Request for Proposal - OCIAC Services - Intelligence Analysts.pdf1.1 Purpose of the Request for Proposal ... Digital Sandbox, Microsoft Office, and Palantir. City of Anaheim RFP May

Request for Proposal

Senior Analyst Supervisor;

Critical Infrastructure Mid-Level

Analyst; and Sr. Analyst

for the Orange County

Intelligence Assessment Center

Date: May 29, 2014

Responses Due By: June 30, 2014

Lieutenant Tim Miller P.O. Box 1755

Santa Ana, CA 92702-1755

City of Anaheim RFP

2 May 2014 City of Anaheim: RFP OCIAC Analyst Services

Contents

1.1 Purpose of the Request for Proposal ..................................... 3

1.2 Background ....................................................................... 4

1.3 Scope of Work ................................................................... 4

1.4 General Requirements ......................................................... 7

1.5 RFP Deadline ..................................................................... 7

1.6 Certificate of Insurance/Indemnity Clause .............................. 8

1.7 Non-Collusion Clause .......................................................... 8

1.8 City’s Requirement for Business License ............................... 8

1.9 Evaluation Factors for Award ............................................... 8

1.10 Submission of Proposal ...................................................... 9

Appendix I – Standard Insurance Language .................................. 21

Appendix II – Standard Indemnification Provision .......................... 24

Appendix III – Non-Collusion Affidavit .......................................... 25

Exhibits A&B Attached…………………………………………...……………26

City of Anaheim RFP


1.1 Purpose of the Request for Proposal

The City of Anaheim (City) is soliciting proposals for (1) Sr. Analyst Supervisor, (1) Critical Infrastructure Mid-Level Analyst, and (1) Sr. Analyst for the Orange County Intelligence Assessment Center (OCIAC). Interested firms, whether previously contacted, or not, are invited to submit proposals in accordance with the conditions outlined in this Request for Proposal (RFP).

A Proposer must bid all of the above positions. It is necessary for a single Vendor to provide all three positions. Specific scopes of work are included at a later point in this document.

Sr. Analyst Supervisor - The OCIAC Analysis Unit is the core function of vetting suspicious activity reports (SARs) under DHS’ fusion center’s critical operating capabilities. The Sr. Analyst who serves as the OCIAC Analysis Unit supervisor shall established strong partnerships with federal, state, and local public safety partners on behalf of the OCIAC and Anaheim/Santa Ana UASI. The Analysis Unit Supervisor also serves as a core member of the fusion center leadership and decision making body.

Critical Infrastructure Mid-Level Analyst – This position provides both strategic and tactical analytical support to the OCIAC Critical Infrastructure Unit. The Mid-Level analyst must be proficient in administering the Anaheim/Santa Ana UASI’s critical infrastructure assets database, Digital Sandbox. This position also requires frequent presentations to private and public critical infrastructure owner/operators.

Sr. Analyst - This position provides both strategic and tactical analytic support on behalf of the OCIAC to Southern California public safety agencies involving maritime threats to Anaheim/Santa Ana UASI. The Sr. Analyst is concurrently assigned by OCIAC leadership to the Los Angeles Border Enforcement Security Task Force (LA-BEST) as a DHS Homeland Security Investigations (HSI)-designated task force member (TFO); a role that provides intelligence support to LA-BEST and the Los Angeles/ Long Beach Regional Coordinating Mechanism (ReCoM). The Sr. Analyst also provides strategic briefings to federal, state, and local partners on current maritime threats, as well as recommended law enforcement asset deployment based on the fusion of reporting, trends, and predictive analysis.

Work to be performed at the OCIAC location in Central Orange County. The desired contract commencement date will be September 1, 2014.

Payment terms are assumed to be Net 30 days after receipt of any services, unless otherwise specified in the proposal documents.

Any exceptions to the specifications or scope of work must be approved in writing prior to submission of the proposal.

City of Anaheim RFP


Documents enclosed or attached and made part of this RFP:

General Conditions-Page #11

Special Provisions Attachment-Page #26

Non-Collusion Affidavit-Page #25

Exhibit A- Certification Regarding Debarment, Suspension and Other Responsibility Matters

Exhibit B- Federal Regulations

1.2 Background

The Orange County Intelligence Assessment Center (OCIAC) was established to provide the Orange County Urban Area with an integrated, multi-disciplined, information and intelligence sharing network to collect, analyze, and disseminate information related to terrorism and all crimes to law enforcement, fire, health, private and public sector stakeholders in a timely manner in order to protect the residents, visitors, and critical infrastructure of Orange County. The OCIAC works in collaboration with the California State Terrorism Threat Assessment Center and the State’s four Regional Terrorism Threat Assessment Centers.

1.3 Scope of Work

The scope of work for the Sr. level Analyst and the Mid-level Analyst are nearly the same. The essential difference will be in OCIAC’s expectations of the Sr. level analyst to have greater experience and capabilities in conducting the job functions of a fusion center analyst. There will also be a higher expectation of the Sr. level analyst’s ability to produce written strategic product. We ask the Proposer to clarify in the proposal the essential differences in ability between their Sr. level and Mid-level analysts.

Sr. and Mid-level Analyst Scope of Work & Minimum Qualifications

Scope of Work:

Support counterterrorism, crime prevention and all-hazard efforts of OCIAC.

Conduct in depth exploration of open source sites including enhanced monitoring of information sources, conduct research and expanded electronic searches linking California and the OCIAC area of responsibility with specific events with national and international news and analysis.

Monitor key sources of news and information about terrorism and threats and trends that specifically pertain to the OCIAC area of operation (AoR) and relate that information to national and international terrorism news, information, and analysis.

Work with various government and non-government databases, sources and software. Examples include, but are not limited to: LEO, HSDN, HSIN, Coplink, Digital Sandbox, Microsoft Office, and Palantir.

City of Anaheim RFP


Assist Investigators with the initial vetting of tips and leads through database and website checks.

Analysts conduct the majority of their work in an office environment. However, in some cases they may be asked to leave the office to deliver briefings, attend trainings and meetings, or possibly go to a location to lend analytical assistance to first responders.

Analysts will provide written and at times verbal analysis or reports of information and trends related to both domestic and international terrorism.

Analysts will identify potential threat elements with possible connections to the OCIAC AoR.

Analysts will be asked to participate in the strategic analysis of threats facing the OCIAC AoR, the state and nation. At times analysts may be asked to provide various partners and stakeholders with more tactical analysis to assist with decision making and allocation of resources.

Use computerized analytic tools to create charts, maps, timelines, and link diagrams for the purpose of demonstrating analytical findings, including target relationships, and time sequence of events.

The success of a fusion center is directly related to the ability to work well with others within the community. All OCIAC analysts are expected to form, maintain and foster relationships with local, state, federal and private sector partners.

Within the general intent of this job description, and in support of accomplishing the OCIAC Mission, analysts will perform other duties as assigned by the OCIAC.

Ensure compliance with laws and regulations.

Analysts will work a 4/10, generally during business hours, though we are flexible on exact start times. Some after-hours availability and willingness to respond to the OCIAC during an emergency are expected.

Minimum Qualifications:

Minimum of three years of intelligence analysis experience and either a Bachelor’s degree in a relevant discipline or significant work experience in lieu of a degree.

OCIAC analysts liaise with state, local and federal partners, sometimes in a classified environment, thus analysts must have at the time of appointment and maintain at least a Secret level clearance prior to start date.

Must be able to pass a background check.

Completion of the Foundations of Intelligence Analysis Training program or its training equivalent with the accompanying certification. (Requirement taken from the Baseline Capability document)

City of Anaheim RFP


Must agree to comply with training standards and policies associated with the OCIAC. The OCIAC Privacy Policy can be viewed by going to the following web address:

https://ociac.org/html/OCIAC_Privacy%20and%20Social%20Media%20Policy_120313-Final.pdf

OCIAC shall have the right to approve candidates which may include one or more interviews.

Specific Position Related Qualifications

Sr. Analyst Supervisor

This position supervises the OCIAC Analysis Unit and all analysts within that unit.

This position serves as a decision making member at the Supervisor level for OCIAC under the direction of the OCIAC Director.

Individual must have excellent interpersonal skills when working with internal and external partners.

Individual must have experience leading and managing a group of 5 -15 people.

Individual must have experience making presentations to technical and non-technical audiences regarding information and products that come from the OCIAC.

Individual must have an extensive network of individuals from diverse agencies which support the mission of the OCIAC.

Critical Infrastructure Protection Mid-Level Analyst

Individual must have experience working with critical infrastructure and the threats associated with them.

It is extremely desirable that this individual has experience working with Digital Sandbox at the administrative level.

Individual must be willing to build relationships with private and public sector owner operators of critical infrastructure in Orange County.

Individual must serve on various advisory committees at multiple levels of government.

Be physically able to perform in field assessments with field assessors assisting them with threat information.

Individual must be able to make verbal presentations to a wide range of groups regarding critical infrastructure protection.




City of Anaheim RFP


Individual must be familiar with Social Media monitoring to include but not limited to sites such as Facebook, Twitter, Tumbler, Instagram, etc.

Sr. Analyst

Individual must have experience with maritime incidents including; smuggling operations, drugs, human trafficking, etc.


Individual must have experience making presentations to technical and non-technical audiences regarding information and products that come from the OCIAC.

1.4 General Requirements

Minimum Qualifications for Proposer

Proposer must not be prohibited from doing business in California, Orange County or the City of Anaheim, and must be appropriately licensed and insured. Proposer must have demonstrated experience in the national intelligence, federal, state or local law enforcement and homeland security arenas.

The Proposer should provide OCIAC a liaison throughout the term of the agreement to act as the go-between for the employee and the Proposer’s organization as well as to monitor Human Relations related issues.

Finally the Proposer shall ensure the employee(s) have a mobile phone capable of receiving OCIAC emails.

1.5 RFP Deadline

All proposals are due no later than June 30, 2014 at 10:00 a.m. at the office of the OCIAC Director (see below) at which time they will be publicly opened and recorded. Due to the complexity of the proposals, only the names of the companies submitting proposals will be announced and recorded at the opening. Pricing structures and details of the offerings will not be reviewed at the proposal opening.

All written proposals and required documents must be submitted in the format described. See Page 16 “Proposal Content and Format, Required Documents” for clarification. Please submit one printed original and one electronic copy to:

Lieutenant Tim Miller

P.O. Box 1755 Santa Ana, CA 92702-1755

Phone- 714-289-3962 Email: [email protected]

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1.6 Certificate of Insurance/Indemnity Clause

The Agreement between Anaheim and the successful Proposer will contain Anaheim’s standard insurance provisions for Agreements of this type. This language is set forth in Appendix I (attached).

The Agreement between Anaheim and the successful Proposer will contain Anaheim’s standard indemnification provisions for Agreements of this type. This language is set forth in Appendix II (attached).

1.7 Non-Collusion Clause

The Contractor agrees to sign a non-collusion affidavit to be executed by the bidder and submitted with the bid. The non-collusion affidavit will be included as part of the bid documents. See Appendix III (attached).

1.8 City’s Requirement for Business License

During the term of the Agreement, the Contractor shall obtain and keep in full force and effect, all business licenses required by the City. For additional information regarding the applicability of the City’s business licenses, contact the Business License Division at (714) 765-5194.

1.9 Evaluation Factors for Award

The City will make every effort to administer the proposal in accordance with the terms and dates outlined in the RFP; however, the City reserves the right to modify the activities, timeline, or any other aspect of the process at any time as deemed necessary by City staff. By requesting proposals, the City is in no way obligated to award a purchase order or pay the expenses of Proposers in connection with the preparation or submission of a proposal. The awarding of a contract shall be contingent on City Council approval. The decision to award a contract to a particular company will be based on many factors to include, but not limited to, pricing, Vendor qualifications, corporate stability and references. No single factor will determine the final award decision.

Right to Reject Proposals – The City reserves the right to reject any and all proposals, to waive any non-material irregularities or informalities in any proposal, and to accept or reject any item or combination of items.

Execution of Agreement – If a Proposer is not able to execute an agreement within thirty (30) days after being notified of selection, the City reserves the right to select the next most qualified Proposer or call for new proposals, whichever the City deems most appropriate.

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Incorporation of RFP/Proposal – This RFP and the firm’s response, including all promises, warranties, commitments, and representations made in the successful proposal will become binding contractual obligations and will be incorporated by reference in any agreement between the City and Proposer.

Authorized Signatories – Company personnel signing the cover letter of the proposal or any other related forms submitted must be authorized signers with the requisite authority to represent their firm and to enter into binding contracts with clients.

Validity of Proposals – Proposed services and related pricing and warranties contained in the proposal must be valid for a period of 120 days after the submission of the proposal.

Additional Requirements for Federal Homeland Security Grant Purchases – All three

positions are intended to be funded through the Homeland Security Grant Program. All Bidders must complete, sign and attach the “Exhibit A -- Certification regarding Debarment, Suspension and Other Responsibility Matters” to their bid submissions. All aspects of this purchase will be subject to Federal Homeland Security Grant Program requirements, as set forth in attached “Exhibit B – Federal Regulations,” which will be

incorporated by reference into any purchase order issued pursuant to this bid.

EVALUATION CRITERIA

An evaluation team composed of stakeholders shall evaluate proposals on the Proposer’s ability to support the scope of work and minimum qualifications set forth in this RFP – a combination of capabilities, pricing, support, proposal clarity, documentation compliance, and references will all be taken into consideration.

1.10 Submission of Proposal

In order for the City to be able to adequately compare and evaluate proposals, all proposals must be prepared and submitted in accordance with the format detailed below. Failure to provide all documentation required may disqualify your proposal. Provide only the information and documents requested or responsive to elements of the RFP; do not include marketing or promotional materials.

The Proposer shall submit their proposal in a sealed container with one (1) ORIGINAL (“MASTER”) PRINTED on white 8 ½” x 11” paper. The Proposer should also email [email protected] one (1) ELECTRONIC COPY in pdf format as follows: Cover Letter: (One page maximum) the letter should designate the proposing firm, their background, the business address of where the relationship will be housed, and be signed by authorized company officers. The letter should address the Proposer’s willingness and commitment to provide the proposed services to the City within the specifications, terms and conditions outlined and why the firm believes it should be selected. No pricing information or marketing materials should be included on this cover letter.

mailto:[email protected]

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Section 1 – Table of Contents (One page maximum) Section 2 – Point of Contact Information (One page maximum) Section 3 – RFP Response (1-4 pages-11or 12 font, not including resumes) Section 3(a) - Indicate how Proposer will meet RFP Scope(s) of Work and Minimum Qualifications Section 3(b) - If Proposer has specific personnel identified, include resumes here Section 4 – Pricing Proposal for months 1-12 and the following extensions (1-5 pages) Months 13-24 Months 25-36 Months 37-48 Months 49-60 Section 5 – Completed Special Provisions Attachment signed in the appropriate sections and on page 22

Section 6 – Bidders must include the following documents with their sealed bid documents.

1) Signed Non-Collusion Affidavit

2) No less than two, no more than four references from an employer for which similar services were rendered within the last 3 years

3) Proposed Professional Services Agreement contract to be entered into with

Proposer and City of Anaheim. The contract may be in template form but MUST include a section explaining the term of the contract as 12 months, with four optional extension periods of 12 months each

4) Proposer must include in their proposal a complete disclosure of any alleged

significant prior or ongoing contract failures, any civil or criminal litigation or investigation pending which involves the Proposer or in which the Proposer has been judged guilty or liable

5) Proposer should sign Exhibit A - Certification regarding Debarment, Suspension

and Other Responsibility Matters

6) Exhibit B – NEED NOT BE INCLUDED OR SIGNED AT THIS TIME

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ANTICIPATED TIME LINE

6/1/14 Request for Proposal Published 6/30/14 Proposal Submission Deadline

7/1/14- 7/14/14 Evaluate proposals, negotiate terms, interview candidates, recommendation for award, City Council approval, execution of contract

9/1/14 Employee(s) start work at OCIAC

GENERAL CONDITIONS

ACCEPTANCE PERIOD. Unless otherwise specified herein, proposals are firm for a period of ninety (90) days.

ADDENDA ACKNOWLEDGMENT. Each proposal shall include specific acknowledgment in the space provided of receipt of all addenda issued during the solicitation period. Failure to so acknowledge may result in the proposal being rejected as not responsive.

AFFIRMATIVE ACTION AND NON-DISCRIMINATION: If the total price exceeds $50,000, the successful bidder must certify prior to award that they have a written affirmative action program and complies with all federal, state, and municipal laws and regulations pertaining to affirmative action and non-discrimination. This certification may be made on the Special Provisions attachment provided.

ASSIGNMENT OF RIGHTS OR OBLIGATIONS. Except as noted hereunder, the successful Proposer may not assign, transfer or sell any rights or obligations resulting from this solicitation without first obtaining the specific written consent of the City.

AUTHORIZED SIGNATURES. Every proposal must be signed by the person or persons legally authorized to bind the Proposer to a contract for the execution of the work. Upon request of the City of Anaheim, any agent submitting a proposal on behalf of a Proposer shall provide a current power of attorney certifying the agent’s authority to bind the Proposer.

AWARD OF PROPOSAL. Award will be made to the Proposer offering the most advantageous proposal after consideration of all selection criteria set forth herein. The criteria are not listed in any order of preferences. An evaluation committee will be established by the City. The committee will evaluate all proposals received in accordance with the selection criteria.

The evaluation committee reserves the right to contact and evaluate the Proposer's and subcontractor's (if applicable) references; contact any Proposer to clarify any response; contact any current users of a Proposer’s services; solicit information from any available source concerning any aspect of a proposal; and seek and review any other information deemed pertinent to the evaluation process. The City shall not be obligated to accept the lowest priced proposal, but will make an award in the best interests of the City after all factors have been evaluated.

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Oral interviews may, at the City's sole option, be conducted with responsible Proposers who submit proposals determined to be most likely to best meet the needs of the City. Discussions may be for the purpose of clarification to assure full understanding of, and responsiveness to, the solicitation requirements. Proposers shall be accorded fair and equal treatment with respect to any opportunity for discussion and written revision of proposals. Unless otherwise indicated, revisions may be permitted after submissions and before award for obtaining best and final proposals. In conducting discussions, the City will not disclose information derived from proposals submitted by competing Proposers.

A Notification of Intent to Award may be sent to any Proposer selected. Award is contingent upon the successful negotiation of final contract terms and the approval of the Anaheim City Council. Negotiations shall be confidential and not subject to disclosure to competing Proposers unless an agreement is reached. If contract negotiations cannot be concluded successfully, the City may negotiate a contract with another Proposer or withdraw the RFP. In the event the City Council does not approve the recommendation to award, the RFP may be cancelled without any cost or obligation of the City.

ADDITION/DELETION OF SERVICES: The City of Anaheim reserves the right to add and/or delete services to be provided for in the contract. Should a service requirement be deleted, payment to the Successful Proposer will be reduced proportionally, to the amount of service reduced in accordance with the bid price. Should additional services be required from this contract, prices for such additions shall be in accordance with this Request for Proposal and Proposer’s response thereto.

AWARD SELECTION PROCESS. Selection of qualified Proposers will be based on the following: quality and completeness of submitted proposal; understanding of statements of work and minimum qualifications; experience and expertise with public agencies and similar types of efforts; references and costs. Additional questions may be asked of Proposers and interviews may be conducted. Proposers will be notified of any additional required information or interviews after the written proposals have been evaluated. Interviews will be held only with the most qualified respondents. The recommended proposals and resulting Agreement will be submitted to the City Council for award approval. The Proposer selected will enter into a contract with the City.

CANCELLATION OF SOLICITATION. The City may cancel this solicitation at any time, without obligation.

COMPLIANCE WITH LAWS. The Contractor shall adhere to all applicable federal, state, and local laws, codes and ordinances, including, but not limited to, those promulgated by CAL-OSHA, FED-OSHA, EPA, the California State Department of Health Services, and City of Anaheim regulations. Contractor shall conform to the Immigration Reform and Control Act of 1986, as amended, including, but not limited to, the verification of the employment eligibility of Contractor’s employees working in the City, and the Workers Compensation laws of the State of California.

CONTRACT DOCUMENTS, EXAMINATION OF. It is the responsibility of the Proposer to carefully thoroughly examine and be familiar with legal and procedural documents, general conditions, all forms, specifications, scope of work, drawings, plans, and addenda (if any), hereinafter referred to as Contract Documents. Proposer shall satisfy himself as to the character, quantity, and quality of work to be performed and materials, labor, supervision,

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equipment and appurtenances necessary to perform the work as specified by the Contract Documents. The failure or neglect of the Proposer to examine the Contract Documents shall in no way relieve him from any obligations with respect to the solicitation or contract. The submission of a proposal shall constitute an acknowledgment upon which the City of Anaheim may rely that the Proposer has thoroughly examined and is familiar with the contract documents. The failure or neglect of a Proposer to receive or examine any of the contract documents shall in no way relieve him from any obligations with respect to the Proposal. No claim will be allowed for additional compensation that is based upon a lack of knowledge of any solicitation document.

DEFINITION OF TERMS. For the purposes of this RFP, the following definitions will be used: Contractor. Same as Proposer, may be used interchangeably with "Supplier," “Bidder,” or "Vendor." Evaluation Committee. A committee established by the City to review, evaluate, and score the proposals, and to recommend award to the Proposer that submitted the proposal determined by the committee to be in the best interest of the City. May. Indicates something that is not mandatory but permissible. Must/Shall. Indicates a mandatory requirement. A proposal that fails to meet a mandatory requirement will be deemed non-responsive and may not be considered for award. Proposer. The person or firm making the offer. May be used interchangeably with the words or “Bidder.” Proposal. The offer presented by the Proposer. RFP. Acronym for Request for Proposals. Should. Indicates something that is recommended but not mandatory. Failure to do what "should" be done will not result in rejection of your proposal. Submission Deadline. The date and time on or before all proposals must be submitted. Successful Proposer. The person, contractor, or firm to whom the award is made.

DISQUALIFICATION OF PROPOSER. If there is reason to believe that collusion exists among the Proposers, the City may refuse to consider proposals from participants in such collusion. No person, firm, or corporation under the same or different name, shall make, file, or be interested in more than one proposal for the same work unless alternate proposals are called for. Reasonable ground for believing that any Proposer is interested in more than one Proposal for the same work will cause the rejection of all Proposals for the work in which a Proposer is interested. A person, firm, or corporation who has submitted a sub-Proposal to a Proposer, or who has quoted prices on materials to a Proposer, is not thereby disqualified from submitting a sub-Proposal or quoting prices to other Proposers. Proposers shall submit as part of their Proposal documents the completed Non-Collusion Affidavit provided herein.

DOCUMENTS TO BE RETURNED WITH PROPOSAL. Failure to completely execute and submit the required documents before the Submission Deadline may render a proposal nonresponsive. The documents that must be returned by the Submission Deadline are indicated on page 16 - PROPOSAL CONTENT AND FORMAT, REQUIRED DOCUMENTS.

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EXECUTION OF CONTRACT. Time is of the essence of this contract. The Successful Proposer will be expected to execute the contract, including but not limited to signing all necessary documents and submitting all required bonds and evidences of insurance, within ten (10) days after personal delivery of the notice or within fifteen (15) days after such notice has been deposited in the United States mail. One copy of the contract will be returned to the Contractor after the City of Anaheim executes the contract. In case of failure of the Contractor to execute and return the contract and all required documents within the time allowed, the City of Anaheim may, at its option, consider that the Proposer has abandoned the contract. After the contract has been executed, including the insurance documents, certificates, and any applicable bonds, notice to proceed will be issued. Unless otherwise specified, Proposer agrees to commence work within ten (10) working days after the date of the notice to proceed and fully complete the project within the time specified in the contract.

FIRM PRICE PERIOD. Unless specified otherwise herein, Proposers’ offer shall remain valid and firm for a period of not less than ninety (90) calendar days from the Submission Deadline.

INDEPENDENT CONTRACTOR. Contractor covenants that it presently has no interest, and shall not acquire any interest, direct or indirect, financial or otherwise, which would conflict in any manner or degree with the performance of the services hereunder. Contractor further covenants that, in the performance of this contract, no subcontractor (if applicable) or person having such an interest shall be employed. Contractor certifies that to the best of his knowledge, no one who has or will have any financial interest under this contract is an officer or employee of City of Anaheim. It is expressly agreed by Contractor that in the performance of the services required under this contract, Contractor, and any of its subcontractors (if applicable) or employees, shall at times be considered independent contractors and not agents of City of Anaheim.

INFORMED PROPOSER. Proposers are expected to fully inform themselves as to the conditions, requirements, and specifications before submitting proposals. Failure to do so will be at Proposers’ own risk and they cannot secure relief on the plea of error.

INK OR TYPEWRITTEN. All information, prices, notations, signatures, and corrections must be in ink or typewritten. Mistakes may be crossed out and corrections typed or printed adjacent to the mistake and initialed in ink by the person signing the proposal.

INSURANCE REQUIREMENTS. Within ten (10) consecutive calendar days of award of contract, Successful Proposer must furnish the City with the Certificates of Insurance proving coverage as specified in the specifications and naming the City of Anaheim, its officers and agents, Additional Insured by endorsement. Failure to furnish the required certificates within the time allowed may result breach of the contract. Unless different requirements are called out elsewhere in the RFP, the City's general insurance requirements are:

1. Comprehensive General Liability Insurance: (include products liability coverage,

when applicable); $1,000,000 per occurrence.

2. Auto Liability Insurance: $1,000,000 per occurrence, combined single limit (CSL). 3. Workers' Compensation Insurance: as required by State statutes.

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4. City of Anaheim to be named as an Additional Insured on the above-captioned insurance coverage as respects the City's interests under this agreement. This is to be complied with by presenting an appropriate insurance certificate to the City prior to commencement of work under this agreement; and by presenting to the City an endorsement to the policy signed by an officer of the insurance company within ten (10) days of the inception date of this agreement.

5. All policies of insurance shall provide for a minimum of thirty (30) days written notice of any change or cancellation of the policy.

6. Insurance policies to be in a form ad written through companies acceptable to the City; and shall include those endorsements which are necessary to extend coverage which is appropriate to the nature of the agreement.

INTERPRETATION OF CONTRACT DOCUMENTS; ADDENDA. If any person is in doubt as to the true meaning of any part of the specifications or other contract documents, or finds discrepancies or omissions in the specifications, he may submit to the City of Anaheim a written request for an interpretation or correction. Requests for interpretations shall be made in writing and delivered to the City of Anaheim by mail, email, or by facsimile to the person identified herein at least ten (10) days before the Submission Deadline. The requesting party is responsible for prompt delivery of any requests. When the City of Anaheim considers interpretations necessary, interpretations will be in the form of a written addendum to the contract documents, and will be e-mailed or faxed to all parties recorded by the City of Anaheim as having received contract documents for all Proposers to reference. All such addenda shall become a part of the contract. Oral and other interpretations or clarifications shall be without legal or contractual effect. It is the responsibility of each Proposer to ensure the City of Anaheim has their correct business name, address, phone number, and e-mail on file. Any prospective Proposer who obtained a set of contract documents from anyone other than the City of Anaheim is responsible for advising the City of Anaheim that they have a set of contract documents and wish to receive subsequent Addenda. MINORITY OWNED BUSINESSES: The City of Anaheim encourages minority-owned business firms to submit proposals. Opportunity to identify your firm is contained within the Special Provisions attachment. NOMENCLATURES: The terms Successful Proposer, Successful Contractor, Contractor, Supplier and/or Vendor may be used interchangeably in these specifications and shall refer exclusively to the firm with whom the City enters into a contract because of this solicitation. NONDISCLOSURE: Until such time that the City Council awards the contract, the Proposer agrees that its proposal shall not be made available to any individual or organization without the prior written approval of the City of Anaheim. The master copy of each proposal shall be retained for official files and will become public record after the award of a contract, unless the City of Anaheim determines, in its sole discretion, that the proposal or specific parts of the proposal are exempt from disclosure under California law. NON-COLLUSION AFFIDAVIT: Proposers are required to submit a Non-Collusion Affidavit with their Proposals. See enclosed Affidavit. OFFERS OF MORE THAN ONE PRICE. Unless otherwise specified within these RFP documents, Proposers are NOT allowed to submit more than one proposal.

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OPENING OF PROPOSALS. The City of Anaheim reserves the right to postpone the Submission Deadline and opening of proposals any time before the date and time announced in the Request for Proposals or subsequent addenda. PRE-PROPOSAL CONFERENCE. When applicable, a pre-proposal conference may be scheduled to allow Proposer’s to view the jobsite and/or ask questions concerning the specifications or proposal content. If a pre-proposal conference is to be held, the date, time, and location will be indicated on the RFP documents, and the conference will be designated to be either optional or mandatory. Proposals will not be considered from suppliers who failed to attend a mandatory pre-proposal conference. PRICE DISCREPANCIES. In the event that there are unit price items in a proposal schedule and the "amount" indicated for the extended price of an item does not equal the product of the unit price and quantity listed, the unit price shall govern and the extended price amount will be corrected accordingly. If there is more than one item in a proposal schedule, and the total indicated for the schedule does not agree with the sum of prices of the individual items, the prices given for the individual items shall govern and the total for the schedule will be corrected accordingly. The Proposer will be bound by said corrections. PRICES. All Proposals shall give the prices proposed, both in writing and in figures, shall give all other information requested herein, and shall be signed by the Proposer’s authorized representative. Proposal prices shall include everything necessary for the completion and fulfillment of the contract in accordance with the contract documents, except as may be provided otherwise in the contract documents. Any items shown on the plans or details or described in the specifications that are not specifically listed in the proposal item are to be considered included in the proposal item and no additional or special compensation will be allowed. In the event that there is more than one proposal item in the proposal schedule, the Proposer shall furnish a price for all proposal items in the schedule, and failure to do so may render the proposal as non-responsive and may cause its rejection. The total amount of the proposal will be the sum of the total prices of all items in the proposal schedule. The total price of unit price items will be the product of the unit price and estimated quantity of the item. In case of discrepancy between the unit price and total price of an item, the unit price shall prevail if the unit price is ambiguous, unintelligible, or uncertain for any cause, or is omitted, it shall be the amount obtained by dividing the amount set forth as the total price by the estimated quantity of the item.

PROPOSAL FORMS Forms. Proposals must be submitted on the forms supplied, or in the format requested. Copies. One original and the requested number of copies must be submitted on or before the Submission Deadline. Proposers shall submit one (1) original proposal marked “MASTER” and the requested number of identical copies, clearly marked "COPY". An electronic copy should be sent to [email protected] Envelopes containing the original and the copies should be marked in accordance with the directions found elsewhere in these instructions.

mailto:[email protected]

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Discrepancies. If discrepancies are found between the copies, or between the original and copy or copies, the original "MASTER" will provide the basis for resolving such discrepancies. If one document is not clearly marked “MASTER", the City reserves the right to use the original as the Master. If no document can be identified as an original, bearing original signatures, Proposer's proposal may be rejected at the discretion of the City.

PROPOSAL CONTENT. Proposer must describe in detail how he will meet the requirements of this RFP, and may provide additional related information with his proposal. The proposal must be presented in the format described in the section titled SUBMISSION OF PROPOSAL, starting on page 9, section 1.10. Responses to each section and subsection should be labeled to indicate which item is being addressed. Proposals should be straightforward and concise and provide "layman" explanations of technical terms that are used. Emphasis should be concentrated on conforming to the RFP instructions, responding to the RFP requirements, and on providing a complete and clear description of the offer. If a complete response cannot be provided without referencing supporting documentation, you must provide such documentation with the proposal indicating where the supplemental information can be found.

Proposals must include all proposed terms and conditions, including, without limitation, written warranties, maintenance/service agreements, license agreements, lease purchase agreements (if applicable), and the Proposer’s standard contract language.

PROPOSAL COSTS: The City is not liable for any costs incurred by Proposers before entering into a formal contract. Costs of developing the proposals or any other such expenses incurred by the Proposer in responding to the RFP, are entirely the responsibility of the Proposer, and shall not be reimbursed in any manner by the City.

PROPOSAL DEADLINE. Proposals may be submitted any time before the Submission Deadline. Proposals that do not arrive by the Submission Deadline will be late and will be returned to the Proposer unopened. Deliveries made before the Submission Deadline but to the wrong City office will be considered non-responsive unless re-delivery is made to the office specified before the Submission Deadline.

PROPOSAL MODIFICATIONS. Any Proposer who wishes to make modifications to a proposal already received by the City of Anaheim must withdraw his proposal in order to make the modifications. Withdrawals must be made in accordance with the terms and conditions of this solicitation (see Withdrawal of Proposal). All modifications must be made in ink, properly initialed by Proposer’s authorized representative, executed, and submitted in accordance with the terms and conditions of this solicitation. It is the responsibility of the Proposer to ensure that modified or withdrawn proposals are resubmitted before the Submission Deadline.

PROPOSAL OPENING AND RESULTS. A public opening will be held at the Submission Deadline. Only the names of the Proposers submitting proposals will be announced at the public opening. A list of the names of Proposers who submitted proposals may be obtained within a reasonable time after the public opening. After an award is made, proposals received will become public record, and made available upon request to the City Clerk.

PROPOSAL SUBMISSION. Proposals should be clearly labeled and submitted in a sealed envelope or box bearing the name of the Proposer, and Submission Deadline. Proposer’s

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authorized representative must properly initial any erasures or alterations of any kind. Proposals that contain omissions or improper erasures or irregularities may be rejected. No oral, electronic, telegraphic, or telephonic proposals or modifications will be considered unless otherwise specified herein.

PROPOSER IS SOLE POINT OF CONTACT. The Successful Proposer will be the sole point of contact. The City will look solely to the Successful Proposer for the performance of all contractual obligations that may result from an award based on this RFP, and the awarded Proposer shall not be relieved for the non-performance of any or all subcontractors (if applicable).

PROPOSER'S BACKGROUND. Proposer must provide a company profile. Information required is shown on the enclosed Request for Proposal. If so requested, Proposer must include in his proposal a complete disclosure of any alleged significant prior or ongoing contract failures, any civil or criminal litigation or investigation pending which involves the Proposer or in which the Proposer has been judged guilty or liable. Failure to comply with the terms of this provision will disqualify any proposal. The City reserves the right to reject any proposal based upon the Proposer’s prior history with the City or with any other party, which documents, without limitation, unsatisfactory performance, adversarial or contentious demeanor, significant failure(s) to meet contract milestones or other contractual failures.

PROPOSER'S REFERENCES. Proposers may be required to provide references from similar projects performed for any local government clients. Information required is shown on the enclosed Request for Proposal.

QUALIFICATION OF PROPOSERS. Each Proposer shall be skilled and regularly engaged in the general class or type of work called for under the contract. The Proposer's experience shall be set forth and submitted in the Proposal. It is the intention of the City to award a contract to a Proposer who furnishes satisfactory evidence that the Proposer has the requisite experience, ability, sufficient capital, facilities, and plant to enable the Proposer to prosecute the work successfully and properly, and to complete it within the time specified in the contract. To determine the degree of responsibility to be credited to the Proposer, the City will weigh any evidence that the Proposer has performed satisfactorily other contracts of like nature, magnitude and comparable difficulty and comparable rates of progress. In selecting the Successful Proposer, consideration will be given not only to the financial standing but also to the general competency of the Proposer for the performance of the work covered and/or specified in the contract documents.

QUESTIONS AND COMMENTS. Questions and comments regarding this solicitation must be submitted in writing, either by email, or mail ten (10) days before the Submission Deadline. The questioner's company name, address, phone and fax number, and contact person must be included with the questions or comments. Answers, if any, made by the City will be in writing to all known proposal holders.

REJECTION OF PROPOSALS, WAIVER OF INFORMALITIES. The City reserves the right to reject any or all proposals, or any part of a proposal. The City reserves the right to reject the proposal of any Proposer who previously failed to perform adequately for the City or any other governmental agency. The City expressly reserves the right to reject the proposal of any Proposer who is in default on the payment of taxes, licenses, or other monies due the City of Anaheim.

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SIGNATURES. An individual who is authorized to bind the Proposer must sign the proposal. SPECIAL PROVISIONS ATTACHMENT. The special provisions attachment contains requirements that are hereby incorporated into this request for proposal and will become binding contract documents. Please enclose the signed special provisions attachment and any affidavits, bonds or other required documents with your proposal.

SPECIFICATIONS, DEFINITION. The term "specification" or "RFP specification" as used in this solicitation shall be interpreted to mean all the pages that make up this solicitation, including but not limited to the Request For Proposals, Instructions To Proposers, Terms and Conditions, Detailed Specifications or Scope of Work, Proposal form(s), Special Provisions, Proposed Equipment & Material Manufacturers form, Experience Statement, Subcontractor's List (if subcontractors are allowed), and Insurance Certificates.

SUBCONTRACTOR’S COMPETENCY. In the event subcontractors are allowed, the Successful Proposer will be required to establish to the satisfaction of the City of Anaheim the competency, reliability and responsibility of the subcontractors proposed to furnish or perform 10 % or more of the work described in the contract documents. Before the award of the contract, the City of Anaheim will notify the Proposer in writing if, after due investigation, the City of Anaheim has reasonable objection to any proposed subcontractor. If the City of Anaheim has reasonable objection to any subcontractor the Proposer shall submit an acceptable substitute person or City of Anaheim. Persons and entities proposed by the Proposer to be used as subcontractors, and to whom the City of Anaheim has made no reasonable objection, must be used on the work for which they were proposed and shall not be changed except with the written consent of the City of Anaheim.

SUBMISSION METHOD. Proposals must be submitted in sealed envelopes. Telephone, telegraphic, facsimile, electronic, and late Proposals will not be accepted nor considered unless otherwise specified herein. It is the responsibility of Proposers to see that their Proposals have sufficient time to be received by the issuer of this RFP before the Submission Deadline. The City will not be held responsible for proposal envelopes mishandled as a result of the envelope not being properly prepared.

TAXES. Successful Proposer shall pay all federal, state and taxes, levies, duties and assessments of every nature due in connection with any work under the contract and shall indemnify and hold harmless the City of Anaheim from any liability on account of any and all such taxes, levies, duties, assessments and deductions. Proposal prices shall include allowance for said taxes.

TERMS OF THE OFFER. The City reserves the right to negotiate final contract terms with any Proposer selected. The contract between the parties will consist of the RFP together with any modifications thereto, the awarded Proposer’s proposal, and all modifications and clarifications that are submitted at the request of the City during the evaluation and negotiation process. In the event of any conflict or contradiction between or among these documents, the documents shall control in the following order of precedence: the final executed contract, the RFP, any modifications and clarifications to the awarded Proposer’s proposal, and the awarded Proposer’s proposal. Specific exceptions to this general rule may be noted in the final executed contract. Proposer understands and acknowledges that the representations above are material and important, and will be relied on by the City in evaluation of the proposal. Proposer misrepresentation shall be treated as fraudulent

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concealment from the City of the facts relating to the proposal.

WITHDRAWAL OF PROPOSAL. Proposers’ authorized representative may withdraw Proposals only by written request received by the Purchasing Agent before the Proposal Submission Deadline. After that time, Proposers may not withdraw their Proposals for a period of ninety (90) days from the date of opening, unless a different time limit is identified in the specifications or Instructions to Proposers for this solicitation. At no time may the successful Proposer(s) withdraw his Proposal. End of General Conditions – See Special Provisions which are also applicable to your specific proposal.

The proposal being submitted herein includes all addenda through number ________.

BIDDING FIRM:__________________________________________DATE: __________________ BUSINESS ADDRESS:_______________________________________________________________________ SIGNATUREOF REPRESENTATIVE:______________________________________________________________ BY:_______________________________TITLE: ________________________________________

INSTRUCTION REGARDING SIGNATURE: If bidder is an individual, state "Sole Owner" after signature. If bidder is a partnership, signature must be by a general partner, so stated after "Title". Names of all other partners and their business addresses must be shown below. If bidder is a corporation, signature must be by an authorized officer, so stated after "Title", and the names of the President and Secretary and their business addresses must be shown below: ______________________________________ _____________________________________ ______________________________________ _____________________________________ ______________________________________ _____________________________________

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Appendix I – Standard Insurance Language

Note: The following represents the City’s standard language for the insurance provisions in its contracts. With few exceptions, the language in the final Agreement will be as shown here. If a proposer has any concerns regarding any of the City’s insurance language or requirements, which would render the proposer unable or unwilling to enter into an Agreement with the City, the proposer shall identify these concerns in its proposal. Be specific. Deviations from the City’s standard language may be considered by the City in its evaluation of the responsiveness of a proposal.

INSURANCE

Without limiting ANAHEIM’s right to indemnification, it is agreed that CONTRACTOR shall secure, prior to commencing any activities under this Agreement, and maintain, during the term of this Agreement, insurance coverage as follows:

Workers’ Compensation Insurance as required by California law and Employers Liability Insurance in an amount not less than $1,000,000 per occurrence.

Commercial General Liability Insurance, including coverage for Premises and Operations, Contractual Liability, Personal Injury Liability, Products/Completed Operations Liability, and Independent Contractor’s Liability, in an amount not less than $1,000,000 per occurrence, $2,000,000 annual aggregate, written on an occurrence form. Such insurance shall be written on a primary basis, without a self-insured retention, but may include a deductible of not more than $10,000 per occurrence, provided that such deductible is disclosed to ANAHEIM, in writing, at the inception of this Agreement.

Comprehensive Automobile Liability Coverage including—as applicable— owned, non-owned, and hired autos, in an amount not less than $1,000,000 per occurrence, combined single limit, as required by California law.

Professional Liability Insurance in an amount not less than $1,000,000 per occurrence, and CONTRACTOR shall maintain such coverage for at least one (1) year from the termination of this Agreement. Such insurance shall be written on a primary basis, without a self-insured retention, but may include a deductible of not more than $10,000 per occurrence, provided that such deductible is disclosed to ANAHEIM, in writing, at the inception of this Agreement.

Each insurance policy required by this Agreement shall contain the following clause or shall otherwise provide for the following conditions:

“This insurance shall not be cancelled, or limited in scope or coverage, until after thirty (30) days prior written notice has been given to the City Clerk, City of Anaheim, 200 S. Anaheim Blvd., Anaheim, CA 92805, except in the event of cancellation for non-payment of premium which shall provide for not less than ten (10) days notice.”

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Each insurance policy required by this Agreement, except policies for Professional Liability and Workers’ Compensation, shall contain the following clauses or shall otherwise provide for the following conditions:

“It is agreed that any insurance maintained by CONTRACTOR pursuant to this Agreement shall be primary to, and not contribute with, any insurance or self- insurance maintained by the City of Anaheim.”

“The City of Anaheim, its officers, agents, employees, representatives and ANAHEIM-designated volunteers are added as additional insured as respects the acts, omissions, operations and activities of, or on behalf of, the named insured, in regard to products supplied to, or work or services performed for, or related to, the City of Anaheim.”

Prior to commencing any work under this Agreement, CONTRACTOR shall deliver to ANAHEIM insurance certificates confirming the existence of the insurance required under this Agreement, and including the applicable clauses referenced above. Also, within thirty (30) days of the execution date of this Agreement, CONTRACTOR shall provide ANAHEIM (i) endorsements to the insurance policies which add to these policies the applicable clauses referenced above, or (ii) in lieu of said endorsements, documentation acceptable to ANAHEIM evidencing that the coverage, terms, and conditions set forth in the above-referenced clauses are otherwise included in said insurance policies. Insurance required hereunder shall be placed with insurers (i) admitted to write insurance in California, (ii) possessing an A. M. Best’s rating of A VII or higher, or (iii) otherwise acceptable to ANAHEIM, with prior written permission from ANAHEIM. In the event that a claim or other legal action is filed against ANAHEIM, and if ANAHEIM, in its good faith opinion, believes it may have coverage under any of the insurance required herein, then ANAHEIM has the right to demand, and to receive within a reasonable time period, copies of the insurance policies related to such required insurance; provided, however, that this provision shall not apply if the parties agree that CONTRACTOR shall fully defend, hold harmless, and indemnify ANAHEIM against any such claim or other legal action.

In addition to other remedies ANAHEIM may have if CONTRACTOR fails to provide or maintain any insurance policies or policy endorsements to the extent and within the time herein required, ANAHEIM may, at its sole option:

Order CONTRACTOR to stop work under this Agreement and/or withhold any

payment(s) which become due to CONTRACTOR hereunder until CONTRACTOR demonstrates compliance with the requirements hereof;

Terminate this Agreement.

Exercise of any of the above remedies, however, is an alternative to other remedies ANAHEIM may have and is not the exclusive remedy for CONTRACTOR’s failure to maintain insurance or secure appropriate endorsements.

Nothing herein contained shall be construed as limiting in any way the extent to which CONTRACTOR may be held responsible for payments of damages to persons or property resulting from CONTRACTOR’s, (or CONTRACTOR’s contractors/subcontractor, if any) performance of the work covered under this Agreement.

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In the event CONTRACTOR hires other persons or firms to perform some of the work related to this Agreement, CONTRACTOR shall ensure (i) that the acts or omissions of such persons or firms are covered under the above-referenced liability insurance, or (ii) that such firms maintain insurance equal to or better than, and subject to the same limits, terms and conditions as, the insurance required of CONTRACTOR under this Agreement (except for firms which are not performing professional services—such firms shall not be required to carry the above-referenced professional liability insurance); and in either instance, CONTRACTOR shall provide, or cause to be provided, evidence of such insurance coverage, reasonably acceptable to ANAHEIM.

ANAHEIM’s Risk Manager is hereby authorized to reduce the requirements set forth herein in the event he determines that such reduction is in ANAHEIM’s best interest.

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Appendix II – Standard Indemnification Provision

The following represents the City’s standard language for the indemnification, defense, and hold harmless provisions in its contracts. With very few exceptions, the language in the final Agreement will be as shown here. If a proposer has any concerns regarding any of the City’s indemnification language which would render the proposer unable or unwilling to enter into an Agreement with the City, proposer shall identify these concerns in his proposal. Be specific. Deviations from the City’s standard language may be considered by City in its evaluation of the responsiveness of a proposal.

[Note: Proposer should also be aware it is the City’s practice not to enter into Agreements that contain a limitation of liability provision.]

INDEMNIFICATION

As respects acts, errors or omissions in the performance of professional services, CONTRACTOR agrees to indemnify and hold harmless ANAHEIM, its officials, officers, and employees from and against any and all claims, losses, damages, defense costs, or liability, of any kind or nature, arising directly out of CONTRACTOR’s (or CONTRACTOR’s contractors’ or subcontractors’, if any) negligent acts, errors or omissions in the performance of professional services under this Agreement.

As respects all acts, errors or omissions which do not arise directly out of the performance of professional services, including but not limited to those acts, errors or omissions typically covered by general and automobile liability insurance, CONTRACTOR agrees to indemnify, defend (at ANAHEIM's option), and hold harmless ANAHEIM, its officials, officers, employees, agents, and representatives from and against any and all claims, losses, damages, defense costs, or liability, of any kind or nature (collectively referred to hereinafter as “Claims”), arising out of or in connection with CONTRACTOR’s (or CONTRACTOR's contractors’ or subcontractors’, if any) acts, errors, omissions, or work, relative to this Agreement; except for those Claims which arise out of the sole negligence or willful misconduct of ANAHEIM.

The obligations set forth in this indemnification provision (i) shall be in effect without regard to whether or not ANAHEIM, CONTRACTOR, or any other person maintains, or fails to maintain, insurance coverage, or a self-insurance program, for any such Claims; and (ii) shall survive the termination of this Agreement.

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Appendix III – Non-Collusion Affidavit

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Note: To be executed by Proposer and submitted with proposal.

STATE OF CALIFORNIA

County of

, being first duly sworn deposes and says that he/she is of , the party making the foregoing bid that such bid is not made in the interest of or on the behalf of any undisclosed person, partnership, company, association, organization or corporation; that such bid is genuine and not collusive or sham; that said bidder has not directly or indirectly induced or solicited any other bidder to put in a false or sham bid and has not directly or indirectly colluded, conspired, connived, or agreed with any bidder or anyone else to put in a sham bid, or that anyone shall refrain from bidding; that said bidder has not in any manner directly or indirectly sought by agreement, communication, or conference with anyone to fix the bid price of said bidder or of any other bidder or to fix any overhead profit, or cost element of such bid price, or of that of any other bidder, or to secure any advantage against the public body awarding the contract of anyone interested in the proposed contract; that all statements contained in such bid are true, and further, that said bidder has not directly or indirectly submitted his bid price or any breakdown thereof, or the contents thereof, or divulged information or data relative thereto, or paid and will not pay any fee in connection therewith, to any corporation, partnership, company, association, organization, bid depository, or to any member or agent thereof, or to any other individual except to any person or persons as have a partnership or other financial interest with said bidder in the general business.

By

Subscribed and sworn to before me this

day of , 20

Notary Public in and for said County and State

FEDERAL EMERGENCY MANAGEMENT AGENCY

CERTIFICATIONS REGARDING LOBBYING; DEBARMENT, SUSPENSION AND

OTHER RESPONSIBILITY MATTERS; AND DRUG-FREE WORKPLACE REQUIREMENTS

1. LOBBYING (b) Have not within a three-year period preceding this application been

convicted of ar had a civilian judgment rendered against them for

A. As required by section 1352, Title 31 of the U.S. Code, and commission of fraud or a criminal offense in connection with

implemented at 44 CFR Part 18, for persons entering into a grant obtaining, attempting to obtain, or perform a public (Federal, State,

or cooperative agreement over $100,000, as defined at 44 CFR or local) transaction or contract under a public transaction; violation

Part 18, the applicant certifies that: of Federal or State antitrust statutes or commission of embezzlement,

theft, forgery, bribery, falsification or destruction of records,

(a) No Federal appropriated funds have been paid or will be paid, making false statements, or receiving stolen property;

by or on behalf of the undersigned, to any person for influencing or

attempting to influence an officer or employee of any agency, a (c) Are not presently indicted for or otherwise criminally or civilly

Member of Congress, an officer or employee of congress, or an charged by a governmental entity (Federal, State, or local) with

employee of a Member of Congress in connection with the making commission of any of the offenses enumerated in paragraph (1)(b)

of any Federal grant, the entering into of any cooperative agreement, of this certification; and

and the extension, continuation, renewal, amendment, or modification

of any Federal grant or cooperative agreement; (d) Have not within a three-year period preceding this application

had one or more public t ransactions (Federal, State, or local)

(b) If any other funds than Federal appropriated funds have been terminated for cause or default; and

paid or will be paid to any person for influencing or attempting to

influence an officer or employee of any agency, a Member of B. Where the applicant is unable to certify to any of the statements

Congress, an officer or an employee of Congress, or employee in this certification, he or shall shall attached an explanation to this

of a member of Congress in connection with this Federal grant or application.

cooperative agreement, the undersigned shall complete and submit

Standard Form LLL, "Disclosure of Lobbying Activities," in 3. DRUG-FREE WORKPLACE

accordance with its instructions;

As required by the Drug-Free Workplace Act of 1988, and

(c) The undersigned shall require that the language of this certification implemented at 44 CFR Part 17, Subpart F, for grantees, as defined

be included in the award documents for all subawards at all tiers at 44 CFR Part 17, Sections 17.615 and 17.620:

(including subgrants, contracts under grants and cooperative

agreements, and subcontract(s) and that all subrecipients shall A. The applicant certifies that it will continue to privide a drug-

certify and disclose accordingly. free workplace by:

Standard Form LLL, "Disclosure of Lobbying Activities" attached. (a) Publishing a statement notifying employees that the unlawful

(This form must be attached to certification if nonappropriated funds manufacture, distribution, dispensing, possession, or use of a

are to be used to influence activities.) controlled substance is prohibited in the grantee's workplace and

specifying the actions that will be taken against employees for

2. DEBARMENT, SUSPENSION, AND OTHER RESPONSIBILITY violation of such prohibition;

MATTERS (b) Establishing an on-going drug free awareness program to

inform empoyees about:

As required by Executive Order 12549, Debarment and Suspension,

and implemented at 44 CFR Part 67, for prospective participants in (1) The dangers of drug abuse in the workplace;

primary covered transactions, as defined at 44 CFR Part 17, (2) The grantee's policy of maintaining a drug-free workplace;

Section 17.510-A. The applicant certifies that it and its principals: (3) Any available drug counseling, rehabilitation, and

employee assistance programs; and

(a) Are not presently debarred, suspended, proposed for debarment, (4) the penalties that may be imposed upon employees for

declared ineligible, sentenced to a denial of Federal benefits by a State drug abuse violations occurring in the workplace;

or Federal court, or voluntarily excluded from covered transactions by

any Federal department or agency;

FEMA Form 20-16C

Applicants should refer to the regulations cited below to determine the certification to which they are required to attest. Applicants should also

review the instructions for certification included in the regulations before completing this form. Signature of this form provides for compliance

with certification requirements under 44 CFR Part 18, "New Restrictions on Lobbying" and 28 CFR Part 17, "Government-wide Debarment and

Suspension (Nonprocurement) and Government-wide Requirements for Drug-Free Workplace (Grants),." The certifications shall be treated as a

material representation of fact upon which reliance will be placed when the Federal Emergency Management Agency (FEMA) determines to award

the transaction, grant, or cooperative agreement

(c) Making it a requirement that each employee to be engaged in (2) Requiring such employee to participate satisfactorily in a

the performance of the grant to be given a copy of the statement drug abuse assistance or rehabilitation program approved for

required by paragraph (a); such purposes by a Federal, State, or local health, law enforcement,

or other appropriate agency.

(d) Notifying the employee in the statement required by

paragraph (a) that, as a condition of employment under the grant, (g) Making a good faith effort to continue to maintain a drug free

the employee will: workplace through implementation of paragraphs (a), (b), (c), (d), (e),

and (f).

(1) Abide by the terms of the statement; and

8. the grantee may insert in the space provided below the site(s) for

(2) Notify the employee in writing of his or her conviction for a the performance of work done in connection with the specific grant:

violation of a criminal drug statute occurring in the workplace

no later than five calendar days after such conviction. Place of Performance (Street address, City, County, State, Zip code)

(e) Notifying the agency, in writing, within 10 calendar days after

receiving notice under subparagraph (d)(2) from an employee or

otherwise receiving actual notice of such conviction. Employers of

convicted employees must provide notice, including position title,

to the applicable FEMA awarding office, i.e., regional office or

FEMA office.

Check if there are workplaces on file that are not identified here.

(f) Taking one of the following actions, within 30 calendar days of

receiving notice under subparagraph (d)(2), with respect to any Section 17.630 of the regulations provide that a grantee that is a State

employee who is so convicted: may elect to make one certification in each Federal fiscal year. A copy

of which should be included with each application for FEMA funding.

(1) Taking appropriate personnel action against such an employee, States and State agencies may elect to use a Statewide certification.

up to and including termination, consistent with the requirements

of the Rehabilitation Act of 1973, as amended; or

As the duly authorized representative of the applicant, I hereby certify that the applicant will comply with the above certifications.

Company Name

Address City State Zip Code

Phone Number Fax Number E-Mail Address

Company Representative (Print Name)

Signature Date

FEMA Form 20-16C