REQUEST FOR APPLICATIONS
Policy Academy on Enhancing Emergency Communications Interoperability
Purpose: To assist states in developing strategies for improving the interoperability of emergency communications.
Opportunities Provided: Five competitively selected state teams will: (1) participate in two, two-day meetings where they will review the latest research on best practices in interoperable communications, identify strategies for overcoming barriers to statewide implementation of their interoperable plans, and explore opportunities for enhancing collaboration between governors’ offices and statewide interoperable coordinators; (2) receive technical assistance in convening a stakeholder workshop to refine recommendations they develop during the kickoff summit; and (3) present those recommendations and a plan of action to their governor. In addition, selected states will be eligible to receive up to $15,000 in funding to support planning efforts.
Proposals Due: Monday, March 7, 2016 at 5:00 p.m. ET
Bidder’s Conference Call: Tuesday, February 16, 2016 at 3:00 p.m. ET
Call-in Number: 855-240-2575
Selection Announcement: Week of March 14, 2016
Project Period: April 2016 – September 2016
First Policy Academy Meeting: April/May 2016
Second Policy Academy Meeting: August/September 2016
Eligibility: States, commonwealths and territories with full NGA membership benefits.
NGA Center Contacts: Timothy Blute, Senior Policy Analyst, Homeland Security and Public Safety Division
(202) 624-7854 or email@example.com
Michael Garcia, Policy Analyst, Homeland Security and Public Safety Division
(202) 624-5312 or firstname.lastname@example.org
Through this policy academy, the National Governors Association Center for Best Practices (NGA Center), in partnership with the Department of Homeland Security’s Office of Emergency Communications (OEC), will assist five states in developing strategies for improving emergency communications interoperability.
The term “interoperable communications” refers to the ability of federal, state, and local emergency responders to communicate with each other by voice, data, and video on demand, in real-time, and as authorized. Interoperable communications is key to an effective emergency response, yet fire, police, and other public safety entities in most jurisdictions continue to rely on communications systems and equipment that are often incompatible. Such limitations make interoperability one of the most critical issues facing public safety today. With the buildout of the Nationwide Public Safety Broadband Network, continued use of land mobile radio, and deployment of Next Generation 9-1-1 systems in the next decade, the need for interoperability will continue to be of critical importance.
A variety of challenges exist to achieving interoperability. Technical and financial limitations can be obstacles. Others include those related to policy and governance. For example, without a formalized, statewide governance structure in place, it can be difficult to coordinate a unified approach across multiple disciplines and jurisdictions.
Through the Policy Academy on Enhancing Emergency Communications Interoperability, the NGA Center, in partnership with OEC, aims to assist states in addressing challenges to achieving interoperability. The Office of Emergency Communications (OEC), within the Department of Homeland Security partners with public safety personnel at all levels of government to lead the nationwide effort to improve emergency communications capabilities. The Policy and Planning Branch advises OEC and DHS leadership through policy options, strategic planning initiatives, research projects, and targeted outreach activities to support identified mission priorities.
POLICY ACADEMY DESCRIPTION
An NGA Center policy academy is a highly interactive process designed to assist a select number of states in developing and implementing action plans for addressing complex public policy challenges. The policy academy process and lessons learned from it are also intended to serve as a catalyst for adoption of best practices in all states.
Through the Policy Academy on Enhancing Emergency Communications Interoperability, up to five states will be competitively selected to participate in a set of activities designed to help them develop or strengthen interoperability plans to enhance governance capacities at the state level for public safety emergency communications interoperability. State team members will receive guidance and technical assistance from NGA Center staff and faculty experts—such as consultants from the private sector, research organizations, academia, and the federal government—to help them identify strategies for overcoming barriers to statewide implementation of those plans.
Policy Academy Teams. Each participating state will assemble a high-level multidisciplinary “core” team of five state representatives. The team should be designated by the governor’s office and include senior level advisors, such as the chief information officer, chief information security officer, state point of contact, statewide interoperability coordinator, homeland security advisors, legislators, law enforcement agency representatives, or others with responsibilities related to managing the state’s interoperable communication systems.
Selected states will:
Participate in two, two-day policy academy meetings with other policy academy states;
Convene an in-state workshop facilitated by NGA Center staff;
Develop and begin to implement interoperable emergency communications plans and systems;
Educate governors and their key policy staff on the critical importance of pursuing aggressive improvements to the state-level governance structures that inform and direct the deployment and utilization of emergency communications interoperability among public safety and emergency services agencies;
Participate in regular conference calls and other networking activities;
Receive customized ongoing technical assistance from NGA Center staff and faculty experts; and
Receive up to $15,000 in funding to support planning and convening experts within their state.
Policy Academy Meetings. The NGA Center will convene participating state teams for two meetings—a kickoff and a closing policy academy meeting—during which they will learn about best practices for improving communications interoperability. The NGA Center will provide funding, apart from the sub-grants, for each five-member team to travel to the meetings. The meetings provide a forum for states to learn from each other and to identify common challenges, lessons learned, and potential resources. During the meetings, teams will participate in a facilitated process to help them develop a plan for improving interoperable communications in their states. Expert faculty will attend the meetings and assist states with developing their plans.
In-State Workshops. After the first policy academy meeting, the NGA Center will conduct one in-state workshop in each of the five participating states. The workshops allow states to bring together a larger group of state and local leaders, practitioners, and other stakeholders to refine the initial recommendations and build consensus around a plan of action.
Technical Assistance. States participating in the academy are eligible to receive ongoing technical assistance from the NGA Center and a national faculty of experts throughout the project period. The type of technical assistance the NGA Center and faculty experts can provide includes:
Providing strategic advice for advancing and implementing policy recommendations;
Helping the state leadership teams identify and engage critical stakeholders;
Support in developing and coordinating in-state meetings (such as task force meetings, working groups, or meetings between the state leadership team and stakeholders);
Reviewing versions of initiative proposals, policies, regulations, legislation, and/or executive orders;
Facilitating communication between participating states and national experts;
Working with the state to conduct an analysis of existing state policies that may inhibit or help advance the state’s policy agenda; and
Supporting evaluation of state policy initiatives.
Networking Opportunities. One of the benefits of participating in an NGA Center policy academy is that a state is part of a larger “class” of states addressing similar policy challenges. To support the sharing of best practices among states in the policy academy, the NGA Center will host regular conference calls and seek other opportunities to share lessons learned, such as through webinars.
State Subgrants. Selected states will each be eligible to receive sub-grants of up to $15,000 to carry out their planning efforts.
Expected Academy Outcomes. State team members are expected to fully participate in all planned meetings and activities. By the end of the policy academy, teams will have developed and begun to implement plans for improving interoperable emergency communications, with a focus on governance and strengthening their state’s policy environment.
The following is a tentative schedule for the academy.
February 16 , 2016 (at 3:00 p.m. ET)
The NGA Center will host a conference call for all interested states to learn more about the RFA process, proposal content, submission requirements, and to ask any questions they have.
March 7, 2016 (by 5:00 p.m. ET)
March 14, 2016 (week of)
State Selection Announcement
The NGA Center will issue a press release announcing winning states.
March TBD, 2016
All-state conference call
Following state selection, the NGA Center will host a conference call with participating states to orient them to the policy academy and outline next steps.
First Policy Academy Meeting
Highlight best practices and emerging research
Develop initial recommendations
June 2016-August 2016
Engage additional stakeholders in planning process
Refine initial recommendations
Develop strategic action plan for implementing recommendations
Final Policy Academy Meeting
Refine, review, and share strategic action plans
Identify and discuss lessons learned
Identify additional opportunities for regional and interstate collaboration
Monthly conference calls with NGA Center staff and policy academy states
Final copy of state action plans and lessons learned/outcomes survey due to the NGA Center
REQUIREMENTS FOR PARTICIPANTS
All states, commonwealths and territories with full NGA membership benefits may apply to participate in the policy academy. Inquiries regarding membership standing should be directed to Stan Czerwinski at email@example.com or 202-624-5300.
Required Activities for Selected States
The policy academy will require substantial preparation from state attendees before the first policy academy meeting, active team participation throughout the policy academy process, and a strong commitment to implementing recommendations and strategic action plans. In addition, participating states are required to:
Participate in scheduled conference calls. Following state selection, the NGA Center will host a conference call with participating states to orient them to the policy academy and outline next steps, including policy academy pre-work and meetings, available technical assistance from NGA Center staff and other experts, and site visits by NGA Center staff. Conference calls will be held for all state teams on a monthly basis throughout the project period.
Develop state needs assessment and gap analysis. The NGA Center will help states complete a gap analysis and needs assessment. The gap analysis and needs assessment will provide state teams a better understanding of challenges related to ensuring their state’s interoperable emergency communications and serve as a baseline for evaluating outcomes of the policy academy.
Attend the first policy academy meeting. The NGA Center will provide states with funding to send five team members to the first policy academy meeting. This funding is separate from the state sub-grants. During the meeting, teams will learn about emerging research and best practices. In addition, they will work with NGA Center staff and policy academy faculty to develop recommendations and create a policy framework for addressing emergency communications.
Convene in-state policy workshop. Staff from the NGA Center will assist states in convening one- to two-day workshops. During the workshops, states will refine recommendations based on feedback from stakeholders and develop a strategic action plan for implementing them. Depending on available resources, NGA Center staff may provide additional on-site technical support if needed.Attend the second policy academy meeting. The NGA Center will provide states with funding to send five team members to the second policy academy meeting. Before the meeting, state teams will be required to develop a working draft of their final recommendations and an action plan for implementation. Teams will receive feedback on their action plans and work with policy academy faculty and national experts to refine them. State teams will also present their recommendations and action plans to other states participating in the policy academy.
Evaluation Survey and Lessons Learned Report. At the conclusion of the policy academy, participating states will be required to complete a brief survey for the NGA Center on the work that they accomplished during the project. State responses will be used for evaluation purposes and, with the states’ consent, could serve as the basis for an issue brief on outcomes from the policy academy.
REQUIRED PROPOSAL CONTENT AND SELECTION CRITERIA
Proposals will be reviewed based on the criteria below. The total narrative—excluding the cover page, governor’s letter, and letters of support—should not exceed six (6) single-spaced pages with standard one-inch margins and 11-point font.
Cover Sheet (Required)
Please include the name of the state and team leader. Please also include contact information for the team leader and an administrative contact, including title, mailing address, telephone, fax, and email. The cover sheet does not count against the six-page limit.
Letter from the Governor (Required)
A letter of support from the governor is required. The letter should include the names of individuals the governor is appointing to serve on the state policy academy team. Additionally, the letter should indicate who the governor is designating as the team lead. The letter does not count against the six-page limit.
Description of the Problem (20 points)
In this section, please provide a brief overview of the state’s interoperable emergency communication problems, challenges, or limitations the state intends to address through the policy academy, as well as clearly articulated “business case” for what the proposed solution will accomplish. Applicants should discuss state efforts to date as they relate to implementing interoperable communication solutions.
Challenges to Implementing Solutions (20 points)
The policy academy aims to assist states by making improvements in the following priority areas:
o Establishing governance structures that address all functions of emergency management and response at all levels of government;
o Creating standard operating procedures (SOP) to coordinate incident responses across disciplines and jurisdictions;
o Mitigating purchasing and sustainability costs of new technology;
o Implementing interoperable communication training and exercise programs;
o Coordinating a multi-sector approach to addressing the problem; and
o Increasing regional and interstate collaboration.
Expected Outcomes for Participation in the Policy Academy (25 points)
Describe how the state will benefit by participating in the policy academy, the range of assistance the state hopes to receive through the policy academy, and demonstrate that the state is poised to make significant progress in improving interoperable emergency communication if selected. Applicants should consider the following: By the end of the policy academy, what does the state expect to accomplish (e.g. legislative changes, executive orders, regulatory reforms)? How will the policy academy help the state accomplish those outcomes?
Applicants should include a work plan with proposed dates and activities that support proposed project outcomes.
Finally, applicants should describe how they plan to sustain the work they will begin during the policy academy beyond 2016. For example, applicants may plan to designate an agency to oversee long-term implementation efforts.
Coordination with Ongoing Initiatives (10 points).
Briefly describe how participation in the policy academy will complement current state efforts to improve interoperable emergency communications.
Team Leadership and Membership (25 points).
Each state must assemble a multi-disciplinary “core” team comprised of a minimum of five senior state leaders with a demonstrated ability to shape state policy and practice. State teams must include a representative designated by the governor as the team lead. Teams will be evaluated based on their breadth, depth, and ability to influence state policy and practice. In your application, briefly discuss the composition of the team and the role each member will play in addressing the challenges described above.
Although each state’s team will reflect that particular state’s priorities and needs, examples of state team members include senior-level advisors such as the governor’s homeland security advisor, public safety commissioner, statewide interoperability coordinator, chief information officer, senior law enforcement officials, and others with responsibilities related to managing the state’s emergency communication systems.
In an appendix, please provide each team member’s name, title, work address, phone, and e-mail address. The appendix does not count toward the six-page limit. Letters of commitment are welcomed but not required and will not count against the six-page limit.
A panel of external and internal reviewers will read and score state applications. The reviewers will make recommendations to the NGA Center about which states will be invited to participate in the policy academy. States that have applied will be notified about their selections status the week of March 14, 2016.
The NGA Center will enter into a contractual agreement with participating grantee states and territories. The agreement will cover the period from April 2016 to September 2016. Final programmatic and financial reports will be due to the NGA Center no later than October 2016
Agreements will be issued to the designated fiscal agent. A sample agreement including the NGA Center’s General Terms and Conditions is attached. Please review these terms and conditions and
be prepared to indicate any issues that the terms may present in the event your state is selected for participation. Failure to indicate any requested modifications to the General Terms and Conditions might delay the process of executing the sub-grant agreement.
Grant funding will be disbursed to the fiscal agent designated in the state’s application. Fifty percent (50%) of the grant will be disbursed upon execution of the contractual agreement. Additional funding will be disbursed upon approval of invoices submitted by the state for reimbursement of expenses in excess of the advance payment. Payment of grant funds will be conditional upon satisfactory progress of the scope of work and compliance with the grant terms.
Submit a PDF version of the application to Timothy Blute, firstname.lastname@example.org. All applications must be received by 5:00 p.m. ET on Monday, March 7, 2016. Only one application per state will be considered.
This request for applications (RFA) is not binding on NGA or the NGA Center, nor does it constitute a contractual offer. Without limiting the foregoing NGA and the NGA Center reserves the right, in its sole discretion to reject any or all proposals; to modify, supplement, or cancel the RGA; to waive any deviation from the RFA; to negotiate regarding any proposal; and to negotiate final terms and conditions that may differ from those stated in the RFA. Under no circumstances shall NGA or the NGA Center be liable for any costs incurred by any person in connection with the preparation and submission of a response to this RFA.
SAMPLE SUBGRANT AGREEMENT
RE: Policy Academy on Enhancing Emergency Communications Interoperability
On behalf of the National Governors Association Center for Best Practices (hereinafter, “Grantor”), I am pleased to inform you that [NAME OF GRANTEE], has been selected as a grantee (“Grantee”) in connection with the above-captioned initiative, funded wholly or in part by the UNITED STATES DEPARTMENT OF HOMELAND SECURITY (“Concerned Funding Agency”), (hereinafter referred to as the “Project”).
This letter and any attachments outline the terms and conditions of accepting this grant and comprise the entire grant agreement (“Agreement”). Please read all the terms and conditions carefully, sign, and return the executed original to the Grantor. Grantee may wish to have this agreement reviewed by its own legal counsel before signing.
Grantee Work Plan
Grantee shall use this grant award to execute all services and deliverables (the “Work”) described in the Grantee Work Plan, which is attached and made a part of this Agreement.
During the term of this Agreement, Grantee shall submit any proposed material changes to the Grantee Work Plan in writing as soon as possible for approval by the Grantor, and in consultation with the Concerned Funding Agency, if required. A material change is one that significantly alters the purpose of the Project.
The grant award for this Project is: $15,000
This is the maximum funding amount available to the Grantee for this Project. Grantee shall have sole financial responsibility, and no recourse at law or equity to collect against the Grantor or Concerned Funding Agency, for any financial expenditure in furtherance of the Grantee Work Plan that exceeds the grant award.
The term of this Grant begins on April 1, 2016 and continues until September 30, 2016, unless earlier terminated pursuant to this Agreement (“Term”). Work under this Agreement shall be completed within the time schedule set forth in the attached Grantee Work Plan and no later than September 30, 2016. SAMPLE
Grantee shall provide Grantor regular progress reports and a final report for the Grant according to the schedule included in the Grantee Work Plan.
IN WITNESS WHEREOF, the parties have executed this Agreement as of the date set forth below.
NATIONAL GOVERNORS ASSOCIATION
CENTER FOR BEST PRACTICES GRANTEE
Chief Operating Officer
Name and Title Name and Title
Date Date SAMPLE
GENERAL TERMS AND CONDITIONS – GRANT AWARD
The Grantee declares that it is: (i) a state or political subdivision or a tribal governmental entity, and that the purposes of this Grant are within the Grantee’s public purposes.
Grantee shall inform Grantor immediately of any change in, or IRS proposed or actual revocation (whether or not appealed) of its declared tax status.
USE OF FUNDS
This Grant is made for the purpose outlined in the grant award letter and may not be expended for any other purpose without the prior written approval of the Grantor, in consultation with the Concerned Funding Agency, if necessary.
This Grant shall fund only the Grantee Work Plan. Grantee shall return immediately to the Grantor any unexpended portion of the Grant either at the completion of the Project, upon the end of the Term, or upon termination of the Grant, whichever comes first.
Grantee shall not expend any Grant funds for any political or lobbying activities or otherwise use the Grant funds to influence legislation, influence the outcome of any public election, carry on any voter registration efforts, or for any purpose other than specified in section 170(c)(2)(B) of the Code.
The Grantor, in its sole discretion subject to review of required reports and audits, shall require the Grantee to repay any portion of the Grant that is not used for designated purposes under the Grantee Work Plan.
REPORTING OBLIGATIONS and AUDIT
The Grantee warrants that it shall, during the term of the Agreement and for a period of three (3) years following the termination or expiration of the Agreement, maintain accurate and complete financial records, including accounts, books, and other records related to this Grant’s charges, costs, disbursements, and expenses, in accordance with generally accepted accounting principles, consistently applied.
Grantor, directly or through its authorized agents, auditors or other independent accounting firm, at its own expense, and the Concerned Funding Agency directly or through its duly authorized representatives, shall have the right, from time to time, upon at least ten (10) days’ notice, to audit, inspect, and copy the Grantee’s records related to this Grant. The Grantee shall fully cooperate, including by making available such of its personnel, records and facilities as are reasonably requested by Grantor or the Concerned Funding Agency.
Grants are subject to audit by the Grantor for three years following the final disbursement to verify that project expenditures were properly documented. Grantee will be contacted at least 30 days in advance of an audit. Audit will include all books, papers, accounts, documents, or other records of the Grantee, as they relate to the Project. The Grantee shall have all Project records readily available to the Grantor. The Grantee must also provide an employee having knowledge of the Project and the accounting procedure or system to assist the Grantor’s auditor. The Grantee shall provide a copy SAMPLE
of any document, paper, record, or the like requested by the Grantor.
This Section shall remain in force during the term of the Agreement and for the three (3) years following the termination or expiration of the Agreement. If an audit, litigation, or other action involving the records is started before the end of the three (3) year period, Grantee agrees to maintain the records until the end of the three (3) year period or until the audit, litigation, or other action is completed, whichever is later.
Grantee shall not make any public statements or communications relating to the existence or performance of this Agreement, including the Grantee’s Work Plan, or conduct any interviews or respond to any third-party inquiries, concerning the same, without the express written consent of Grantor, provided Grantor approval shall not be unreasonably withheld. However, consent of the Grantor shall not be required for Grantee to respond to requests made under the Freedom of Information (“FOI”) laws of Grantee’s State. Grantee agrees to notify Grantor of any such FOI request within a reasonable time after receipt of any such request. All media inquiries shall be directed to the Grantor’s Office of Communications.
Grantee will allow Grantor to review and approve the text of any proposed publicity concerning the Grant award prior to its release by Grantee, provided Grantor approval shall not be unreasonably withheld.
To ensure adequate review and evaluation of the Project, and proper coordination among interested parties, Grantee shall keep Grantor fully informed concerning the progress of the Grantee’s Work Plan performed hereunder, and, further, Grantor may require the Grantee to meet from time to time to review the same.
If this grant is for a film, video, book or other such Work, the Grantor and any Concerned Funding Agency reserve the right to request a screening or preview of the Work, during the final production stages, before deciding whether or not to be credited for funding the Work. If approved, a disclosure statement may be included in any Work prepared in whole or in part pursuant to this Agreement: Funding for this project has been provided in full or in part through an Agreement with the National Governors Association Center for Best Practices. The contents of this document do not necessarily reflect the views and policies of the NGA or the Grantor, nor does mention of trade names or commercial products constitute endorsement or recommendation of use.
USE OF WORK
Grantee and Grantor agree that all copyright and other interests in the Work produced under this Grant shall be owned by the Grantee. To ensure the widest possible distribution of the Work and ensure that they remain generally available to the public, the Grantee shall grant, and shall cause any individuals who may have some interest to grant, to the Grantor a non-exclusive, transferrable, perpetual, irrevocable, royalty-free, paid-up, worldwide license to use or publish the Work or any derivatives thereof arising out of or resulting from Grantee’s use of the grant funds and any earnings thereon, including all intellectual property rights, and to sublicense to third parties the rights described herein. Grantee, at Grantor’s request, agrees to execute any additional documents required to effect such license. The Concerned Funding Agency also may request the same license in the Work from the Grantee.
Grantee shall not make available the Works, or any derivatives produced using these grant funds, under any other licensing terms, without prior written consent of the Grantor.
RIGHT TO MODIFY, REVOKE or TERMINATE
Grantor reserves the right to discontinue, modify or withhold any payments to be made under this Grant or to require a total or partial refund of any grant funds if, in the Grantor’s sole discretion, such action is necessary: (i) because Grantee has not fully complied with the terms and conditions of this Agreement; (ii) to protect the purpose and objectives of the Project or any other related activities of the Grantor or Concerned Funding Agency; or (iii) to comply with any law or regulation applicable to the Grantee, to the Grantor, to the Concerned Funding Agency, or this Agreement.
This Agreement is subject to the terms of any agreement between Grantor and a Concerned Funding Agency and in particular may be terminated by Grantor without penalty or further obligation if the Concerned Funding Agency terminates, suspends or materially reduces its funding for any reason. Additionally, the payment obligations of Grantor under this Agreement are subject to the timely fulfillment by Concerned Funding Agency of its funding obligations to Grantor.
This Agreement may be terminated by the Grantor upon determination by the Grantor that after making this Grant award any information provided the Grantor by the Grantee during the grant award process was materially false. Grantee warrants that all information which a reasonable Grantor would have considered material was disclosed to the Grantor during the application process.
Grantee may unilaterally revoke its acceptance of this Grant and terminate this Agreement at any time prior to the commencement of the Project. After Project commencement, Grantee may request termination of this Agreement by mutual agreement in writing.
NO GUARANTEE OF FUTURE FUNDING
The Grantee acknowledges that receipt of this Grant does not imply a commitment on behalf of the Grantor or the Concerned Funding Agency to continue funding beyond the Term of this Agreement.
NO ASSIGNMENT or DELEGATION
Grantee may not assign, or otherwise transfer, its rights or delegate any of its obligations under this Agreement without prior written approval from the Grantor.
NOTICE and PROJECT CONTACTS
Grantee shall provide Grantor with immediate written notice if: (i) Grantee is unable to expend the grant for the purposes detailed in this Agreement; (ii) Grantee has made an expenditure from this Grant for any purpose other than those for which the Grant was intended; or, (iii) Grantee is unable to complete any other requirements that are specific to this Agreement.
Each party giving notice or issuing any request, demand, or other communication pursuant to this Agreement (each, a “Notice”) shall do so in writing and shall use one of the following methods of delivery, each of which, for purposes of this Agreement, is a writing: (i) personal delivery; (ii) first-class mail; (iii) registered or certified mail; (iv) nationally or internationally recognized overnight courier; (v) facsimile; (vi) email. SAMPLE
Notice shall be delivered to the following lead contacts for the Grantee and Grantor:
For programmatic issues
Senior Policy Analyst
National Governors Association Center for Best Practices
444 N. Capitol Street, Suite 267
Washington, DC 20001-1512
City, State, Zip Code:
For contract and financial issues
Patrick St. Clair
Senior Grants & Contracts Analyst
National Governors Association Center for Best Practices
444 N. Capitol Street, Suite 267
Washington, DC 20001-1512
City, State, Zip Code:
This Agreement constitutes the entire agreement between the Grantor and Grantee regarding the Grant. The Agreement supersedes all prior negotiations, representations and undertakings, whether written or oral.
This Agreement may not be modified except by further written agreement signed by the parties.
ATTACHMENTS INCORPORATED AS PART OF THIS AGREEMENT
X General Terms and Conditions
X Additional Terms and Conditions
___ Special Terms and Conditions
X Scope of Work
X Travel Policies (Apply to Policy Academy meeting travel)
1) State Proposal
X Certification – not disbarred or suspended (all federally-funded agreements)
X Contract is subject to FAR 52.222-54, Employment Eligibility Verification, see Additional Terms and Conditions. SAMPLE
ADDITIONAL TERMS AND CONDITIONS
FOR GOVERNMENT FUNDED, COST REIMBURSEMENT AGREEMENTS
The Grantee agrees to assume, as to Grantor, the same obligations and responsibilities that Grantor assumes toward the Concerned Funding Agency under those Federal Acquisition Regulations (FAR), if any, and applicable Concerned Funding Agency acquisition regulations, if any, that are mandated by their own terms or other law or regulation to flowdown to subcontractors or subgrantees, and therefore the Agreement incorporates by reference, and the Grantee is subject to, all such mandatory flowdown clauses. Such clauses, however, shall not be construed as bestowing any rights or privileges on the Grantee beyond what is allowed by or provided for in the Agreement, or as limiting any rights or privileges of Grantor otherwise allowed by or provided for in the Agreement. The Grantee also agrees to flowdown these same provisions to any lower-tier subcontractors.
Compliance with Applicable Laws
In addition to its general commitment to comply with all applicable laws, the Grantee specifically agrees to the following requirements, to the extent that such requirements are applicable:
A. to comply with the Civil Rights Act of 1964 and all other Federal, State or local laws, rules and orders prohibiting discrimination. Consistent with the foregoing, Grantee agrees to comply with Executive Order 11246,entitled “Equal Employment Opportunity,” as amended by Executive Order 11375, and as supplemented by U.S. Department of Labor regulations at 41 C.F.R. Part 60;
B. to make positive efforts to utilize small businesses, minority-owned firms and women’s business enterprises in connection with the work performed hereunder, whenever possible;
C. to provide for the rights of the Federal Government in any invention resulting from the work performed hereunder, in accordance with 37 C.F.R. Part 401 and any applicable implementing regulations;
D. to comply with all applicable standards, orders, and regulations issued pursuant to the Clean Air Act of 1970 (42 U.S.C. 7401 et. seq.) and the Federal Water Pollution Control Act (33 U.S.C. 1251 et. seq.), as amended;
E. to comply with the certification and disclosure requirements of the Byrd Anti-Lobbying Amendment (31 U.S.C. 1352), and any applicable implementing regulations, as may be applicable, including: 1) certification that the Grantee has not, and will not, use Federal funds to pay any person or organization for influencing or attempting to influence an officer or employee of any Federal agency; a member, officer, or employee of Congress, or an employee of a member of Congress in connection with obtaining any Federal contract, grant or any other award covered by 31 U.S.C. 1352; and 2) disclosure of any lobbying with non-Federal funds that takes place in connection with obtaining a Federal award.
F. to certify that neither it, nor any of its principal employees, has been debarred or suspended from participation in Federally-funded contracts, in accordance with Executive Order 12549 and Executive Order 12689, entitled “Debarment and Suspension,” and any applicable implementing regulations.
Allowable costs shall be determined in accordance with applicable Office of Management and Budget Circulars A-21, A-87, A-102, A-110, A-122, and A-133 as well as by the terms of the agreement between Grantor and the Concerned Funding Agency, and any rules of, or guidelines issued by, the Concerned Funding Agency. The Grantee is responsible for reimbursing Grantor in a timely and prompt manner for any payment made under this subcontract which is subsequently determined to be unallowable by Grantor, the Concerned Funding Agency, or other appropriate Federal or State officials.
The Grantee, at its own expense, shall meet the applicable audit requirements of OMB Circular A-133 if the Grantee has more than $500,000 in expenditures in a year in awards (including contracts, grants, SAMPLE
cooperative agreements, etc.) made by a federal agency. The Grantee must submit a copy of its A-133 audit report, prepared by an independent certified public accounting firm, to the attention of Controller, National Governors Association, 444 North Capitol Street, N.W., Suite 267, Washington, D.C. 20001 within 30 days of its receipt of the audit report. In instances where non-compliance with federal laws and regulations has been noted in the Grantee’s audit report, the Grantee must outline in writing its plan for corrective action and must affirmatively respond to Grantor when its corrective action plan has been successfully completed.
Grantee shall keep audit reports, including reports of any of its sub-subcontractors, on file for three (3) years from their issuance. Grantee shall permit independent auditors to have access to the records and financial statements as necessary for Grantor and Grantee to comply with OMB Circular A-133.
Grantee agrees that in the event that Grantee’s audit report indicates instances of noncompliance with federal laws and regulations, including but not limited to OMB Circular A-133, that Grantee covenants and agrees to take any and all corrective actions necessary or required or as directed by Grantor.
Grantee agrees to provide audits annually.
In the event that audits are not received, Grantor may, in its discretion,
a) withhold a percentage of the sums due and owing hereunder until the audit is completed satisfactorily;
b) withhold or disallow overhead charges; or
c) suspend this Grant until the audit is completed and all required reports are provided.
The Grantee shall hold harmless, indemnify and defend Grantor and the Concerned Funding Agency or agencies, their consultants and each of their officers, partners, agents and employees from any and all liability, claims, losses, (including but not limited to the loss or threatened loss of tax exempt status), costs, fees, expenses, penalties, damages and/or obligations including but not limited to the costs of defense of such claims, attorney’s and audit fees arising out of the failure to provide such audit reports.
The Grantee shall include the provisions of this Section 31 in any subcontract executed in connection with this Project.
Grantee agrees that the provisions of this Section shall survive termination of this Agreement.
It is understood that, for purposes of compliance with the Federal Funding Accountability and Transparency Act and OMB Circular A-133, the Grantee is a vendor and not a subrecipient.
Employment Eligibility Verification
If the agreement between Grantor and the Concerned Funding Agency is subject to FAR 52.222-54, Employment Eligibility Verification, then that FAR clause is incorporated into this Agreement, and the Grantee is subject thereto. Grantee certifies that it has previously enrolled in the U.S. Citizenship and Immigration Services E-Verify program (“E-Verify”) or shall enroll in E-Verify within 30 calendar days of the date of this Agreement. Grantee shall begin to use E-verify within 90 calendar days of enrollment to verify the employment eligibility of all new hires who are working within the United States within 3 business days after the date of hire and shall use E-Verify to verify the employment eligibility of all employees assigned to this Agreement within 90 calendar days of enrollment in E-verify or within 30 calendar days of assignment to this Agreement, whichever is later. Grantee also shall include this provision in any subcontracts. Grantee shall provide Grantor with written proof of Grantee’s enrollment in E-Verify.
This provision shall not apply to any agreement in an amount of $3,000.00 or less or that is for commercial off-the-shelf items as defined in the FAR. SAMPLE
GRANTEE WORK PLAN
A. General Description of Engagement
The Grantee will participate in Grantor’s Policy Academy on Enhancing Communications Interoperability where it will review the latest research on best practices in interoperable communications, identify strategies for overcoming barriers to statewide implementation of their interoperable plans, and explore opportunities for enhancing collaboration between governors’ offices and statewide interoperable coordinators. In exchange for participation, the Grantee will receive technical assistance from Grantor in convening a stakeholder workshop to refine recommendations developed by the Grantee during the kickoff summit. These recommendations and a plan of action will be presented to their governor.
B. Textual Description of Key Tasks
The Grantee will complete the following key tasks and deliverables:
1) Participate in scheduled conference calls. Following Grantee selection, the Grantor will host a conference call with participating Grantees to orient them to the policy academy and outline next steps, including policy academy pre-work and meetings, available technical assistance from Grantor staff and other experts, and site visits by Grantor staff. Conference calls will be held for all Grantee teams on a monthly basis throughout the project period.
2) Develop state needs assessment and gap analysis. The Grantor will help Grantees complete a gap analysis and needs assessment. The gap analysis and needs assessment will provide state teams a better understanding of challenges related to ensuring their state’s interoperable emergency communications and serve as a baseline for evaluating outcomes of the policy academy.
3) Attend the first policy academy meeting. The Grantor will provide Grantees with funding to send five team members to the first policy academy meeting. During the meeting, teams will learn about emerging research and best practices. In addition, they will work with Grantor staff and policy academy faculty to develop recommendations and create a policy framework for addressing emergency communications.
4) Convene in-Grantee policy workshop. Staff from the Grantor will assist Grantees in convening one to two-day workshops. During the workshops, states will refine recommendations based on feedback from stakeholders and develop a strategic action plan for implementing them. Depending on available resources, Grantor staff may provide additional on-site technical support if needed.
5) Attend the second policy academy meeting. The Grantor will provide Grantees with funding to send five team members to the second policy academy meeting. Before the meeting, state teams will be required to develop a working draft of their final recommendations and an action plan for implementation. Teams will receive feedback on their action plans and work with policy academy faculty and national experts to refine them. State teams will also present their recommendations and action plans to other states participating in the policy academy.
6) Evaluation Survey and Lessons Learned Report. At the conclusion of the policy academy, participating states will be required to complete a brief survey for the Grantor on the work that they accomplished during the project. Grantee responses will be used for evaluation purposes and, with the Grantees’ consent, could serve as the basis for an issue brief on outcomes from the policy academy.
C. Summary table of tasks, deliverables, and due dates
Participate in scheduled conference calls with NGA Center staff and other participant states
Develop Grantee needs assessment and gap analysis
Attend opening Policy Academy meeting
Convene in-state policy workshops
Participate in closing Policy Academy meeting
Submit state action plans and lessons learned/outcomes survey to the NGA Center
D. Compensation and Reporting Requirements
Grantee shall be compensated on a cost reimbursement basis according to the financial budget prepared by Grantee, approved by Grantor, and attached to this Agreement. The total reimbursable amount may not exceed $15,000. Reallocations of less than 10% of a line item or $500 between budgeted line items are allowed but the Grantor programmatic and financial contacts must be notified within thirty days. Reallocations of more than these amounts may be allowed but must be approved in advance by Grantor. All incurred costs must be reasonable and conform to any provision of this Agreement regarding Allowable Costs.
Subcontractors included in the attached budget are deemed to be approved. Use of subcontractors does not relieve Grantee of its obligations under this Agreement, and Grantee shall at all times remain responsible for the performance of, and payment for work performed by, its Subcontractors. Grantee shall enter into a written subcontract with each of its Subcontractors that (a) makes the terms and conditions of this Agreement binding on the Subcontractor to the same extent such provisions are binding on the Grantee, and (b) Grantees that the Subcontractor is without privity of contract to Grantor and by entering into the subcontract the Subcontractor does not acquire any rights against Grantor.
An advance of $7,500 will be paid upon execution of this Agreement. Any unused funds must be returned to Grantor by the Agreement end date. Narrative and financial reporting is required for the advance amount. Once the advance has been expended, invoices may be submitted.
A narrative report describing activities conducted during the period must accompany each invoice. Upon Grantee’s presentation of an invoice, Grantor will review the invoice and pay Grantee for work that has been judged acceptable for any approved invoice. The invoice must detail current period expenditures and cumulative expenditures versus the approved budget. Payment of the final invoice will not be made until all work has been completed and has been judged acceptable by Grantor. SAMPLE
The Grantee shall return to Grantor all overpayments, such as those due to advances not expended, actual rates or costs being less than estimated or provisional rates, or due to any other cause, in a timely and prompt manner.
E. Key Grantee Personnel (if applicable)
The active participation of the following person(s) is a material condition of this agreement:
Please see Grantee proposal for a list of key personnel. SAMPLE