on behalf of the justice agencies in
Orange County, California.
D. The funds currently allocated under the COPS Office grant are insufficient to
implement the entire OCILJ Project and complete the RMS/CMS Information
Sharing Project phase. Santa Ana and Anaheim have received a grant entitled
"FY04 Urban Area Security Initiative" (UASI grant) from the Federal
Department of Homeland Security, Office of Domestic Preparedness, through
the State of California, Office of Homeland Security, to enhance Countywide
emergency preparedness.
The OCILJ Project, especially the portion related to data sharing among
agencies within the County, will substantially enhance homeland security by
significantly improving the accessibility and speed of transfer of criminal justice
Attachment B
and suspect data between the justice agencies within the County, thus
improving investigative abilities and reducing the potential for terrorism or
terrorists to go undetected. Consequently, the Santa Ana and Anaheim Urban
Areas will fund through the FY2004 UASI grant a substantial portion of the
project that enables data and information sharing, as well as the data analysis
and intelligence tools in support of homeland security objectives.
E. The RMS/CMS Information Sharing Project (hereinafter the "Project") includes
the supply of required computer software and hardware as well as integration,
implementation and training services. There are two objectives for the Project:
1. To enable sharing of data from justice agencies' records management
systems (RMS), case management systems (CMS) and related databases
across the County in support of enhanced homeland security and criminal
investigations.
2. To acquire and implement a set of data analysis/intelligence tools in
support of enhanced homeland security and crime-related investigations.
The Project is structured in two phases. Phase 1 is designed to establish the data
sharing solution and will enable the sharing of citation data from the Orange
County Superior Courts, five police records management systems (Newport
Beach, Irvine, Garden Grove, Brea, and the new release of the RMS System being
implemented to serve the West Covina Consortium, consisting of Cypress, Seal
Beach and other Orange County agencies that elect to be served by the
Consortium), and the Orange County Sheriffs Department's RMS and LARS
(Local Arrest Records System, including their Mug-shot database) systems.
Search and analysis tools will be acquired and deployed to allow for the flexible
export of data as well as analysis within the provided toolsets.
Phase 2 involves the incorporation of the approximately 17 additional remaining
police RMS systems throughout the County and portions of the District Attorney
and Probation Department's CMS systems into the infrastructure of the Data
Solution System. Phase 2 will be performed by Contractor on an incremental,
work-order basis as agencies add their RMS system to the integration platform.
F. Contractor is a privately held corporation based in Tucson, Arizona that
specializes in developing khowledge management technology, particularly for
law enforcement entities. The company's product line includes the COPLlNK
Solution Suite Software product, which provides law enforcement agencies with
advanced information search and analysis Gapabilities (hereinafter referred to
as the "Contractor Software" or "Software").
G. City, as grant administrator for the OCILJ, solicited bids from interested
vendors and received a proposal from Contractor. City has reviewed the
previous experience and evaluated the expertise of Contractor, and desires to
retain Contractor to render professional services for the Project, and to provide
the software and hardware components necessary to implement the Project,
under the terms and conditions set forth in this Agreement.
2
Attachment B
H. Contractor possesses the skill, experience, ability, background, certification
and knowledge to provide the services described in this Agreement, and City
desires to engage Contractor to provide these services.
I. Contractor has entered into a subcontracting agreement with Unisys to provide
the computer hardware necessary for the Project.
J. The principal member of Contractor for purposes of the Project shall be
Bradley Cochran, Deployment Manager for Knowledge Computing Corp.
NOW, THEREFORE, it is mutually agreed by and between the undersigned parties as
follows:
1. TERM:
,ft,...'
The term of this Agreement shall commence on the ~day of January 2005, and
for service under Phase 1, shall terminate on the 30 day of November 2005,
unless terminated earlier as set forth herein.
The term of this Agreement for services under Phase 2 shall begin upon the
successful completion and final acceptance by City of services performed under
Phase 1, and shall continue for a period of five years thereafter, unless terminated
earlier as set forth herein.
2. SERVICES TO BE PERFORMED:
Contractor shall diligently perform all the services in both Phase 1 and Phase 2
as described in and modified by this Agreement, the Scope of Work attached
hereto as Exhibit A, and in the Contractor's Proposal for a Records Management
System Data Sharing Solution dated September 15, 2004 (hereinafter the
"Proposal"), attached hereto as Exhibit B and incorporated herein by reference.
The City may elect to delete certain tasks of the services at its sole discretion.
Contractor shall warrant services performed and provide maintenance and
support services for a period of three (3) years from the date of final acceptance
of services performed under Phase 1 of this Agreement, and of individual
systems installed under Phase 2, according to the terms described in Exhibits A
and B.
2.1 Contractor agrees to provide, among other things, the latest release of the
COPLlNK software available at the time of installation of the Project,
which shall include modifications of the Administrative Tools available to
audit COPLlNK use to the satisfaction of City, by insuring they are
configured in such a way as to allow them to be interpreted by the casual
user of the system.
2.2 Contractor agrees to provide City with the computer hardware to
implement the Project, which is described more fully in Appendix E of
3
Attachment B
Contractor's Proposal. City reserves the right to substitute the hardware
configuration specified by the Contractor in its Proposal with a comparable
manufacturer as part of final System Design discussions.
2.3 Contractor agrees to provide what is described as "Coplink Light" software
for use in a mobile computing environment as part of this Agreement.
3. TIME OF PERFORMANCE
Time is of the essence in the performance of services under this Agreement and
the services shall be performed to completion according to the schedule outlined
. in the Proposal. The failure by Contractor to perform the services by this
deadline may result in termination of this Agreement by City.
Notwithstanding the foregoing, Contractor shall not be responsible for delays due
to causes beyond Contractor's reasonable control. However, in the case of any
such delay in the services to be provided for the Project, each party hereby
agrees to provide notice to the other party so that all delays can be addressed.
3.1 Contractor shall submit all requests for extensions of time for performance
in writing to the Project Administrator not later than ten (10) calendar days
after the start of the condition that purportedly causes a delay. The Project
Administrator shall review all such requests and may grant reasonable
time extensions for unforeseeable delays that are beyond Contractor's
control.
3.2 For all time periods not specifically set forth herein, Contractor shall
respond in the most expedient and appropriate manner under the
circumstances, by either telephone, fax, hand"delivery or mail.
3.3 Contractor and City understand that Phase 2 will likely stretch over a
period of several years. RMS systems will be integrated into the final
system design as they come on line and stabilize, and the agencies that
own them are ready to embark on the integration. As agencies are ready
to add their RMS system to the final system platform, a work order will be
issued for one or more RMS systems. Work orders may overlap and
there may be lulls in implementation activity should agencies not be ready
to move their systems to the integrated environment. .
4. COMPENSATION TO CONTRACTOR AND BILLING:
City shall pay Contractor for both Phase 1 and Phase 2 services on a fixed-price,
milestone basis in accordance with the provisions of this Section, the Scope of
Work attached as Exhibit A and the Proposal attached hereto as Exhibit B.
In no event shall Contractor's compensation exceed the total contract price of
One Million, One Hundred Twenty-Three Thousand, Nine Hundred Twenty-
Seven Dollars and Seventy-Two Cents ($1,123,927.72) for Phase 1 of this
Project without additional authorization from City. Contractor agrees to accept
4
Attachment B
the specified compensation, as more fully set forth herein, as full compensation
and remuneration for all costs of services in Phase 1 of the Project, including direct
and indirect charges, supervision, labor, equipment, warranties, training,
machinery, travel costs, mileage and any other expenses incurred by Contractor.
No additional compensation for Phase 1 shall be made during the term of this
Agreement without the prior written approval of City.
Contractor agree to perform all Phase 2 work for an amount not to exceed the
amount of Four Hundred Eighty-Two Thousand, One Hundred Twenty-Five
Dollars and Twenty-Eight Cents ($482,125.28), which will be authorized by
City on a work-order basis, as provided herein.
4.1
Payment milestones for Phase 1 of the Project shall be as provided
below. Terms used are as defined in the Scope of Work:
1
2
3
3% per system to maximum
of 24% of contract value
Percent of Contract Value
5%
10%
15%
4
5
6
7
8
nated facilit 10%
10%
10%
Balance of Contract Value
4.2 Contractor shall submit invoices in accordance with the milestone
payment schedule outlined above. Contractor's invoices shall include the
name of agency/department where services were provided, a brief
description of the services performed and/or the specific milestone in the
Scope of Work to which it relates, the date the services were performed,
and a description of any reimbursable expenditures. City shall pay
Contractor no later than sixty (60) days after approval of the invoice by
City staff.
4.3 City shall reimburse Contractor only for those costs or expenses
specifically approved in this Agreement, or specifically approved in
advance by City.
4.4 Contractor shall not receive any compensation for Extra Work performed
without the prior written authorization of City. As used herein, "Extra
Work" means any work that is determined by City to be necessary for the
proper completion of the Project, but which is not included within the
Proposal and which the parties did not reasonably anticipate would be
necessary at the execution of this Agreement.
5
'"
Attachment B
4.5 Mutually agreed costs for Extra Work shall be added to the total contract
price for the applicable phase. Payment shall be incorporated into the
milestone payment schedule in the same percentages as outlined for the
original contract.
4.6 Notwithstanding any other provision of this Agreement, when payments
made by City equal 90% of the total Phase 1 contract price provided for in
this Agreement, no further payments shall be made until City has
accepted the final Phase 1 work under this Agreement.
4.7 Phase 2 will be contracted on a work-order basis as agencies add their
RMS system to the integration platform. Payments for Phase 2 work shall
be based on the Phase 2 pricing included in Exhibit B, Contractor's
proposal, and shall utilize a payment schedule with a milestone model as
documented above.
4.8 Contractor acknowledges and agrees that in no event shall City's general
fund monies be used to pay for services in either Phase 1 or 2 of the
Project. City is acting solely as the administrator of the COPS MORE
grant funds, which are held in trust by City on behalf of the OCILJ
Steering Committee. In the event these funds are inadequate to pay for
the costs of the Project, Contractor acknowledges and agrees that neither
City nor its general fund shall be required to make up the shortfall.
5. SOFTWARE LICENSE
Contractor hereby grants to City, a perpetual, non-exclusive and non-
transferable license to use for the internal business purposes of City and
participants in the OCILJ as designated by City any and all Contractor Software
provided to City under this Agreement in accordance with the terms and
conditions set forth in this Agreement.
6. PROJECT MANAGER
Contractor shall designate a Project Manager, who shall coordinate all phases of
the Project. . This Project Manager shall be available to City at all reasonable
times during the Agreement term. Contractor has designated Bradley Cochran
to be its Project Manager. Contractor shall not remove or reassign the Project
Manager or any personnel listed in Exhibit B or assign any new or replacement
personnel to the Project without the prior written consent of City. City's approval
shall not be unreasonably withheld with respect to the removal or assignment of
non-key personnel.
Contractor, at the sole discretion of City, shall remove from the Project any of its
personnel assigned to the performance of services upon written request of City.
Contractor warrants that it will continuously furnish the necessary personnel to
complete the Project on a timely basis as contemplated by this Agreement.
6
Attachment B
7. ADMINISTRATION
This Agreement will be administered by the Newport Beach Police Department.
Captain Paul Henisey shall be the Project Administrator and shall have the
authority to act for City under this Agreement The Project Administrator or his
authorized representative shall represent City in all matters pertaining to the
services to be rendered pursuant to this Agreement.
8. CITY'S RESPONSIBILITIES
In order to assist Contractor in the execution of its responsibilities under this
Agreement, City agrees to, where applicable: Provide access to, and upon
request of Contractor, one copy of existing relevant information on file at City. City
will provide all such materials in a timely manner so as not to cause delays in
Contractor's work schedule.
9. STANDARD OF CARE
9.1 All of the services shall be performed by Contractor or under Contractor's
supervision. Contractor represents that it possesses the professional and
technical personnel required to perform the services required by this
Agreement, and that it will perform all services in a manner
commensurate with community professional standards. All services shall
be performed by qualified and experienced personnel who are not
employed by City, nor have any contractual relationship with City.
9.2 Contractor represents and warrants to City that it has or shall obtain all
licenses, permits, qualifications, insurance and approvals of whatsoever
nature that are legally required of Contractor to practice its profession.
Contractor further represents and warrants to City that Contractor shall, at
its sole cost and expense, keep in effect or obtain at all times during the
term of this Agreement, any and all licenses, permits, insurance and other
approvals that are legally required of Contractor to practice its profession.
9.3 Contractor shall not be responsible for delay, nor shall Contractor be
responsible for damages or be in default or deemed to be in default by
reason of strikes, lockouts, accidents, or acts of God, or the failure of City to
furnish timely information or to approve or disapprove Contractor's work
promptly, or delay or faulty performance by City, contractors, or
governmental agencies.
10. HOLD HARMLESS
To the fullest extent permitted by law, Contractor shall indemnify, defend and
hold harmless City, its City Council, boards and commissions, officers, agents
and employees (collectively, the "Indemnified Parties) from and against any and
all claims (including, without limitation, claims for bodily injury, death or damage
to property), demands, obligations, damages, actions. causes of action, suits,
losses, judgments, fines, penalties, liabilities, costs and expenses (including,
7
Attachment B
without limitation, attorney's fees, disbursements and court costs) of every kind
and nature whatsoever (individually, a Claim; collectively, "Claims"), which may
arise from or in any manner relate, directly or indirectly, to any work performed or
services provided under this Agreement including, without limitation, defects in
workmanship or materials and/or design defects [if the design originated with
Contractor]) or Contractor's presence or activities conducted on the Project,
including the negligent and/or willful acts, errors and/or omissions of Contractor,
its principals, officers, agents, employees, vendors, suppliers, consultants,
subcontractors, anyone employed directly or indirectly by any of them or for
whose acts they may be liable or any or all of them.
Notwithstanding the foregoing, nothing herein shall be construed to require
Contractor to indemnify the Indemnified Parties from any Claim arising from the
sole negligence or willful misconduct of the Indemnified Parties. Nothing in this
indemnity shall be construed as authorizing any award of attorney's fees in any
action on or to enforce the terms of this Agreement. This indemnity shall apply
to all claims and liability regardless of whether any insurance policies are
applicable. The policy limits do not act as a limitation upon the amount of
indemnification to be provided by the Contractor.
11. INDEPENDENT CONTRACTOR
It is understood that City retains Contractor on an independent contractor basis
and Contractor is not an agent or employee of City. The manner and means of
conducting the work are under the control of Contractor, except to the extent
they are limited by statute, rule or regulation and the expressed terms of this
Agreement. Nothing in this Agreement shall be deemed to constitute approval
for Contractor or any of Contractor's employees or agents, to be the agents or
employees of City, Contractor shall have the responsibility for and control over
the means of performing the work, provided that Contractor is in compliance with
the terms of this Agreement. Anything in this Agreement that may appear to give
City the right to direct Contractor as to the details of the performance or to
exercise a measure of control over Contractor shall mean only that Contractor
shall follow the desires of City with respect to the results of the services.
12. COOPERATION
Contractor agrees to work closely and cooperate fully with City's designated
Project Administrator and any other agencies, cities an\l other governmental
entities that may have jurisdiction or interest in the work to be performed. City
agrees to cooperate with the Contractor on the Project.
13. CITY POLICY
Contractor shall discuss and review all matters relating to policy and Project
direction with City's Project Administrator in advance of all critical decision points in
order to ensure the Project proceeds in a manner consistent with City goals and
policies.
8
Attachment B
14. PROGRESS
Contractor is responsible for keeping the Project Administrator and/or his duly
authorized designee informed on a regular basis regarding the status and
progress of the Project, activities performed and planned, and any meetings that
have been scheduled or are desired.
15. INSURANCE
Without limiting Contractor's indemnification of City, and prior to commencement
of work, Contractor shall obtain, provide and maintain at its own expense during
the term of this Agreement, a policy or policies of liability insurance of the type
and amounts described below and in a form satisfactory to City.
A. Certificates of Insurance. Contractor shall provide certificates of
insurance with original endorsements to City as evidence of the insurance
coverage required herein. Insurance certificates must be approved by
City's Risk Manager prior to commencement of performance or issuance
_of any permit. Current certification of insurance shall be kept on file with
City at all times during the term of this Agreement.
B. SiGnature. A person authorized by the insurer to bind coverage on its
behalf shall sign certification of all required policies.
C.
Acceptable Insurers. All insurance policies shall be issued by an
insurance company currently authorized by the Insurance Commissioner
to transact business of insurance in the State of California, with an
assigned policyholders' Rating of A (or higher) and Financial Size
Category Class VII (or larger) in accordance with the latest edition of
Best's Key Rating Guide, unless otherwise approved by the CITY's Risk
Manager.
.
D. Coveraqe Requirements.
i. Workers' Compensation Coveraqe. Contractor shall maintain
Workers' Compensation Insurance and Employer's Liability
Insurance for his or her employees in accordance with the laws of
the State of California. In addition, Contractor shall require each
subcontractor to similarly maintain Workers' Compensation
Insurance and Employer's Liability Insurance in accordance with
the laws of the State of California for' all of the subcontractor's
employees. Any notice of cancellation or non-renewal of all
Workers' Compensation policies must be received by City at least
thirty (30) calendar days prior to such change. The insurer shall
agree to waive all rights of subrogation against City, its officers,
agents, employees and volunteers for losses arising from work
performed by Contractor for City.
9
."-
Attachment B
ii. General Liability Coveraqe. Contractor shall maintain commercial
general liability insurance in an amount not less than one million
dollars ($1,000,000) per occurrence for bodily injury, personal
injury, and property damage, including without limitation,
contractual liability. If commercial general liability insurance or
other form with a general aggregate limit is used, either the general
aggregate limit shall apply separately to the work to be performed
under this Agreement, or the general aggregate limit shall be at
least twice the required occurrence limit.
iii. Automobile Liability CoveraQe. Contractor shall maintain
automobile insurance covering bodily injury and property damage
for all activities of the Contractor arising out of or in connection with
work to be performed under this Agreement, including coverage for
any owned, hired, non-owned or rented vehicles, in an amount not
less than one million dollars ($1,000,000) combined single limit for
each occurrence.
iv. Professional Errors and Omissions Insurance. Consultant shall
maintain professional errors and omissions insurance, which
covers the services to be performed in connection with this
Agreement in the minimum amount of one million dollars
($1,000,000).
E. Endorsements. Each general liability 'and automobile liability insurance
policy shall be endorsed with the following specific language:
i. The City, its elected or appointed officers, officials, employees,
agents and volunteers are to be covered as additional insureds with
respect to liability arising out of work performed by or on behalf of
the Contractor.
ii. This policy shall be considered primary insurance as respects to
City, its elected or appointed officers, officials, employees, agents
and volunteers as respects to all claims, losses, or liability arising
directly or indirectly from the Contractor's operations or services
provided to City. Any insurance maintained by City, including any
self-insured retention City may have, shall be considered excess
insurance only and not contributory with the insurance provided
hereunder.
iii. This insurance shall act for each insured and additional insured as
though a separate policy had been written for each, except with
respect to the limits of liability of the insuring company.
iv. The insurer waives all rights of subrogation against City, its elected
or appointed officers, officials, employees, agents and volunteers.
10
Attachment B
v. Any failure to comply with reporting provisions of the policies shall
not affect coverage provided to City, its elected or appointed
officers, officials, employees, agents or volunteers.
vi. The insurance provided by this policy shall not be suspended,
voided, canceled, or reduced in coverage or in limits, by either
party except after thirty (30) calendar days written notice has been
received by City.
F. Timelv Notice of Claims. Contractor shall give City prompt and timely
notice of claim made or suit instituted arising out of or resulting from
Contractor's performance under this Agreement.
G. Additional Insurance. Contractor shall also procure and maintain, at its
own cost and expense, any additional kinds of insurance, which in its own
judgment may be necessary for its proper protection and prosecution of
the work.
16. PROHIBITION AGAINST ASSIGNMENTS AND TRANSFERS
Except as specifically authorized under this Agreement, the services to be
prpvided under this Agreement shall not be assigned, transferred, contracted or
subcontracted out without the prior written approval of City. Any of the following
shall be construed as an assignment: The sale, assignment, transfer or other
disposition of any of the issued and outstanding capital stock of Contractor, or of
the interest of any general partner or joint venturer or syndicate member or
cotenant if Contractor is a partnership or joint-venture or syndicate or cotenancy,
which shall result in changing the control of Contractor. Control means fifty
percent (50%) or more of the voting power, or twenty-five percent (25%) or more
of the assets of the corporation, partnership or joint venture.
17. SUBCONTRACTING
City and Contractor agree that subcontractors may be used to complete the work
outlined in the Scope of Services. The subcontractors authorized by City to
perform work on this Project include Unisys, and are identified in Exhibit B.
Contractor shall be fully responsible to City for all acts and omissions of the
subcontractors. .
Nothing in this Agreement shall create any contractual relationShip between .City
and subcontractor nor shall it create any obligation on the part of City to payor to
see to the payment of any monies due to any such subcontractor other than as
otherwise required by law. Except as specifically authorized herein, the services to
be provided under this Agreement shall not be otherwise assigned, transferred.
contracted or subcontracted out without the prior written approval of City.
11
.c:
Attachment B
18. OWNERSHIP I INTELLECTUAL PROPERTY
(A) Contractor has created, acquired or otherwise has rights in, and may, in
connection with the performance of services hereunder, employ, provide,
modify, create, acquire or otherwise obtain rights in, various concepts,
ideas, methods, methodologies, procedures, processes, know-how,
techniques, models, templates, the generalized features of the structure,
sequence and organization of software, user interfaces and screen
designs, general purpose consulting and software tools, utilities and
routines, and logic, coherence and methods of operation of systems
(collectively, "Contractor Technology"). To the extent that Contractor uses
any of its intellectual or other property in connection with the performance
of its services, Contractor shall retain all right, title and interest in and to
such property, and, except for the license expressly granted, City shall
acquire no right, title or interest in or to such property.
(8) City has permanent ownership of all directly connected and derivative
materials first produced under this Agreement in connection with the
Services by Contractor for delivery to the City, excluding any Contractor
Technology contained therein. All documents, reports and other
incidental or derivative work or materials furnished hereunder shall
become and remain the sole property of the City and may be used by the
City as it may require without additional cost to the City. Contractor
without the express written consent of the City shall use none of the
documents, reports and other incidental or derivative work or furnished
materials except in providing the Services hereunder. All materials,
documents, data or information obtained from City data files or any City
medium furnished to Contractor in the performance of this Agreement will
at all times remain the property of the City.
(C) City shall have the right to use the trademarks and name of Contractor,
but shall not have the right to use the narnes of the inventors of the
Contractor's Software without the written consent of the party whose
name is desired to be used.
19. COMPUTER DELIVERABLES
All system and project management documentation including (but not limited to:
design documents, as-built documentation, working papers, test results, training
materials and other written documents shall be delivered in hard copy and
transmitted to City in an electronic version using Microsoft Office Products,
including Microsoft Word. Excel and Project readable by City.
20. SOURCE CODE ESCROW
All application source code authored by the Contractor shall be placed in a source
code escrow account acceptable to the City. All updates to the software provided
to the City and its assigns and agents shall be placed into the account as long as
12
Attachment B
the City and its assigns have a valid maintenance support arrangement with the
Contractor. In the event that the Contractor becomes insolvent or is found to be in
breach of its support agreement with the City, the City shall be given access to the
source code in escrow and shall have the right to contract with another vendor for
the ongoing maintenance and enhancement of its installation.
21. WARRANTY AND ONGOING MAINTENANCE SUPPORT
21.1 General Warranty: Contractor hereby represents and warrants for the
benefit of City that, for a period of 90 days from the date of final
acceptance, and after each update or revision thereof, all COPLlNK
Software products and ETL (ExtractfTransfer/Load) services will
substantially conform to the representations made in the Contractor's
Proposal. Equipment provided by Unisys as part of the subcontracting
Agreement between Contractor and Unisys is subject to standard Unisys
product warranties and licensing.
21.2 Warranty of Title: Contractor represents and warrants that it owns the
Software, or has a right to license the Software, as described in this
Agreement and Exhibit B.
21.3 Annual Maintenance Plan: Contractor shall maintain and support the
Software subject to the terms outlined in the Scope of Services, attached
hereto as Exhibit A. City has opted to purchase the three-year warranty
package outlined in Contractor's Proposal.
21.4 Response Times: During the warranty period, the Contractor shall
provide 4-hour on-site response to a system deficiency that affects 10 or
more workstations, or one server or impacts average transaction time by
more than 20%. Staff must be available to respond Monday through
Friday from 8 am to 5 pm, Pacific Standard Time.
21.5 Routine Maintenance: During the warranty period, Contractor will visit
the site at least once every 12 weeks, and at that time verify that all
system components are operating within specifications and upgrade all
system components to the latest available software release. Operating
systems need not be upgraded as new releases are issued but all
maintenance patches available must be installed on the servers on the
monthly visits.
22. ACCEPTANCE OF DELlVERABLES
For each project deliverable, Contractor will present the OCILJ Project
Coordinator with a Deliverable Acceptance Statement. The project coordinator
should sign and return a copy of this form to the Unisys Project Manager. If the
OCILJ does not return a signed copy, or a written description of any perceived
deficiencies in the service within fifteen (15) days after receipt of the Deliverable
Acceptance Statement, then the services will be deemed accepted.
13
,-;
Attachment B
23. CONFIDENTIALITY
(A) Contractor agrees to maintain the confidentiality of its records pursuant to
all statutory laws relating to privacy and confidentiality as now in existence
or as hereafter amended or changed. "Confidential Information" shall
include criminal history information and records, Contractor's research
and development plans and reports, the computer code for the Contractor
Software (both source and object code), the functionality or manner of
operation of any computer code (including without limitation screen
designs and flows), or any other designs, techniques, methods,
specifications, drawings, sketches, processes, trade secrets, product
information, print-outs, formulae, samples, prototypes, systems and
components, marketing or promotional information, and any other
information marked confidential or accompanied by correspondence
indicating such information is confidential exchanged between the parties
hereto. All records and information concerning any and all matters
referred to Contractor by the City shall be considered and kept
confidential by Contractor and Contractor's staff, agents, subcontractors,
and employees. Information obtained by a party in the performance or
receipt of the Services under this Agreement ("Confidential Information")
shall be treated as confidential and shall not be used by the other party for
any purpose other than the performance or receipt of the Services under
this Agreement.
(8) Each party shall maintain the Confidential Information of the other party in
confidence using at least the same degree of care as it employs in
maintaining in confidence its own proprietary and confidential information.
but in no event less than a reasonable degree of care. Confidential
Information shall not include information which (i) shall have otherwise
become publicly available other than as a result of disclosure by the
receiving party in breach hereof, (ii) "Was disclosed to the receiving party
on a non-confidential basis from a source other than the disclosing party, .
which the receiving party believes is not prohibited from disclosing sLich
information as a result of an obligation in favor of the disclosing party, (iii)
is developed by the receiving party independently of, or was kno,wn by the
receiving party prior to, any disclosure of such information made by the
disclosing party, or (iv) is disclosed with the written consent of the
disclosing party. A receiving party also may disclose Confidential
Information to the extent required by an order of a court of competent
jurisdiction, administrative agency or governmental body, or by any law,
rule or regulation, or by subpoena, summons or other administrative or
legal process.
(C) Contractor's employees assigned to this Project must meet character
standards as demonstrated by background investigation and reference
checks, coordinated by City.
14
Attachment B
24. INTELLECTUAL PROPERTY INDEMNITY
The Contractor shall defend and indemnify City, its agents, officers,
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 Contractor's Deliverables and
specifications provided under this Agreement.
25. 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 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
City to examine, audit and make transcripts or copies of such records and
invoices during regular business hours. Contractor shall allow inspection of all
work, data, Documents, proceedings and activities related to the Agreement for a
period of three (3) years from the date of final payment to Contractor under this
Agreement.
26. WITH HOLDINGS
City may withhold payment to Contractor of any disputed sums until satisfaction
of the dispute with respect to such payment. Such withholding shall not be
deemed to constitute a failure to pay according to the terms of this Agreement.
Contractor shall not discontinue work as a result of such withholding. Contractor
shall have an immediate right to appeal to the City Manager or his/her designee
with respect to such disputed sums. Contractor shall be entitled to receive
interest on any withheld sums at the rate of return that City earned on its
investments during the time period, from the date of withholding of any amounts
found to have been improperly withheld.
27. ERRORS AND OMISSIONS
In the event of errors or omissions that are due to the negligence or professional
inexperience of Contractor which result in expense to City greater than what
would have resulted if there were not errors or omissions in the work
accomplished by Contractor, the additional expense shall be borne by
Contractor. Nothing in this paragraph is intended to limit City's rights under any
other sections of this Agreement.
28. CITY'S RIGHT TO EMPLOY OTHER CONTRACTORS
City reserves the right to employ other consultants or contractors in connection
with the Project.
15
,<,\
Attachment B
29. CONFLICTS OF INTEREST
The Contractor or its employees may be subject to the provIsions of the
California Political Reform Act of 1974 (the "Act"), which (1) requires such
persons to disclose any financial interest that may foreseeably be materially
affected by the work performed under this Agreement, and (2) prohibits such
persons from making, or participating in making, decisions that will foreseeably
financially affect such interest.
If subject to the Act, Contractor shall conform to all requirements of the Act.
Failure to do so constitutes a material breach and is grounds for immediate
termination of this Agreement by City. Contractor shall indemnify and hold
harmless City for any and all claims for damages resulting from Contractor's
violation of this Section.
30. NOTICES
All notices, demands, requests or approvals to be given under the terms of this
Agreement shall be given in writing, to City by Contractor and conclusively shall
be deemed served when delivered personally, or on the third business day after
the deposit thereof in the United States mail, postage prepaid, first-class mail,
addressed as hereinafter provided. All notices, demands, requests or approvals
from Contractor to City shall be addressed to City at:
Captain Paul Henisey
Newport Beach Police Department
870 Santa Barbara Drive
Newport Beach, CA, 92658-7000
(949) 644-3650
Fax 644-3693
All notices, demands, requests or approvals from City to Contractor shall be
addressed to Contractor at:
Attention: Mr. Thomas O'Neil
Vice President of Operations
Knowledge Computing Corporation
6601 East Grant Road
Tucson, AZ 85715
(520) 574-1519 x118
Fax
31. TERMINATION
In the event that either party fails or refuses to perform any of the provisions of
this Agreement at the time and in the manner required, that party shall be
deemed in default in the performance of this Agreement. If such default is not
cured within a period of two (2) calendar days, or if more than two (2) calendar
days are reasonably required to cure the default and the defaulting party fails to
16
~"
Attachment B
give adequate assurance of due performance within two (2) calendar days after
receipt of written notice of default, specifying the nature of such default and the
steps necessary to cure such default, the non-defaulting party may terminate the
Agreement forthwith by giving to the defaulting party written notice thereof.
Notwithstanding the above provisions, City shall have the right, at its sole
discretion and without cause, of terminating this Agreement at any time by giving
seven (7) calendar days prior written notice to Contractor. In the event of
termination under this Section, City shall pay Contractor for services satisfactorily
performed and costs incurred up to the effective date of termination for which
Contractor has not been previously paid. On the effective date of termination,
Contractor shall deliver to City all reports, Documents and other information
developed or accumulated in the performance of this Agreement, whether in
draft or final form.
32. COMPLIANCE WITH ALL LAWS
Contractor shall at its own cost and expense comply with all statutes,
ordinances, regulations and requirements of all governmental entities, including
federal, state, county or municipal, whether now in force or hereinafter enacted.
In addition, all work prepared by Contractor shall conform to applicable City,
county, state and federal laws, rules, regulations and permit requirements and be
subject to approval of the Project Administrator and City.
33. WAIVER
A waiver by either party of any breach, of any term, covenant or condition
contained herein shall not be deemed to be a waiver of any subsequent breach
of the same or any other term, covenant or condition contained herein, whether
of the same or a different character.
34. INTEGRATED CONTRACT
This Agreement represents the full and complete understanding of every kind or
nature whatsoever between the parties hereto, and all preliminary negotiations
and agreements of whatsoever kind or nature are merged herein. No verbal
agreement or implied covenant shall be held to vary the provisions herein.
35. CONFLICTS OR INCONSISTENCIES
In the event there are any conflicts, ambiguities or inconsistencies between this
Agreement, the Scope of Services and the Proposal or any other exhibits
attached thereto, the order of precedence in interpretation shall be as follows:
The terms of this Agreement shall govern first, the terms of the Scope of Work
shall govern second, and the terms of the Contractor's Proposal shall govern
third.
City specifically rejects and does not agree to the following provisions included in
Contractor's Proposal: Paragraphs 6, 8, 9, 10, 17 and 26 of Appendix H,
17
r).
Attachment B
"Technical and General Assumptions." These provisions are not part of this
Agreement.
Each party and its counsel have participated fully in the review and revision of
this Agreement. Any rule of construction to the effect that ambiguities are to be
resolved against the drafting party shall not apply in interpreting this Agreement.
36. AMENDMENTS
This Agreement may be modified or amended only by a written document
executed by both Contractor and City and approved as to form by the City
Attorney.
37. SEVERABILITY
If any term or portion of this Agreement is held to be invalid, illegal, or otherwise
unenforceable by a court of competent jurisdiction, the remaining provisidns of
this Agreement shall continue in full force and effect.
38. CONTROLLING LAW AND VENUE
The laws of the State of California shall govern this Agreement and all matters
relating to it and any action brought relating to this Agreement shall be
adjudicated in a court of competent jurisdiction in the County of Orange.
39. EQUAL OPPORTUNITY EMPLOYMENT
Contractor represents that it is an equal opportunity employer and it shall not
discriminate against any subcontractor, employee or applicant for employment
because of race, religion, color, national origin, handicap, ancestry, sex or age.
40. PUBLICATION AND PRESS RELEASES
Contractor shall have the right to issue a press release(s) that references the
Project immediately upon execution of this Agreement. City must approve the
press release(s) prior to issuance. Contractor may also publish general details
about any successful investigations that resulted from the use of its software
applications, subject to privacy and security law, regulations and policies. City
must approve any such references.
41. COUNTERPARTS
This Agreement may be signed in any number of counterparts.
IN WITNESS WHEREOF. the parties have caused this Agreement to be executed on
the day and year first written above.
18
Attachment B
APP711=RM
Robin Clauson, City Attorney
for the City of Newport Beach
CONTRACTOR:
Attachments:
Exhibit A-
Exhibit B -
Scope of Work
Proposal for a Records Management System Data Sharing Solution,
dated September 15, 2004
F: users/caUshared/ag/ILK Knowledge Computing Corporation Contract.doc
19
,,3
Attachment B
Exhibit A - Scope of Work
This section outlines the services, equipment, software and tools to be provided by the
Integrated Justice System Vendor in the execution of the contract. The services and
products described apply to the Integrated Justice System Search Tool, integrated data
system and Analysis Tools. For the purposes of the scope of work, the Orange County
Integrated Law & Justice Steering Committee considers all of these subsystems integral
parts of a single system, hereafter referred to as the OCILJ Data Sharing Solution.
The delivered system must meet the functional and technical requirements as detailed
in Section REQ, Requirements.
There are two components to the system. The first is an integration and data sharing
solution that extracts data from existing records management systems and makes that
information available to all participating agencies through a search user interface. The
second component is a set of analysis tools that allows staff from the various agencies
to manipulate and analyze the data extracted from the RMS, CAD and various other
systems that may be added to the overall integration solution over time.
For the purposes of this document, the scope of work may be divided into two phases.
Phase 1 includes full implementation of the OCILJ Data Sharing Solution (data
integration, search and analysis tools) including data integration of 3-7 police agency
records management systems within Orange County and the court's citation database.
Phase 2 includes the addition of the remaining police agencies into the integrated
system and will be conducted on an incremental basis.
Provision and implementation of the analysis tools is expected to be completed in
Phase 1 of the project.
A number of team members from each justice agency will be involved with the overall
project. Actual team members will be selected at a later date, for the purposes of this
document they are referred to as the Orange County Integrated Law & Justice (OCILJ)
Working Group. The members of this team will fluctuate with the project schedule,
depending on the timing of the work for a specific agency. The overall deciding body of
the project includes officials from all involved police and justice agencies, referred to as
the OCILJ Steering Committee.
The scope of work will include the integration of data from court's citation database and
a number of police agency records management systems; hereafter referred to as
Phase 1 sites that will implement solution. The following sites are currently being
considered for inclusion in Phase 1.
Phase 1 Sites:
No A
1 Brea
2 West Covina Consortium
3 Garden Grove PO
4 Irvine
5 New ort Beach
6 Oran e Count Sheriff
Records Mana
Tiburon
West Covina
Custom RMS
Inter ra h
Northro Grumman (PRC)
Visionair
20
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Attachment B
7
8
A final selection of Phase 1 sites will be determined at contract depending on the level
of cooperation required and achieved with the RMS vendor and pricing and budget
considerations. Vendors should base their pricing on the assumption that at least 3
Police RMS systems will be included in Phase 1.
Phase 2 Sites:
No Agency Records Management System
1. Huntington Beach PO Intergraph
2. Fullerton PO West Covina Services Group
3. Westminster PO Alliance PO, Cyrun Co~
4. Tustin PO West Covina Services Group
5. los Alamitos PO West Covina Services Group
6. Fountain Valley PO West Covina Services Group
7. Buena Park PD Spillman
8. la Palma PO West Covina Services Group
9. Santa Ana PO Custom built
10. la Habra PO . West Covina Services Group --
11. Orange PO Vision air RMS 3.0.5 --
12. Costa Mesa PO Motorola PrinTrak --
13. Anaheim PO Currently in procurement --
14. Placentia PO
15. laguna Beach West Covina Services Group
While Phase 1 sites will have their data shared in Phase 1, all of the participating justice
agencies will be able to search, view and analyze the shared data during Phase 1.
SOW 1 - General
SOW1-1 location of Work
The primary work location shall be in facilities provided by the Orange County
Integrated law & Justice agencies in the State of California. The Vendor can
complete much of the work in their own facilities. However, all requirements
workshops, project management meetings, training and integration and
acceptan'ce testing shall occur at the Primary Work location. These
requirements are applicable to both Phase 1 and Phase 2.
SOW1-2 Vendor Project Manager
The Vendor shall assign a Vendor Project Manager to this project. The Vendor
Project Manager will be the single point of contact responsible for all work
undertaken by the Vendor. The Vendor Project Manager shall be on site in
Orange County as needed through the duration of the project. Ouring
implementation and up to provisional acceptance the Vendor Project Manager
must be on site in Orange County at least 4 days every two weeks unless agreed
to by the OCILJ Project Manager. At no time during the project, shall the project
21
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Attachment B
manager be on site less than 2 days in a calendar month. These requirements
are applicable to both Phase 1 and Phase 2.
SOW1-3 System Staff on Site Support
For Phase 1, programmers and systems specialists capable of making any
required changes to the system shall be on site on a full time basis for the
duration of system integration testing, and on a half time basis through to
provisional acceptance of Phase 1. Support personnel capable of restoring the
system shall be available within 4 hours through Final Acceptance of the system.
The same requirements apply to Phase 2 incremental projects.
SOW 2 - Services
SOW2.1 Inception
For Phase 1, the Vendor shall meet with the Orange County Integrated Law &
Justice project management as often as necessary over the period of 3 weeks to
finalize the project plan, schedule initial meetings and workshops and agree and
document project processes, procedures and reporting systems. For costing
purposes, the Vendor should expect to meet onsite at least 3 days per week.
For Phase 2, the Vendor shall meet with the Orange County Integrated Law &
Justice project management as often as necessary, for each RMS system to be
integrated, to finalize the project plan, schedule initial meetings and workshops
and agree and document project processes, procedures and reporting systems.
For costing purposes, the Vendor should expect to meet for 3 days for each site.
This meeting period will commence within 3 weeks of the vendor being notified
that OCILJ wishes to add an RMS system to the integration solution.
Requirements for the number of days spent onsite for the Inception services are
included here for cost purposes. Actual time requirements for Inception services
may vary.
SOW2-2 Site Surveys
In conjunction with the inception meetings, the Vendor shall visit all sites
included in the phase and work with technical personnel at that agency as well
as the agency's RMS vendor to fully validate their approach and design for
integration with the data at that site. During these visits the Vendor shall
determine the installation requirements for the OCILJ Data Sharing Solution
components to be installed and the suitability of the facilities and infrastructure of
the sites to house the system and associated equipment. The findings of these
examinations will be compiled by the Vendor and submitted to the OCILJ
Steering Committee. OCILJ police agencies will implement physical plant
electrical and network facilities to support the system based on the report
provided by the Vendor.
SOW2-3 Requirements Validation Workshops
The Vendor shall conduct requirements validation workshops to walk through all
of the Orange County Integrated Law & Justice requirements and determine the
required configuration details. Workshops will need to be held for each site that
22
')l/
Attachment B
will be included in the OCILJ Data Sharing Solution. Logistics for the workshops
shall be managed by the Orange County Integrated Law & Justice team
members. These requirements are applicable to both Phase 1 and Phase 2.
SQW2-4 System Design Documentation
Following the requirements validation workshops the Vendor shall develop
design documents detailing the configuration and any custom development. The
documentation must be detailed enough for reviewers to understand the function
and appearance of all screens. This documentation shall be submitted to the
OCILJ Steering Committee for a 1 week review period. During the review period
the Vendor shall update the project plan to reflect the configuration and
customization effort. Following the OCILJ Steering Committee's review, the
Vendor and the OCILJ Working Group shall finalize the design documents and
project schedule. These requirements are applicable to both Phase 1 and
Phase 2.
SQW2-5 Development and Customization
The Vendor shall perform the customizations outlined in the finalized System
Design Documentation described above. These requirements are applicable to
both Phase1 and Phase 2.
SOW2-6 Configuration
The Vendor shall undertake all configuration of the data sharing application, the
Search Tool, and Analysis Tools to meet the requirements as defined in the
workshops and design documentation. These requirements are applicable to
both Phase 1 and Phase 2.
SOW2-7 Interfaces
The Vendor shall be responsible for implementing all aspects of the interfaces
described in the requirements. The Vendor will be responsible for implementing
the legacy system end of the interfaces, working with OCILJ staff to understand
technical interface requirements and for liaising with RMS vendors to facilitate
interfaces with OCILJ RMS's. As appropriate, the Vendor will utilize existing
OCILJ relationships with RMS vendors. Each OCILJ agency intends to provide
support for establishing relationships with RMS vendors and bUilding the
interfaces for this project. but that support may not always be guaranteed. In
cases where select police agency Records Management System vendors do not
allow direct alterations for interfaces, the Vendor will liaise with RMS vendors for
the creation of required interfaces. These requirements are applicable to both
Phase 1 and Phase 2.
SOW2-8 Integration
Primary integration of the solution with outside systems will be the
responsibilities of the Vendor. The Vendor shall be fully responsible for full
integration' of the data sharing solution with the Search tool, Analysis Tools and
current police agency RMSs. The Vendor will also be responsible for integrating
the Data Sharing Solution with the ELETE system and the Orange County
Court's citation database. The Vendor shall actively work with Orange County
police agencies and courts, their staff, and any other contractors employed by
23
~-:J
Attachment B
justice agencies within the county to support the integration of the Records
Management Systems. These requirements are applicable to both Phase 1 and
Phase 2.
In some cases, the Data Sharing project team may experience problems with the
integration, such as a lack of cooperation from an RMS vendor. OCILJ and the
Vendor will utilize all reasonable resources to resolve integration problems.
However, if the problem persists or the solution is cost-prohibitive, OCILJ
reserves the right to change the sites that will be part of Phase 1.
SOW2-9 Server Installation
The Vendor will work with OCILJ agencies to understand existing infrastructure
available for use on this project. In the event that more servers are required, the
Vendor shall install, configure, test and commission all Server equipment and
infrastructure required to support the system. The development server shall be
installed and commissioned at the Primary Work Location prior to acceptance of
the System Design Documentation by the OCILJ Steering Committee. The
production environments must be installed and commisSioned 8 weeks prior to
commencement of Data Sharing Solution Testing. In a number of cases, several
police agencies may already own adequate hardware and server software. This
hardware will be identified in Inception. These requirements are applicable to
both Phase 1 and Phase 2.
SOW2-10 Workstation Software Installation
Systems that require the installation of workstation software are discouraged. In
the event that a vendor solution requires workstation specific software be
installed, the Vendor shall install all workstation software to support the
application including any client application software. The Vendor can assume
that Microsoft Windows NT, XP, 2000, 2003 and all standard Windows
components already exist on all workstations, including Internet Explorer. These
requirements are applicable to both Phase 1 and Phase 2.
During Phase 1, up to 500 workstations at up to 10 different locations may be
required. During Phase 2, the Vendor should assume that an average of 100
workstations will be required for each additional RMS system incorporated into
the solution.
SOW2-11 Project Management
The Vendor Project Manager shall maintain a detailed schedule of activities for
his/her team and update the schedule on a weekly basis until Provisional
Acceptance of the system. The updated schedule shall, along with progress
reports, be forwarded to the OCILJ Project Manager on a weekly basis. The
Vendor Project Manager shall present the current status of the work at a meeting
in Orange County every 2 weeks through the life of the project.
Progress reports shall include a table listing all delivery milestones along with the
originally scheduled date and the current target date and the number of changes
to the date.
24
~91
Attachment B
The Project Management requirements are applicable to both Phase 1 and
Phase 2.
SOW 3 - Equipment and Software
SOW3-1 Complete Solution
The Vendor shall offer a complete solution including all hardware and software
required to operate the production system. The Integrated Justice Working
Group has a number of Windows 2000 servers and Microsoft SQL Server
licenses. During negotiations and design, discussions will be undertaken to
determine if the solution can be operated on the Group's existing infrastructure.
SOW3-2 Primary Server and Infrastructure Environment
The Vendor shall provide, deliver, install, configure and test the complete
production server hardware and software environment in the selected data
center location. All warranty and licensing agreements associated with this
infrastructure must be in the name of the OCILJ Working Group or their
designate.
SOW3-3 Development I Test Server Environment
The Vendor shall consult with the OCILJ Working Group and Steering
Committee to ascertain the availability of development and test servers. dt new
equipment will be required, the Vendor shall provide, deliver, install, configure
and test the complete development server hardware and software environment
in the selected data center location. All warranty and licensing agreements
associated with this infrastructure must be in the name of the OCILJ Working
Group or their designate. The Development and Test environment will be used
by Vendor personnel to configure and do preliminary testing of the system prior
to commissioning. The system must be sized to support the development and
configuration that will be performed by the Vendor and must scale to the
requirements for Phase 2.
SOW3-4 Development Workstations
The Vendor shall determine the number of required development workstations in
the inception phase of Phase 1. The Vendor shall provide, deliver, install,
configure and test the development workstations and a development local area
network infrastructure to be used by Vendor personnEi!1. After the completion of
Phase 1, the development workstations will continue to be used for Phase 2..
Any additional workstation requirements for Phase 2 will be determined in the
Phase 2 inception phase. All warranty and licensing agreements associated with
this infrastructure must be in the name of the Orange County Integrated Law &
Justice Working Group or their designate.
SOW3-5 User Workstations
The Vendor shall provide specifications for user workstations as outlined in the
submission requirements. If additional or altered specifications are created as a
result of changes for Phase 2 implementation, the Vendor will reissue
specifications for user workstations.
25
/)'1
Attachment B
SOW3-6 System Software
The Vendor shall provide, deliver, install, configure and test all Data Sharing
Solution system software. The Vendor will be responsible for installing any client
software that is required other than standard browsers on all workstations at
Phase 1 sites and Phase 2 sites. All warranty and licensing agreements
associated with this infrastructure must be in the name of the Orange County
Integrated Law & Justice Working Group or their designate.
SOW3-7 Data Integration and Web Development Tools
The Vendor's responsibilities in this area are limited to providing the applications
configuration and web development tools used to meet the requirements of the
Data Sharing Solution defined in the System Design Documentation,and
providing training and documentation on any proprietary products and tools
supplied.
SOW3-8 Third Party Software
The Vendor shall provide, deliver, install, configure and test all third party
software that is required to support the operation of the Data Sharing Solution on
all of the server components as well as any items that are required other than
those provided with Microsoft Windows XP/NT/2000/2003 or later operating
systems on the workstations. All warranty and licensing agreements associated
with this software must be in the name of the Orange County Integrated Law &
Justice Working Group or their designate.
SOW3-9 System Management Software
The Vendor shall provide, deliver, install, configure and test all software that is
required to effectively manage the server infrastructure and the applications. All
warranty and licensing agreements associated with this software must be in the
name of the Orange County Integrated Law & Justice Working Group or their
designate.
SOW 4 -Acceptance and Testing
SOW4-1 Acceptance
Acceptance of the Data Sharing Solution shall be conducted in a multistage
process in Phase 1 and Phase 2.
SOW4-2 Preliminary Acceptance
Preliminary Acceptance shall be granted following the acceptable completion of
Data Sharing Solution Testing and clearance of all deficiencies identified during
Data Sharing Solution Testing. These requirements are applicable to both
Phase 1 and Phase 2.
SOW4-3 Provisional Acceptance
Provisional Acceptance shall be granted following the acceptable completion of
user acceptance testing and clearance of all deficiencies identified during user
acceptance testing.
26
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Attachment B
SOW4-4 Final Acceptance
Final Acceptance in Phase 1 shall be granted after 16 weeks of operation
without a system outage affecting more than 10 workstations or reducing system
throughput by more than 20%. Final Acceptance in Phase 2 will follow similar
guidelines but will be staggered, according to the project schedule.
SOW4-5 Data Sharing Solution Testing
This testing shall be conducted on each site Production System, prior to the
commencement of system Integration Testing. If the solution consists of one
central system for all sites, this testing will consist of individual testing for each
site. The Vendor shall be responsible for developing and submitting a testing
plan for approval by the OCILJ Steering Committee at least 4 weeks prior to
commencing the testing. This testing shall completely test the operation of the
Data Sharing Solution at/for each site. The testing shall also include load testing
that confirms satisfactory operation with 100 concurrent users simulated. In
addition to the testing proposed by the Vendor, the OCILJ Working Group may
submit additional tests that must be completed by the vendor. Requirements for
Data Sharing Solution Testing are applicable to both Phase 1 and Phase 2.
SOW4-6 System Integration Testing
System integration testing shall be conducted by the Vendor. The testing shall
be conducted on the Production system prior to the commencement of training
or user acceptance testing. The testing shall exercise all integration points and
interfaces. The Vendor's primary responsibilities during this testing will be
verifying operation of the Data Sharing Solution for all Phase 1 sites and
repeating the system load test on the production system with all Phase 1
interfaces active. For Phase 2, system integration testing will also be conducted
by the Vendor. The manner in which System Integration Testing will be
conducted in Phase 2 will be determined in the Inception Phase.
SOW4-7 User Acceptance Testing
User Acceptance Testing shall be conducted following the System Integration
Testing on the Production System. The testing will be conducted by the Vendor.
The Vendor shall have personnel on site throughout the testing to address
deficiencies and operational issues that arise. User acceptance testing will only
be performed in Phase 1. However. if changes are introduced into the system as
part of Phase 2 implementation, a subset user acceptance testing phase will be
conducted.
SOW 5 - Training
SOW5-1 General Training Philosophy
The Vendor shall develop and conduct all primary system training. Train the
trainer courses shall not be used to train users for initial system startup. The
OCILJ Working Group shall provide training rooms with furniture and network
connection to the production server location. The OCILJ Steering Committee will
designate between 2 and 10 personnel that will become staff trainers following
acceptance of the system. These personnel will work with the Vendor to provide
27
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Attachment B
input into the operational aspects of the training materials and will be the primary
reviewers of the training materials. They will also sit in the courses as instructor
trainees to develop an understanding for how the material should be delivered.
For Phase 2, training will be conducted by the OCILJ staff trainers.
SOW5-2 User Training
The Vendor shall develop and deliver a primary user training course to up to 100
users. Two classes shall be conducted simultaneously in 20 person classrooms.
The curriculum must be sufficient to allow users with a basic understanding of
the police agency's business to become proficient in the use of the system to
conduct their day to day activities.
SOW5-3 Administrator Training
The Vendor shall develop and conduct a course suitable for system
administrators. This course will be delivered two times in classes of up to 5
people. This course should contain detailed explanations of the technical
administration of the Data Sharing Solution, including management of security.
This service will primarily be provided as part of Phase 1. However, should a
significant number of administrator resources be identified in Phase 2, additional
administrator training courses may be required.
SOW 6 - Documentation
SOW6-1 General Documentation
The Vendor shall provide complete product documentation (such as standard
docs that accompany a purchased server computer) for all software and
hardware components provided to the OCILJ Working Group as part of this
contract. This requirement is applicable to Phase 1 and Phase 2 work.
SOW6-2 Data Sharing Solution Systems Documentation
Two hard copies 'and one electronic copy of all Data Sharing Solution system
documentation shall be provided in Phase 1. If changes to the Data Sharing
Solution systems documentation result from work performed in Phase 2, two
hard copies and one electronic copy of updated Data Sharing Solution systems
documentation will be provided in Phase 2. Data Sharing Solution systems
documentation includes all project planning and execution deliverables.
SOW6-3 User Documentation
The Vendor shall provide all user documentation in an electronic format
simultaneously accessible to all users in or affiliated with OCILJ police agencies.
The documentation must be sufficiently detailed and complete so that a
computer literate user could use it to learn all functions of the system.
The documentation must incorporate instructions on how to use all features
customized and configured for this installation.
The documentation available after Phase 2 implementation or an incremental
implementation in Phase 2 will reflect any changes resulting from Phase 2 work.
28
Attachment B
SOW6-4 Training Documentation
The vendor shall create two user manuals, one for using the Search Tool and
another for using the Analysis Tools. Each training manual must be a
substantive document that provides material for training all functionality within
the solution. These training manuals must be approved by the project
management prior to being released to end users. The Vendor shall provide at
least 30 copies of each training manual to be distributed to personnel as they
receive training on the use of the system. The Vendor shall also provide the
OCILJ Working Group with editable electronic versions of these manuals in order
that they may be updated and additional copies made for future training of new
employees.
The manuals must include a quick reference section that users may use on an
ongoing basis as well as training exercises, examples of functions and
instructions for basic operation of the system. It is expected that these quick
references will be a supplement or subset of the online training materials
specified above.
Should changes to the training documentation be required as a result of Phase 2
changes, the Vendor shall provide 50 updated copies of a training manual to the
OCILJ Working Group.
SOW6-5 Technical Documentation
The Vendor shall provide 2 sets of all hardware and third party software technical
documentation for each site on which these items are installed. The Vendor
shall provide 2 sets of technical documentation describing configuration.
database mapping integration techniques, systems management and technical
support procedures for the Data Sharing Solution for each site. These
requirements apply to both Phase 1 and Phase 2. If changes to the technical
documentation result from Phase 2 work, and those changes are applied to the
Phase 1 implementation, updated technical documentation will be provided to
the Phase 1 sites.
SOW6-6 Database Documentation
Wherever databases are established or significant work is done understanding
existing databases, the Vendor shall compile documentation on the database
structure and schema suitable to support ongoing support and further extension
and expansion of th.ese databases. This documentation shall be left with the
OCILJ Working Group for use as they see fit in the ongoing operation,
maintenance and expansion of the system.
SOW6-7 Data Mapping Documentation
Data originating from each data source will be transformed (if required) and
mapped to a corresponding Global Justice XML defined element. The Vendor
must create and maintain documentation for each data source that includes the
database fields mapped to the GJXML fields and the required transformations.
This documentation will be a living document, and will continue to be updated as
29
07
Attachment B
the project progresses. Over time, ownership of the documentation will pass to
the OCILJ Working Group. The exact dates will be determined at a later date.
SOW 7 - Warranty and Ongoing Maintenance Support
SOW7-1 Warranty Support
A system and installation warranty must be provided as part of the purchase of
the system. Options for a one year and a three year warranty are required as
part of the pricing submission.
SOW7 -2 Warranty Components
In addition to standard warranty provisions, for the purposes of this project,
warranty is defined to include:
· Annual software licensing during the warranty period
. Telephone support
. On site callout based outage support
. Periodic preventative maintenance and monitoring visits
· Upgrades to the latest version of application software as part of
preventative maintenance
,
SOW7-3 Response times
During the warranty period the Vendor shall provide 4 hour on site response to a
system deficiency that affects 10 or more workstations, or one server or impacts
average transaction time by more than 20%. Staff must be available to respond
Monday through Friday from 8 am to 5 pm.
SOW7-4 Routine Maintenance
During the Warranty period, the Vendor will visit the site at least once every 12
weeks, and at that time verify that all system components are operating within
specifications and upgrade all system components to the latest available
software release. Operating systems. need not be upgraded as new releases are
issued but all maintenance patches available must be installed on'the servers on
the monthly visits.
SOW7-5 Phase 2 Warranty Considerations
For Phase 2, and each site that is integrated into the Data Sharing Solution, the
Vendor shall offer options for 1year or 3 year warranties as outlined for Phase 1.
No additional routine maintenance site visits are required as part of the Phase 2
warranties. .
SOW7-6 Ongoing Maintenance Support
The Vendor is expected to offer a range of ongoing support options for the
OCILJ Steering Committee's consideration in the event that the Steering
Committee opts to not select the 3 year warranty. One of those options may be
a full on-site support option.
SOW 8 - Work Not Included
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Attachment B
The OCILJ police agencies have information technology groups and have been using
the services of various consultants to serve the justice community for some time. The
following services associated with this project will be undertaken by a combination of
separate consultants and the OCILJ police agency information technology personnel
and are not the responsibility of the Vendor.
SOW8-1 Change Management Program
The Vendor is not responsible for implementing or operating a change
management or stakeholder communications program. These activities will be
undertaken by OCILJ and its consultants.
SOW8-2 Networking Facilities
The OCILJ Working Group will implement all local and wide area network
facilities other than those specifically requested in the Scope of Work. The
Vendor's responsibilities are limited to specifying the improvements required to
network infrastructure during proposal submission and as a result of the design
effort and site visits.
SOW8-3 Physical Plant and Electrical Service
The OCILJ Working Group will implement all physical plant and electrical
services based on the requirements the Vendor presents as a result of the site
visits.
SOW 9 - Proposal Revisions
Through the evaluation process a number of items were reviewed and as a result, the
following will apply:
SOW9-1 Revised Hardware Solution
The CONTRACTOR will provide an alternate hardware solution as outlined
below as a replacement for the Unisys Server initially proposed.
Revised Hardware Solution to be delivered by KCC I Unisys
SOW9-2 Enhanced System Audit Functionality
The CONTRACTOR will enhance their system audit functionality in conjunction
with this project. The new functionality will include a plain language explanation
of each transaction (search) conducted as well as a hyperlink that will
immediately reproduce that transaction and display the result set to the user. It
is understood that the result set will be based on data current in the system at
time of execution.
31
af,
Attachment B
CITY OF NEWPORT BEACH
CITY COUNCIL STAFF REPORT
Agenda Item NO.6
January 11, 2005
TO:
HONORABLE MAYOR AND MEMBERS OF THE CITY COUNCIL
FROM:
Paul Henisey, Support Services Division Commander
Bob McDonell, Chief of Police
SUBJECT: APPROVAL OF CONTRACT WITH KNOWLEDGE COMPUTING
CORPORATION TO PURCHASE DATA SHARING SOLUTION
RECOMMENDATION:
1. Award bid and approve the attached contract to purchase Phases 1 and 2 of a
Records Management System (RMS) Information Sharing solution from Knowledge
Computing Corporation in the amount of $1,606,053, to be funded from ILJ UASI
Grant Funds Account #7017-C1820802. Authorize the Mayor to execute the
contract on behalf of the City.
2. Approve the attached "Sub-grantee Agreements to transfer or purchase equipment
or services using Urban Area Security Initiative (UASI) Grant Funds" from the Cities
of Santa Ana and Anaheim, and authorize the Police Chief to execute the
agreements on behalf of the City.
DISCUSSION:
Backqround:
On March 9, 2004, Council approved the acceptance of approximately $1.9 million in
grant funds for administrative purposes, on behalf of the Orange County Integrated Law
and Justice Project (ILJ), which is comprised of the entire Criminal Justice System in
Orange County. In that prior communication, Council was advised that we were
requested to administer the grants for the Project by the Orange County Chiefs' and
Sheriff's Association as a result of some difficulties being experienced by the County of
Orange in facilitating the approval of various elements of the Integrated Law and Justice
Project.
During the past year, the City of Newport Beach became part of the 2004 Urban Area
Strategic Initiative (UASI) Grant from the Department of Homeland Security and
administered by the Cities of Anaheim and Santa Ana for all of Orange County. In the
Anaheim/Santa Ana UASI Strategy Report, a number of the stated goals and objectives
Attachment B
Contract Approval - Integrated Law & Justice Project
January 11, 2005
Page 2
correspond to the efforts of the ILJ Project. The number one goal identified in the report
is to, "Assess existing capabilities to develop and implement a County-wide real-time
system for collection, analysis and dissemination of disparate data and information."
This particular section identifies the use of consultants and existing work groups to
assess capabilities and prioritize recommendations. It identifies the need to coordinate
with subcommittees to evaluate various technologies and to obtain the necessary
technology to support County-wide systems for the collection and dissemination of
information. A part of the strategy also includes the analysis of information as it relates
to terrorism or the use of Weapons of Mass Destruction (WMD).
The ILJ Steering Committee, in conjunction with Deloitte Consulting, has been working
on developing a plan for the integration and sharing of information systems throughout
the Criminal Justice System in Orange County as part of the ILJ Strategic Plan. The
plan includes such aspects as determining a govemance structure, identifying
infrastructure and information systems currently in use or planned for the future,
developing a pilot project involving a representative sample of agencies, finalizing the
design and selecting a solution, and County-wide implementation.
An ILJ evaluation team was established to work with the Deloitte Consultant to develop
a Request for Proposal to acquire an RMS information sharing solution among all law
enforcement agencies in Orange County. The RFP was released on August 10, 2004,
and all responses were due by September 15, 2004. A Bidders Conference was held
on August 20, 2004, at the Newport Beach Police Department to address any
questions. A total of nine proposals were submitted from the following vendors or
teams of vendors:
· Avenade (Abbey Group, Forensic Logic)
. Crossflo
· Fatpot Technology
· Global Software (i2, Microsoft, Critical Technology)
· Knowledge Computing (Coplink, Unisys)
· Oracle (CDI, i2)
· Sierra (Templar, Visual Analytics, Open Networks)
· SRNOrion (I magis)
· . Speedtrack
During the initial screening, three proposals were suspended from further evaluation
due to either incomplete responses or shortcomings in the level of compliance to the
specifications in the RFP. The three vendors eliminated at this stage were Global
Software, Crossflo and Speedtrack. The remaining six vendors were invited to provide
demonstrations to a second evaluation team of approximately 14 representatives from
the various Criminal Justice Agencies, including four police chiefs. The invitation to
Fatpot was later withdrawn when they changed their proposed solution. The five
demonstrations were scheduled over a one-week period in October 2004.
Attachment B
Contract Approval- Integrated Law & Justice Project
January 11, 2005
Page 3
A list of criteria was developed by Deloitte to assist the evaluation committee in
comparing and analyzing each of the demonstrations. The evaluation committee
observed each of the demonstrations and then ranked the various vendors according to
the criteria. After compiling the rankings from each team member, it was determined
that the Knowledge Computing Company with their Coplink solution achieved a higher
. score in 9 out of the 11 categories and a significantly higher total score than any of the
other vendors. The Coplink solution was clearly the preference of the evaluation
committee members following the demonstrations.
Of the five finalists, Knowledge Computing Company also submitted the lowest bid at
$1.6 million for both Phase 1 and Phase 2 of the RFP. The order of bids for both
phases is as follows:
1. Knowledge Computing - $1,606,053
2. Avenade - $3,656,347
3. Sierra Systems - $4,219,563
4. SRA - $4,279,057
5. Oracle - $5,121,431
Following the demonstrations, the analysis of the ran kings and review of the pricing, the
evaluation team identified Knowledge Computing Company as the preferred vendor.
Members of the evaluation team and our Deloitte Consultant initiated reference contacts
and site visits. Several agencies using the Coplink product were contacted and all
responded favorably to questions about Knowledge Computing and the Coplink
software. Eight members of the evaluation team also participated in site visits to the
Phoenix Police Department, Tucson Police Department, and the Knowledge Computing
Company's corporate' offices in Tucson, Arizona. At each site, members of the
evaluation team were impressed with the data sharing capabilities and the analysis
portion of the software. Following the site visits, there was a unanimous
recommendation on the part of the team members to enter into contract negotiations
with Knowledge Computing on behalf of the Orange County Integrated Law and Justice
Steering Committee.
The funding for the Phase. 1 portion of the contract will come from the Santa
Ana/Anaheim UASI grant funds. This grant provides 100% of the funds necessary for
Phase 1 of the project and requires no local matching funds. Phase 2 of the project will
also be funded with 2004 UASI Grant funds, even if a grant extension is required to
allow use of those resources, assuming the contract cannot be concluded before the
November 30, 2005, expiration of the grant. If the extension is not granted (which is not
likely), funding will be allocated from the next round of approximately $20 million of
UASI Grants just announced and scheduled to be released to Santa Ana and Anaheim
in 2005 or, alternately, from the COPS Technology grants identified in the beginning of
this report.
.
Attachment B
Contract Approval - Integrated Law & Justice Project
January 11, 2005
Page 4
CONCLUSION:
This report summarizes a lengthy and thorough process to identify the requirements
definition and bid specifications for a comprehensive data sharing and analysis program
to serve the Criminal Justice System in Orange County. The results of that process
were also thoroughly analyzed and as a result, we are requesting authorization to
approve the attached contract and award bid to Knowledge Computing Corporation for
Phase 1 and Phase 2 of the RMS Information Sharing Project in the amount of
$1,606,053 and funded from the Orange County ILJ UASI Grant Account #7017-
C1820802. The Integrated Law & Justice Project Steering Committee has also
recommended approval of the bid award.
Environmental Review:
None required.
Fundinq Availability:
All funds required for this Project are Federal grant funds, authorized for expenditure
under the Santa Ana/Anaheim UASI Grant Program. Both the City Of Anaheim and the
City of Santa Ana have reviewed the proposed Contract between the City of Newport
Beach on behalf of the Orange County Integrated Law and Justice Steering Committee
and Knowledge Computing Company, and have concurred with the recommendation for
approval of the expenditure.
Submitted by:
Approved by:
~~<J
Paul He se, ('~ .
Support Services Division
8/r 'JIlCfJdl
Bob McDonell
CHIEF OF POLICE
Attachments:
1. Proposed Contract with Knowledge Computing Company
2. UASI Sub-grantee Agreement with City of Anaheim
3. UASI Sub-grantee Agreement with City of Santa Ana
Attachment B