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Agenda 09/23/2025 Item #16D 5 (After-the-fact grant application submission to the Florida Department of Law Enforcement for Federal Fiscal Year 2024 Edward Byrne Memorial, Justice Assistance Grant (JAG) Countywide Program)9/23/2025 Item # 16.D.5 ID# 2025-2892 Executive Summary Recommendation that the Board approve an after-the-fact grant application submission to the Florida Department of Law Enforcement for Federal Fiscal Year 2024 Edward Byrne Memorial, Justice Assistance Grant (JAG) Countywide Program on behalf of the Collier County Sheriff’s Office, (2) approve the revision to the required 51% letter naming Collier County Board of County Commissioners as the recipient, and (3) for the Chair to sign the attached attached letter designating the County Manager as the Chief Official for the grant. OBJECTIVE: To secure grant funds to support equipment purchases for the Collier County Sheriff’s Office in keeping with the County’s strategic plan to support and enhance our commitment to robust public safety services. CONSIDERATIONS: The Edward Byrne Memorial Justice Assistance Grant (JAG) is a federally funded program administered by the U.S. Department of Justice (DOJ), Office of Justice Programs (OJP). It is the primary provider of federal criminal justice funding to states and local governments. The JAG program supports a broad range of activities to prevent and control crime and to improve the criminal justice system, including initiatives in law enforcement, prosecution, courts, crime prevention, education, corrections, drug treatment, and mental health programs. In Florida, the JAG program is administered by the Florida Department of Law Enforcement (FDLE), which serves as the State Administering Agency (SAA). FDLE receives the DOJ allocation and manages the distribution of funds across Florida’s counties based on a formula set by DOJ and state priorities. The Board has participated in the Edward Byrne Memorial JAG projects for over 25 years. The Federal Fiscal Year (FFY) 2024 JAG Countywide Program allocation for Collier County is $128,108. On June 10, 2025, Agenda Item #16. J.1., the Board approved the submission of the designation of Collier County Sheriff's Office to submit the grant application, receive the award and associated Budget Amendments to the Collier County Sheriff Office. On July 18, 2025, FDLE notified the County and CCSO that it was no longer permissible for the recipient to be CCSO but was required to be the County. As such, revised 51% participation letters had to be submitted from the Cities of Marco Island and Everglades in accordance with the State of Florida Rule 11D-9, F.A.C. along with a revised letter from the Board naming the County as the recipient. The announcement for the grant was received on May 28, 2025, with an opening date of July 1, 2025. However, the County was not approved to move forward with the application process until July 25, 2025, following approval of the 51% letters. The application had a deadline for submittal of August 29, 2025. The application was submitted on behalf of the Collier County Sheriff’s Office. The grant application allocated funds to the Collier County Sheriff’s Office (CCSO) to support the purchase of license plate readers and ballistic vests. Collier County CMA #5330 authorizes the County Manager to approve the submittal of grant applications with subsequent Board action at the next available Board meeting to ratify the approval as “after-the-fact.” The County Manager approved the submittal of the grant application on August 28, 2025. This grant application supports Collier County's Quality of Place to support and enhance our commitment to robust public safety services. FISCAL IMPACT: If awarded, the fiscal impact is estimated at $128,108, funded by the U.S. Department of Justice in JAG grant funds. There is no local match requirement. Funding will reside within the Housing Grants Fund (1835). GROWTH MANAGEMENT IMPACT: There is no growth management impact associated with this action. LEGAL CONSIDERATIONS: This item has been approved in terms of form and legality and requires a majority vote for Board approval. -JAK RECOMMENDATIONS: To approve an after-the-fact grant application submission to the Florida Department of Law Enforcement for the Federal Fiscal Year 2024 Edward Byrne Memorial, Justice Assistance Grant (JAG) Countywide Program on behalf of the Collier County Sheriff’s Office, (2) approve the revision to the required 51% letter naming Page 1859 of 3896 9/23/2025 Item # 16.D.5 ID# 2025-2892 Collier County Board of County Commissioners as the recipient, and (3) for the Chair to sign the attached attached letter designating the County Manager as the Chief Official for the grant. PREPARED BY: Carolyn Noble, Grant Coordinator, Community & Human Services ATTACHMENTS: 1. CM MEMO 2025 08-28 FDLE JAG24 ATF 25-012 2. APP 2025 08-29 FDLE BRYNE JAG24 3. BCC Chairman Letter Justice Assistance Grant (JAG) Page 1860 of 3896 c,tE",Covmty CC Kristi Sonntag Director - Community & Human Svc FROM: Therese Stanley Manager - OMB Grants Compliance Office of Management & Budget TO: Amy Patterson, County Manager Grant Application Reviewed and Approved by ty Manager, or County Manager 6{24_4,*, After-the-Fact Approval by the BCC is required at the September 23, 2025, BCC meeting.DATE: August 28, 2025 ? RE: County Manager revi ewa nd approval to submit a federal U.S. Department of Justlce (DOJ) funding request for the FY24 Edward Byrne Memorial Justice Assistance Grant Program (JAG) passed through the Florida Department of Law Enforcement (FLDE) in the amount of $128,108 on behalf of the Collier County's Sherriff Office (CCSO) (ATF 25-012) The CCSO has participated in Edward Byrne Memorial JAG projects for over 25 years in coordination with the Collier County Board of County Commissioners (Board). Eligible applicants must be a unit of local governments defined as the authority to independently establish a budget and impose taxes. As such the Board must serve as the applicant for the CCSO to receive the annual allocation of funding. The application will be submitted through the required electronic application systems and designated authorized users approved by the Board. ln Florida, the JAG program is administered by the Florida Department of Law Enforcement (FDLE), which serves as the State Administering Agency (SAA). FDLE receives the DOJ allocation and manages the distribution of funds across Florida's counties based on a formula set by DOJ and state priorities. JAG funding is used to prevent and control crime and improve the criminal justice system. The CCSO is reapplying for the full FY 2024 allocation of $128,108 through the County after receiving notification from FLDE on July 18, 2025, that it was no longer permissible for the recipient to be CCSO, as the recipient must be the County. DOJ first issued the Notification of Funding Opportunity on May 28,2025, with an application deadline of August 29,2025. Due to the short turnaround from the FLDE notice date, we are asking for your approval to resubmit the application followed by an After{he-Fact approval by the Board at the September 23, 2025, meeting. Once you have reviewed the application, please sign in the box above and in the areas marked throughout the application and call me for pickup at 239-252-2959- Thank you, and please let me know if you have any questions regarding this request. 3299 TamiamiTrail East, Suite 201 ' Naples' Flodda 34112-5746 ' 239252t973 ' FAX 239'252{828 Page 1861 of 3896 Policing Equipment Prepared by County of Collier for Florida Department of Law Enforcement JAG24 - C ountywide Primary Contact: Carolyn Noble Page 1862 of 3896 Opportunity Details Opportunity Information Title JAG24 - Countywi de Descripti on Thi s opportunity i s available to units of local government who receive annual appropriations under Florida's Justice Assi stance Grant (JAG) Program. Awardi ng Agency Name U.S. Department of Justi ce, Office of Justice Programs, Bureau of Justice Assistance Agency Contact Phone 850-617-1250 Agency Contact Emai l cri minaljusti ce@fdle.state.fl.us Subjects Edward Byrne Memori al Justi ce Assi stance Grant (JAG), JAG - Countywide (JAGC) Opportunity Posted D ate 7/1/2025 Announcement Type Ini ti al Announcement Assi stance Listings Number 16.738 Publi c Link https://www.gotomygrants.com/Publi c/Opportunities/Details/b56cd338-7a66-4c0d-9fef-b2ab060b4874 Is Published Yes Funding Information Fundi ng Sources Federal Or Federal Pass Through Fundi ng Source Descripti on Thi s funding i s available under Flori da's FY2024 Justice Assistance Grant award (15PBJA-24-GG-04224-MUMU). Award Information Award Period 10/01/2023 - 09/30/2027 Award Type Non Competitive Indirect Costs Allowed Yes P age 2 of 23 Policing Equipment County of Collier Page 1863 of 3896 Matching Requirement No Subm ission Information Submi ssi on Wi ndow Opens 07/01/2025 12:00 AM Submi ssi on Ti meline Type One Time Eligibility Information Eligi bili ty Type Private Eligi ble Applicants County Governments City or townshi p governments Native American tribal governments (Federally recognized) Addi ti onal Eligi bili ty Informati on Eligi ble applicants are li mited to uni ts of local government. A unit of local government is defined as a city, county, town, township, borough, pari sh, village, or other general-purpose political subdivision of the state, including Native American Tribes who perform law enforcement functions as determined by the Secretary of the Interior. Additional Information Addi ti onal Informati on URL https://www.fdle.state.fl.us/Grants/Home.aspx Addi ti onal Informati on URL D escri ption Thi s si te contains information regardi ng the various programs, funding opportunities, and forms managed by the Office of C rimi nal Justi ce Grants. Contact information and additional resources can also be found on this site. P age 3 of 23 Policing Equipment County of Collier Page 1864 of 3896 Project Information Application Information Applicati on Name Poli ci ng Equipment Award Requested $128,108.00 Total Award Budget $128,108.00 Prim ary Contact Information Name Carolyn Noble Emai l Address carolyn.noble@colliercountyfl.gov Address 3299 Tami ami Trail E, Sui te 202 Naples, Florida 34112-5746 Phone Number (239) 252-5321 P age 4 of 23 Policing Equipment County of Collier Page 1865 of 3896 Project Description JAG Program - Proje ct Summary Applicant and Award Information NEW REQUIREMENT: Applicant Organization Due to restrictions in functionality, OCJG is requiring the Applicant User's organization to match the Eligible Recipient's organiz ation. The organization listed below your name at the top of the screen MUST match the name of the Eligible Recipient you are creating this application for. If you are registered with the Eligible Recipient organiz ation: close the application window, switch profiles in AmpliFund, and click on the application link again to apply. If you are not registered with the Eligible Recipient organization: contact the assigned grant manager at the Eligible Recipient's organiz ation and instruct them to apply. If the Eligible Recipient does not have a dedicated grant manager: you may need to contact them and ask to be added to their organization's profile. Contact your assigned OCJG grant manager for more information. Eligible Recipients of JAG Funds Eligible recipients are limited to units of local government. A unit of local government is defined as a city, county, town, township, borough, parish, village, or other general-purpose political subdivision of the state, including Native American Tribes who perform law enforcement functions as determined by the Secretary of the Interior. The eligible recipient cannot be a police department, sheriff's office, or other division of a unit of local government. Enter the name of the Eli gible Reci pient. County of C ollier Is the Eligi ble Recipi ent a State Agency (i .e. Department of Corrections or other State of Florida agency)? Yes No In which county is the Eli gible Reci pient located? Colli er What is the Eli gible Reci pient's SAM Unique ID number (UEI)? JWKJKYRPLLU6 Upload a copy of the Eligi ble Recipi ent's active SAM registration below. SAM.gov-C ounty of Colli er.pdf E-Verify Section 448.095, Florida Statutes, went into effect on July 1, 2023. All State of Florida agencies, including FDLE, are required to verify award recipients are registered with and use the E-Verify system. Eligible Recipients who are not registered with E-Verify will NOT be eligible for JAG funds. Applicants may use E- Verify's Employer Search Tool to verify their agency is registered. Is the Eligi ble Recipi ent regi stered as a participating employer in the E-Verify System? Yes P age 5 of 23 Policing Equipment County of Collier Page 1866 of 3896 No (award cannot be issued until registered) Payment Information What is the Eli gible Reci pient's FEID number (FLAIR Vendor ID)? 596000558 What is the Eli gible Reci pient's payment address? Clerk of the C i rcuit Court & C omptroller of C ollier County 3299 Tami ami Trail E Sui te 413 Naples, FL 34112 Project Information Project Period and Reporting Frequency NOTE: Projects must be at least six months in length. The final length of the project period will be determined at the time of award approval. No projects will extend past the federal award end date. Desi red Start D ate of the Project 10/01/2025 Desi red End Date of the Project 09/30/2026 Please select your desi red reporti ng frequency for submitting payment requests AND performance reporting. Quarterly Performance Activity Area Review the following activity area defintions and ensure you make the proper selection for your project in the next question: Law Enforcement = programs, activities, and/or spending conducted by a law enforcement organiz ation, including crime lab/forensics activities. This DOES NOT include drug task forces or law enforcement driven crime prevention and education initiatives. Prosecution and Courts = programs, activities, and/or spending for prosecution, indigent defense, and court programs. This DOES NOT include drug courts, mental health courts, veterans' courts, or extreme risk protection order programs. Prevention and Education = programs, activities, and/or spending with the goal of educating individuals on various crimes or programs designed to help prevent crime. Corrections and Community Corrections = programs, activities, and/or spending for corrections, probation, parole, and reentry initiatives. This DOES NOT include substance abuse or co-occuring treatment programs. Drug Treatment and Enforcement = programs, activities, and/or spending for drug courts, drug treatment, co-occurring disorders, and drug task forces. Planning Evaluation and Technology = programs, activities, and/or spending related to large-scale technology upgrades and/or implementation, information sharing systems, strategic planning, and program evaluations. Crime Victim and Witness = programs, activities, and/or spending for services and support to victims of crime. This DOES NOT include monetary compensation for victims. Mental Health = programs, activities, and/or spending for behavior related programming and crisis P age 6 of 23 Policing Equipment County of Collier Page 1867 of 3896 intervention teams. State Crisis Intervention Proceedings = programs, activities, and/or spending related to specialty court proceedings (other than drug courts) and extreme risk protection order programs. Select the appropriate acti vity area for thi s project. 01 - Law Enforcement 02 - Prosecuti on and Courts 03 - C rime Preventi on and Educati on 04 - C orrecti ons and Communi ty Corrections 05 - D rug Treatment and Enforcement 06 - Planning Evaluation and Technology 07 - C rime Vi cti m and Wi tness 08 - Mental Health 09 - State Cri si s Intervention Proceedings Problem Identification PID1: D escri be the problems, i ssues, or concerns this funding will address and describe why this project is a priority for your organi zati on. License Plate Reader (LPR) systems use specialized cameras and optical character recognition to automatically capture and identif y vehicle license plates. These readers are then matched against dif f erent law enforcement databases to identify vehicles that are assigned to these databases. Collier County Sheriff’s Office uses these LPR systems to monitor traf f ic in real-time as well as query these reads f or investigative purposes. There are many benef its that Collier County Sherif f ’s Of f ice has seen that are a result of these LPR systems being implemented. Some of these benefits include crime deterrence and prevention, faster response times, increased traf f ic safety, improved resource efficiency and providing the community with added reassurance. CCSO has used these LPR systems to quickly f ind vehicles that are connected or involved in crimes that have just occurred or that have happened in the past. CCSO has also used these systems to safely locate missing persons. These systems afford CCSO the opportunity to locate vehicles in a matter of seconds using these systems instead of hours, days or even weeks. This allows law enf orcement to respond to crimes f aster and provide the public with a safer community to live in. This f unding will greatly help CCSO as it will allow us to place LPR systems in areas that are of need which in turn will help deter crime and provide a more rapid response to calls for service to citizens of Collier County. The funds will also be used for the purchase of police ballistic vests f or new of f icers and for the replacement of those that have expired per the manuf acturer's guidelines. The value in purchasing the vests is that they provide critical lif e-saving protection for police of f icers who are actively engaged in perf orming dangerous law enforcement activities. The vests of f er protection from threats such as bullets, knives, physical trauma, and potential injuries associated with motor vehicle incidents. Every police of f icer who is issued a ballistic vest and actively wears it, greatly increases the likelihood of surviving a deadly human encounter or vehicle incident. According to statistics shared by the FBI , 54 Of f icers were f eloniously killed in the first nine months of 2024, representing a 12.5 percent increase from the same period in 2023. Firearms were used in 75.9 percent of felonious deaths occurring in 2024. Among the officers killed with f irearms, four are conf irmed to have been wearing body armor. Accidental law enf orcement deaths (such as motor vehicle related) increased 14.3 percent when comparing the f irst nine months of 2024 with the f irst nine months of 2023. Saving an Officers life, or minimizing injuries, not only benefits the Officer and their f amily, but also the community and City. It prevents loss of work, and extensive medical expenses. These vests are potentially one of the most important pieces of equipment that may be issued to a Police Officer. The ability to purchase and replace them on a regular schedule, P age 7 of 23 Policing Equipment County of Collier Page 1868 of 3896 defined by the manuf acturer, is invaluable to the Of f icer, City and Community they serve. PID2: What actions are your organi zati on currently taking to help address the problems/issues/concerns described above? We have spent the last few years installing license plate reader cameras throughout the county to help with the solvabi lity of cri mes and i denti fi cation of vehicles who partook in criminal behavior as well as identifying individuals and vehicles for mi ssi ng persons, amber and silver alerts. While we have implemented cameras throughout the county there are still areas of gaps we would li ke to address. These additional cameras will only increase our efforts on conti nui ng to make Colli er C ounty one of the safest communities by giving CCSO the ability to monitor and solve cri mes faster and more effi ci ently. We are currently using policy balli sti c vests for Officer's, and these funds will assist with replacement of those that have expi red per manufacturer guideli nes and for new Officer's. The vests offer lifesaving protection to Officers solving concerns and problems they encounter via deadly human or vehicle incidents. PID3: Is this project a conti nuation from the previous year or other federal funding source? Yes No Scope of Work Personnel Wi ll you be usi ng funds to support personnel costs (FTE, OPS, etc. – not including overtime)? Yes No Overtime Wi ll you be usi ng funds to support overtime pay? Yes No Travel and Training Wi ll you be usi ng funds to support travel and/or training costs? Yes No Equipment and/or Supplies Wi ll you be usi ng funds to support the purchase of equipment and/or supplies? Yes No Definitions Equipment is defined as any item that will be assigned a property tag and routinely inventoried or tracked (as per your agency's property management policies). These items are typically assigned to an individual and/or location in a property management system. Examples include: computers, laptops, weapons, or other items exceeding your agency's OCO threshold. All other items are considered Supplies for the purposes of this award. *NEW* JAG funds may only be used to purchase Body Worn Camera (BWC) hardware. The use of funds for tap refresh, software, warranties, service agreements, data storage, or any other related expenses for BWC is prohibited. Additionally, grant funds may not be used for equipment refresh or subscription-based, rent-to- P age 8 of 23 Policing Equipment County of Collier Page 1869 of 3896 own, or lease systems. Contact your assigned grant manager if you have any questions regarding these new exclusions. At what dollar threshold does your agency enter an item into the organization's inventory system? $5,000.00 Are any i tems bei ng purchase wi th grant funds under your organization's inventory threshold, but will actually be inventoried based on your local poli cy/procedure? Yes No Briefly describe the i tems to be purchased and how they are critical to addressing the problem described above. There are many benefits that Collier County Sheriff’s Office has seen that are a result of these LPR systems being implemented. Some of these benefits include crime deterrence and prevention, faster response times, increased traf f ic safety, improved resource ef f iciency and providing the community with added reassurance. CCSO has used these LPR systems to quickly find vehicles that are connected or involved in crimes that have just occurred or that have happened in the past. CCSO has also used these systems to safely locate missing persons. These systems afford CCSO the opportunity to locate vehicles in a matter of seconds using these systems instead of hours, days or even weeks. This allows law enf orcement to respond to crimes f aster and provide the public with a safer community to live in. This f unding will greatly help CCSO as it will allow us to place LPR systems in areas that are of need which in turn will help deter crime and provide a more rapid response to calls for service to citizens of Collier County. The benef it of purchasing police ballistic vests f or new of f icers and f or the replacement of those that have expired per the manufacturer's guidelines is that they provide critical life- saving protection for police of f icers who are actively engaged in performing dangerous law enf orcement activities. The vests of f er protection from threats such as bullets, knives, physical trauma, and potential injuries associated with motor vehicle incidents. Every police of f icer who is issued a ballistic vest and actively wears it, greatly increases the likelihood of surviving a deadly human encounter or vehicle incident. Saving an Officers life, or minimizing injuries, not only benef its the Of f icer and their family, but also the community and City. It prevents loss of work, and extensive medical expenses. These vests are potentially one of the most important pieces of equipment that may be issued to a Police Officer. The ability to purchase and replace them on a regular schedule, defined by the manuf acturer, is invaluable to the Of f icer, City and Community they serve. Do you have quotes available for any of the items being requested in the Equipment or Supplies category? Yes No Wi ll any of the i tems procured under this award be transferred to another entity upon receipt (i.e., a County is purchasing an i tem for a local Poli ce Department)? Yes (a special condition will be added to the award) No Method of Procurement If any item described above will not be purchased via non-competitive procurement or state-term/alternate source contract, OCJG must ensure quotes and/or bids are obtained as defined by your agency's procurement policy or federal policy. This documentation must be maintained on file and provided to OCJG P age 9 of 23 Policing Equipment County of Collier Page 1870 of 3896 upon request at the time of reimbursement or monitoring. Sole Source Rules and Limitations The use of non-competitive procurement methods (i.e. sole source) for grant-funded purchases is strongly discouraged. However, there are three scenarios in which sole source is allowable: 1. The item or service is only available from one source. This does not mean a particular brand name of a product justifies a sole source, it is the item itself. For example, procuring electronic control devices cannot be a sole source because these less-lethal devices are available to purchase from Taser International and various other vendors. NOTE: Vendor sole source letters are not sufficient justification for noncompetitive purchases. 2. A public emergency exists that will result in harmful delays if formal competition is required. This requires official written declaration of the public emergency by an authorized official (i.e. President, Governor, Mayor, etc.). The ability to purchase non-competitively under a declaration of public emergency expires when the written declaration expires. 3. Inadequate competition was noted after soliciting a number of sources. Documentation of the solicitations from each source must be maintained to support the non-competitive procurement. Applicants who plan to utilize grant funds for non-competitive procurement MUST complete an OCJG Sole Source Justification Approval form for pre-approval by OCJG. Sole source purchases in excess of $250,000 require OCJG to submit a GAM to DOJ for federal pre-approval. Additional information may be required by your OCJG grant manager. Your OCJG grant manager will inform you if your sole source request has been pre-approved. If your sole source request is not pre-approved by OCJG and/or DOJ, quotes and/or bids must be obtained and provided to OCJG as required by your organization's procurement policy. This documentation must be maintained on file and provided to OCJG prior to reimbursement or at the time of monitoring. Sole source justification provided after the purchase has already been made will not be accepted. Are any i tems bei ng procured non-competitively (i.e. sole source)? Yes No Upload completed sole source justificati on form(s). CCSO Sole Source Narrative Doc LPR 08.20.25.docx.pdf State-Term or Alternate Source Contracts State-Term Contracts: Recipients utiliz ing these types of contracts must provide the Florida State-Term Contract number at the time of application (if known). Alternate Source Contracts: Federal procurement regulations allow for grant-funded items to be piggybacked off of existing contracts with other entities. This is known as "alternate source" contracting and is often used by OCJG recipients. Recipients utiliz ing an alternate source contract are required to describe the contract and provide the contract number (if known). If the contract number is not known at the time of application, it must be provided at the time of reimbursement. Are any i tems bei ng procured from an existing Florida State-Term Contract? Yes No Are any i tems bei ng procured from any other Alternate Source Contract (GSA, NASPO, piggybacking existing contract, etc.). Yes P age 10 of 23 Policing Equipment County of Collier Page 1871 of 3896 No Third-Party Services (Contractual Services) Wi ll you be usi ng funds to support third-party services (consulting services, contractual services, and/or subawards)? Yes No Briefly describe the purpose and importance of the third-party services each vendor will provide, the name of the chosen vendor, and how their services are cri ti cal to addressing the problem described above. If a vendor has NOT been chosen: descri be the purpose and i mportance of the desired services and an anticipated date of vendor selection. Colli er C ounty Sheriff's Offi ce wi ll be our subrecipient. Their services are critical to protecting Police Officers and assi sti ng in reduci ng cri me i n our C ounty. Benefits of the LPR systems include crime deterrence and prevention, faster response ti mes, i ncreased traffic safety, improved resource efficiency and providing the community with added reassurance. CCSO has used these LPR systems to quickly find vehicles that are connected or involved in crimes that have just occurred or that have happened in the past. These systems afford CCSO the opportunity to locate vehicles in a matter of seconds usi ng these systems instead of hours, days or even weeks. This funding will greatly help CCSO as it wi ll allow us to place LPR systems i n areas that are of need which in turn will help deter crime and provide a more rapi d response to calls for service to citizens of Collier County. The benefi t of purchasi ng poli ce ballistic vests for new officers and for the replacement of those that have expired per the manufacturer's gui delines i s that they provide critical life-saving protection for police officers who are actively engaged in performing dangerous law enforcement activities. The vests offer protection from threats such as bullets, knives, physical trauma, and potenti al i njuries associated with motor vehicle incidents. Every police officer who is issued a balli sti c vest and actively wears it, greatly increases the likelihood of surviving a deadly human encounter or vehicle incident. Savi ng an Offi cers life, or minimizing injuries, not only benefits the Officer and their family, but also the communi ty and City. The abi lity to purchase and replace them on a regular schedule, defined by the manufacturer, is invaluable to the Offi cer, C i ty and Community they serve. Third-Party Lobbying Disclosure Each third-party (consultant, contractor, or subrecipient) receiving grant funds from this award of $100,000 or more must complete a Disclosure of Lobbying Activities (SF-LLL) form. Failure to provide this form for applicable third-parties at the time of application will result in a withholding of funds condition on the award. Wi ll any thi rd-party be recei ving grant funds under this award equaling $100,000 or more? Yes No Do you have completed SF-LLL forms to upload from your third-parties? Yes No Upload third-party SF-LLL forms. Thi rd Party-SF-LLL-for-Subawards-C C SO.pdf Third-Party E-Verify Section 448.095, Florida Statues, requires Recipients to verify ALL third-party contractors/vendors are registered with and use the E-Verify system. Recipients may use E-Verify's Employer Search Tool to ensure each third-party contractor/vendor is registered. In addition, all third-party agreements must contain, or be amended to contain, language ensuring the vendor complies with E-Verify requirements. Withholding of Funds conditions will be added to the award until verification of compliance with this requirement is provided to OCJG. Have you veri fi ed EAC H third-party vendor is registered as a participating employer in the E-Verify system? P age 11 of 23 Policing Equipment County of Collier Page 1872 of 3896 Yes No Does EACH thi rd-party agreement contai n language requiring the third-party to utilize the E-Verify System? Yes No *NEW* Third-Party Payment Request Certification Information: Recipients must ensure all tiered recipients have the following statements on their claim forms. "I certify to the best of my knowledge and belief that the information provided herein is true, complete, and accurate. I am aware that the provision of false, fictitious, or fraudulent information, or the omission of any material fact, may subject me to criminal, civil, or administrative consequences including, but not limited to violations of U .S. Code Title 18, Sections 2, 1001, 1343, and Title 31, Sections 3729-3730 and 3801-3812." Recipi ent Response: I certify that I understand the requirement outlined above. Third-Party Relationship Determinations Applicants must complete a Third Party Determination Checklist for EACH selected third-party vendor/provider. If a vendor has not been selected: enter "TBD" as the Third Party Name and answer according to the services that will be provided. Upload a completed "Thi rd Party D etermi nation Checklist" for EACH proposed third-party vendor/service. Thi rd-Party-D etermi nation-Checklist-08-28-25 CN.pdf Third-Party Consultants Did any of the determinati on checklists result in a CONSULTANT determination? Yes No Third-Party Contracts Did any of the determinati on checklists result in a CONTRACTOR determination? Yes No Third-Party Subawards Did any of the determinati on checklists result in a SUBRECIPIENT determination? Yes No Does your organi zati on have wri tten poli ci es that outline the requirements for procurement, management, and monitoring of ti ered subawards made under a federal award? Yes No Upload a copy of your organization's poli cies and/or procedures for tiered subawards made under a federal award. 9. GRANTS AD MINISTRATION HAND BOOK FY16 v.7 (9.27.24).pdf, 17. FA-Admin-112-CHS Monitoring Plan 5-15- P age 12 of 23 Policing Equipment County of Collier Page 1873 of 3896 23.pdf Do you have executed agreements wi th each third-party SUBRECIPIENT? Yes No Do any of the subaward agreements indi cate the subrecipient will charge unit costs? Yes No Pass-through Entity Responsibilites Recipients who request federal funds for a third-party "SUBRECIPIENT" must meet the following requirements, as they are now considered a pass-through entity. For more information on the responsibilities associated with third-party subawards and your requirements as a pass-through entity, please visit our Tiered Subrecipients webpage. Upon execution of each Third-Party Agreement with a Subrecipient, the pass-through entity (the Recipient) is required to: (1) Submit a copy of the executed agreement to OCJG. All third-party agreements must contain, or be amended to contain, language ensuring the vendor complies with E-Verify requirements. (2) Complete a "Third-Party Certificate of Subaward" for each executed agreement and submit a copy to OCJG. A copy of this form should be provided to the third-party subrecipient for their records. (3) Submit documentation of the third-party subrecipient's active SAM registration to OCJG. The Recipient is responsible for ensuring their subrecipient is registered in SAM.gov and maintains an active registration for the life of the subaward. OCJG must have all of these items on file before payment requests for the third-party subrecipient will be approved. At the time of monitoring, the pass-through entity (the Recipient) is required to: (1) Submit copies of the third-party subrecipient's EEO Certification and EEO Plan/Approval Letter (if applicable) to OCJG. The recipient is responsible for ensuring their third-party subrecipient is compliant with all Equal Employment Opportunity (EEO) Program requirements for the life of the subaward. (2) Provide a completed "Third-Party Subaward Risk Assessment" for each executed agreement to OCJG. (3) Provide documentation of monitoring and performance for their third-party subrecipient by completing the "Third-Party Monitoring Questionnaire". (4) Provide documentation of the third-party subrecipient's compliance with E-Verify requirements as specified in Section 448.095, F.S. Other Costs Wi ll you be usi ng funds to support "other" costs not captured in any of the categories above? Yes No Indirect Costs Federal recipi ents may elect to use a portion of funding for indirect costs. Wi ll you be usi ng funds to support indi rect costs? P age 13 of 23 Policing Equipment County of Collier Page 1874 of 3896 Yes No Program Generated Income (PGI) Grant-funded activities may generate revenues for the recipient organiz ation. Examples of program income activities include but are not limited to: asset seizures/forfeitures, registration/tuition fees collected from hosted events, interest earned on advance award funds, membership fees, court-ordered attorney's fees, and fees/fines for failed drug tests. All program income must be accounted for, reported, and expended in accordance with Section 3.4 of the DOJ Grants Financial Guide. Wi ll any proposed grant activi ti es generate Program Income? Yes (a special condition will be added to the award) No JAG Pre-Approvals BJA has provided guidance regarding prohibited and controlled expenditures. A guide for expenditures made during or after Federal Fiscal Year 2023 may be found here: FY23 Prohibited Expenditures A separate guide exists for expenditures made during Federal Fiscal Year 2015 through Fiscal Year 2022: FY15-FY22 Prohibited Expenditures See BJA's JAG FAQs for more information on the approval process. OCJG grant managers will review the application and seek more information for any items that may require BJA pre-approval. P age 14 of 23 Policing Equipment County of Collier Page 1875 of 3896 JAG Program - Ce rtifications & Forms Forms/Certifications Required for All Applicants Lobbying, Debarment, and Drug Free Workplace All recipients are required to complete and upload a Lobbying, Debarment, and Drug Free Workplace Certification. A separate certification must be signed for EACH application. Upload the completed certificati on below. Does this applicati on equal $100,000 or more? Yes No SF-LLL Applicants receiving an award of $100,000 or more must complete a Disclosure of Lobbying Activities (SF- LLL) form with their application. Upload your completed SF-LLL form. Subrecipient Management Questionnaire All recipients are required to complete and upload a Subrecipient Management Questionnaire (SMQ) with their application. This form is used to help evaluate the recipient organiz ation's existing internal controls related to the management of federal grant funds. OCJG will utilize this form as a "risk assessment" to determine the appropriate level of monitoring (desk or onsite) for the award. Additional supporting documentation may be required, such as a Single Audit Certification. Refer to the checklist on page 6 of the completed SMQ for more information. Upload the completed SMQ form below. Upload addi ti onal supporting documentation to accompany your completed SMQ, such as a Single Audit Certification or updated procurement poli cy. 9. GRANTS AD MINISTRATION HAND BOOK FY16 v.7 (9.27.24).pdf, 10. CCSO Ops Manual.pdf, 11. Whistleblower Certificati on - C HS Staff.pdf, 12. C MA 5809 Managing Personal Property and Consumable Supplies.pdf, 13. Procurement Manual 2023 Rev.3.pdf, 14. C MA 5330 Grant Administration.pdf, 15. FA-Fin-113-Capital Asset Management Policy-9-3-24.pdf, 16. CMA 5405 Computer-Technology Use.pdf, 17. FA-Admin-112-CHS Monitoring Plan 5-15-23.pdf Equal Employment Opportunity (EEO) Civil Rights Training As a condition of the federal JAG award, OCJG requires all recipients (and subrecipients) to complete a two part Civil Rights Training and provide copies of the training certificates upon request. To access the training, please visit our Civil Rights Training for Grantees webpage. At a minimum, the recipient grant manager must complete the training. These certificates do not expire and may be utilized for future awards. Have you completed the Civi l Ri ghts Trai ning for Grantees modules? Yes P age 15 of 23 Policing Equipment County of Collier Page 1876 of 3896 No (a condition will be added to award) Upload copy of Civi l Ri ghts Trai ni ng for Grantees certificates for the individual designated as Recipient Grant Manager. OJP D OJ C i vil Rights Training C ert of Completion - Module 1.pdf, OJP DOJ Civil Righs Training Certif of Completion - Module 2.pdf EEO Certification (EEOC) All recipients are required to submit an EEO Certification (EEOC) annually. Upload completed EEO C erti fi cation below. EEO-C erti fi cation-Form 25Aug25.pdf, 2024 Verification of EEOP Reporting Requirements Submission 15Oct24.pdf Answer the following questions to determine if your agency is required to submit an EEO Plan (Utiliz ation Report) to DOJ's Office of Civil Rights: Does your organi zati on have 50 employees or more? Yes No Did your organization receive a si ngle award of $25,000 or more from any U.S. Department of Justice grant program in the last fi scal year? Yes No EEOP REQUIREMENTS Recipients with 50 employees or more who also receive $25,000 or more in funding from the U.S. Department of Justice (regardless of if it is passed through FDLE), MUST develop a comprehensive EEO Plan that complies with 28 CFR 42.304. Based on your response, you are requi red to submit an EEO Utilization Report. Upload a copy of your most recent EEOP (Utili zati on Report) below. 2022 EEO Plan Fi nal Approved 10Oct22.pdf Project Specific Certifications Ballistic Vests Recipients proposing the use of grant funds to procure ballistic vests or plate carriers must ensure the vests are American-made, ordered to fit the user, and are compliant with NIJ Ballistic/Stab Standards. In addition, recipients purchasing routine-duty body armor must complete the Ballistic Vests (Mandatory Wear) Certification with their application. Does this applicati on propose the use of grant funds for ballistic vests? Yes (a condition will be added to award) No Upload completed balli sti c vest certi fi cation below. P age 16 of 23 Policing Equipment County of Collier Page 1877 of 3896 Body Worn Cameras Recipients proposing the use of grant funds to procure body worn camera equipment and supplies must complete the Body Worn Camera Policy Certification with their application. NOTE: Grant funds will only reimburse for licensing, data storage, and warranties during the project period. If costs extend past the project period, they will be pro-rated from the date of purchase. Does this applicati on propose the use of grant funds for body cameras? Yes (a condition will be added to award) No Telecommunications and Video Surveillance Services and/or Equipment Recipients proposing the use of grant funds to procure telecommunications and/or video surveillance equipment and/or services must complete a TVS Certification with their application. For more information on this requirement, please review the FAQs and the training posted to OCJG's webpage. Examples of TVS equipment include but are not limited to: cameras/webcams, DVR's, computers/laptops, servers, televisions, monitors, "smart" boards, and radios. Does this applicati on propose the use of grant funds for telecommunications or video surveillance services and/or equipment? Yes (a condition will be added to award) No Upload a completed TVS C erti fi cation below. TVS-Services or Equi p Certificati on signed rev 8.28.25.pdf Suitability to Work With Minors (SWIM) Recipients OR subrecipients (at any tier) who plan to use grant funds for activities that involve working with or interacting with minors (individuals under the age of 18), must provide a Suitability to Work and/or Interact with Minors Certification (SWIMC). For more information, review the training session posted on our website and the condition language on OJP's website. Does this applicati on's project, as described in the scope of work, indicate ANY activities may involve working with, or interacti ng wi th, minors? Yes (a condition will be added to award) No Confidential Funds Recipients proposing the use of grant funds to support confidential fund activities must complete the Confidential Funds Certification with their application. Additionally, recipients must have written policies and procedures to ensure confidential funds are managed in accordance with federal guidelines. Agencies who do not have a written policy may consider formaliz ing and adopting polices based off of the sample policy provided on our website. Does this applicati on propose the use of grant funds to support confidential fund activities? Yes No P age 17 of 23 Policing Equipment County of Collier Page 1878 of 3896 Task Force Activities Recipients proposing to use funds to support task force personnel, overtime, equipment, or contracted positions must provide a task force personnel roster at the time of application. In addition, the recipient is responsible for ensuring all task force members complete the required BJA Center for Task Force Integrity and Leadership online training courses once every four years. Certificates of completion for each member on the roster must be provided to OCJG at the time of application. If any task force members have not completed the training or have expired certificates, valid certificates must be provided to OCJG within 90 days of award. Does this applicati on propose the use of grant funds to support task force personnel, overtime, equipment, or contracted positions? Yes (a condition will be added to award) No National Environmental Policy Act (NEPA) NEPA requirements apply to any federal project (including grants) that might have a significant impact on the quality of the human environment. The following projects require OCJG to obtain approval from BJA's NEPA coordinator: Projects involving construction, expansion, or renovation of existing facilities. This includes ANY project that involves ground disturbing activities such as the installation of a fence or pole. Site planning documentation such as maps, photos, plans, renderings, etc. will be required. Projects involving the use of chemicals, such as while processing forensic evidence. These projects will be reviewed by the NEPA coordinator to ensure they are not located within or will potentially affect any of the following: a 100-year flood plain; a wetland; important farmland; a proposed or listed endangered or threatened species; a proposed or listed critical habitat; a property that is listed or eligible for listing on the National Register of Historic Places; an area within an approved State Coastal Zone Management Program; a coastal barrier or a portion of a barrier within the Coastal Barrier Resources System; a river or portion of a river included in or designated for potential addition to the Wild and Scenic Rivers System; a designated or proposed Wilderness Area; a sole source aquifer recharge area designated by the EPA; nearby religious or cultural sites; nearby minority, indigenous, low-income, or other sensitive populations. In addition, the NEPA coordinator will evaluate the impact the project may have on noise pollution, and review recipient protocols for the handling of haz ardous waste, solid waste, and uncontrolled air emissions (if applicable to the project). If the proposed project is affected, recipients must complete and upload a BJA CATEX Checklist at the time of application. Projects involving "minor renovation or remodeling" are excluded from NEPA requirements, but additional documentation may be required by your OCJG grant manager to reach this determination. Any expenses incurred prior to NEPA approval are spent "at risk". If BJA denies the request, NEPA-related expenses will not be eligible for reimbursement. Refer to BJA's NEPA Guidance document for more information. Does this applicati on propose the use of grant funds for construction, expansion, or renovation projects, or a project involving the use of chemicals (EXC LUD ING meth lab operations)? Yes (a wi thholding of funds condi ti on will be added to the award) No Methamphetamine Laboratory Operations Recipients with projects relating to clandestine meth lab operations, including their identification, seizure, or closure (i.e. clean-up), must provide copy of their agency's Methamphetamine Mitigation Plan to OCJG. The plan will be submitted to BJA to ensure it complies with NEPA requirements. Any expenses incurred prior to BJA approval are spent "at risk". If BJA denies the request expenses related to meth lab operations will not be P age 18 of 23 Policing Equipment County of Collier Page 1879 of 3896 eligible for reimbursement. Does this applicati on propose the use of grant funds for the identification, seizure, or closure (clean up) of a clandestine meth lab? Yes (a wi thholding of funds condi ti on will be added to the award) No Application Submission Certifications (200.415) Certification Statement: I certify to the best of my knowledge and belief that the information provided herein is true, complete, and accurate. I am aware that the provision of false, fictitious, or fraudulent information, or the omission of any material fact, may subject me to criminal, civil, or administrative consequences, including, but not limited to violations of U.S. Code Title 18, Sections 2, 1001, 1343, and Title 31, Sections 3729-3730 and 3801-3812. Recipi ent Response: I certify the statement above by submitting this request. P age 19 of 23 Policing Equipment County of Collier Page 1880 of 3896 JAG Program - Grant Contact Information Recipient Grant Manager Contact Information This individual serves as a primary point-of-contact and is responsible for: ensuring the project is progressing on time and promptly notifying their FDLE grant manager of any delays; overseeing all programmatic and financial reporting; and ensuring overall compliance with the grant agreement. GM Name (First Last) Carolyn Noble GM Title Grant Coordinator GM Address 1 3299 Tami ami Trail E GM Address 2 Sui te 202 GM C i ty Naples GM State FL GM Zip C ode+4 (XXXXX-XXXX) 34112-5746 GM Phone Number (XXX-XXX-XXXX) 239-252-5321 GM Email Address carolyn.noble@colliercountyfl.gov Chief Official Contact Information This individual is the agency head for the eligible recipient. The eligible recipient for the JAG program is a state agency or unit of local government. Examples of Chief Officials may include: Chairperson, Mayor, Executive Director, Secretary, Commissioner, etc. CO Name (Fi rst Last) Amy Patterson CO Ti tle County Manager CO Address 1 County Manager's Offi ce CO Address 2 3299 Tami ami Trail E, Sui te 202 P age 20 of 23 Policing Equipment County of Collier Page 1881 of 3896 CO City Naples CO State FL CO Zi p Code+4 (XXXXX-XXXX) 34112-5746 CO Phone Number (XXX-XXX-XXXX) 239-252-8383 CO Emai l Address amy.patterson@colli ercountyfl.gov Wi ll the Chief Offi ci al be desi gnati ng another individual to execute agreements on their behalf? Yes No Chief Financial Officer (CFO) Contact Information Thi s i ndivi dual is responsible for the recipient's accounting system, financial management, and certifying claim reports submitted for payment. CFO Name (Fi rst Last) Derek Johnssen CFO Ti tle Director of Fi nance and Accounti ng CFO Address 1 Colli er C ounty C lerk of the Circui t C ourt & Comptroller CFO Address 2 3299 Tami ami Trail E, Sui te #202 CFO City Naples CFO State FL CFO Zi p Code+4 (XXXXX-XXXX) 34112-5746 CFO Phone Number (XXX-XXX-XXXX) 239-252-5749 CFO Emai l Address Derek.Johnssen@collierclerk.com Additional Grant Contact Is there an additional grant point-of-contact (POC) you wish to add to the grant file? Yes No POC Name (First Last) Mari en Rui z P age 21 of 23 Policing Equipment County of Collier Page 1882 of 3896 POC Title General Accounti ng Manager POC Phone Number (XXX-XXX-XXXX) 239-252-0852 POC Email Address mari en.rui z@colli ersheri ff.org P age 22 of 23 Policing Equipment County of Collier Page 1883 of 3896 Budget Propose d Budge t Summary Expense Budget Grant Funded Total Budgeted G. Third-Party Subawards (Contractual Services) Colli er C ounty Sheriff's Office/Policing Equipment $128,108.00 $128,108.00 Subtotal $128,108.00 $128,108.00 Total Proposed Cost $128,108.00 $128,108.00 Revenue Budget Grant Funded Total Budgeted Grant Funding Award Requested $128,108.00 $128,108.00 Subtotal $128,108.00 $128,108.00 Total Proposed Revenue $128,108.00 $128,108.00 Propose d Budge t De tail See attached spreadsheet. Propose d Budge t Narrative G. Third-Party Subawards (Contractual Services) Li st each thi rd-party tiered subreci pient. If the vendor is unknown, list the name of the service to be provided. Each li ne item descri ption MUST detail the calculations used to arrive at the funded amount. EXAMPLE: Individual Counseli ng Session - $30/session x 1000 sessions = $30,000. Collier County Sheriff's Office/Policing Equipment Surveillance/LPR cameras (cost includes: LPR cameras, extended hardware warranty, device license fee and L6D camera pole mounts) - 9 cameras at $13,249.33 each for a total of $119,244. Hardwire 51 Level 2 Vests with trauma plates and vest cover - 8 vests at $1,108 each for a total of $8,864. P age 23 of 23 Policing Equipment County of Collier Page 1884 of 3896 Page 1885 of 3896 Page 1886 of 3896 Page 1887 of 3896 COUNTY OF COLLIER Unique Entity ID JWKJKYRPLLU6 CAGE / NCAGE 3JFC7 Purpose of Registration All Awards Registration Status Active Registration Expiration Date Jul 21, 2026 Physical Address 3299 Tamiami TRL E STE 700 Naples, Florida 34112-5749 United States Mailing Address 3299 Tamiami Trail E Suite 202 Naples, Florida 34112-5746 United States Business Information Doing Business as (blank) Division Name (blank) Division Number (blank) Congressional District Florida 19 State / Country of Incorporation (blank) / (blank) URL https://www.colliercountyfl.gov/ Registration Dates Activation Date Jul 23, 2025 Submission Date Jul 21, 2025 Initial Registration Date Sep 23, 2003 Entity Dates Entity Start Date May 8, 1923 Fiscal Year End Close Date Sep 30 Immediate Owner CAGE (blank) Legal Business Name (blank) Highest Level Owner CAGE (blank) Legal Business Name (blank) Executive Compensation Registrants in the System for Award Management (SAM) respond to the Executive Compensation questions in accordance with Section 6202 of P.L. 110-252, amending the Federal Funding Accountability and Transparency Act (P.L. 109-282). This information is not displayed in SAM. It is sent to USAspending.gov for display in association with an eligible award. Maintaining an active registration in SAM demonstrates the registrant responded to the questions. Proceedings Questions Registrants in the System for Award Management (SAM.gov) respond to proceedings questions in accordance with FAR 52.209-7, FAR 52.209-9, or 2. C.F.R. 200 Appendix XII. Their responses are displayed in the responsibility/qualification section of SAM.gov. Maintaining an active registration in SAM.gov demonstrates the registrant responded to the proceedings questions. Exclusion Summary Active Exclusions Records? No SAM Search Authorization I authorize my entity's non-sensitive information to be displayed in SAM public search results: Yes Entity Types Business Types Entity Structure U.S. Government Entity Entity Type US Local Government Organization Factors (blank) Profit Structure (blank) Last updated by Therese Stanley on Jul 21, 2025 at 12:06 PM COUNTY OF COLLIER Aug 14, 2025 02:04:31 PM GMT https://sam.gov/entity/JWKJKYRPLLU6/coreData?status=null Page 1 of 2Page 1888 of 3896 Socio-Economic Types Check the registrant's Reps & Certs, if present, under FAR 52.212-3 or FAR 52.219-1 to determine if the entity is an SBA-certified HUBZone small business concern. Additional small business information may be found in the SBA's Dynamic Small Business Search if the entity completed the SBA supplemental pages during registration. Government Types U.S. Local Government County Other Government Entities Planning Commission Financial Information Accepts Credit Card Payments No Debt Subject To Offset No EFT Indicator 0000 CAGE Code 3JFC7 Points of Contact Electronic Business THERESE STANLEY, OMB GRANTS COMPLIANCE MANAGER 3299 Tamiami Trail East Suite 201 Naples, Florida 34112 United States Christopher Johnson, OMB DIRECTOR 3299 Tamiami Trail East Suite 201 Naples, Florida 34112 United States Government Business THERESE STANLEY, OMB GRANTS COMPLIANCE MANAGER 3299 Tamiami Trail East Suite 201 Naples, Florida 34112 United States Christopher Johnson, OMB DIRECTOR 3299 Tamiami Trail East Suite 201 Naples, Florida 34112 United States Service Classifications NAICS Codes Primary Yes NAICS Codes 921190 NAICS Title Other General Government Support Disaster Response This entity does not appear in the disaster response registry. Last updated by Therese Stanley on Jul 21, 2025 at 12:06 PM COUNTY OF COLLIER Aug 14, 2025 02:04:31 PM GMT https://sam.gov/entity/JWKJKYRPLLU6/coreData?status=null Page 2 of 2Page 1889 of 3896 CJG (rev. 07/18/2025) Page 1 of 2 All noncompetitive procurement (i.e. sole source) purchases made using federal funds must adhere to 2 C.F.R. §200.320(c), 200.407, and Section 3.8 of the Department of Justice Grants Financial Guide. Recipients who intend to use federal funds for noncompetitive procurement must obtain approval from FDLE’s Criminal Justice Grants (CJG). Noncompetitive procurement in excess of $250,000 will require additional approval from DOJ’s Office of Justice Programs. In these instances, CJG will use the information submitted in this form, and in any applicable attachments, to submit a sole source Grant Award Modification (GAM) to DOJ. Failure to obtain approval prior to expending funds is done at the Recipient’s risk. If the sole source request is denied, the Recipient must provide quotes, bids, or other proof of full and open competition at the time of reimbursement. NOTE: a) Brand names do not constitute a legitimate request for a sole source procurement. For example, Taser is a brand name for a “conducted electrical weapon” sold by Axon. However, “conducted electrical weapons” are manufactured and sold by multiple vendors. B) Patented features on a piece of equipment that is manufactured and sold by multiple vendors (such as a camera) are not sufficient justification for a noncompetitive purchase. C) A “sole source” letter from a vendor is not sufficient justification for a noncompetitive purchase. Section I: General Information Program: Recipient Name: Sole Source Vendor: Sole Source Category: Application/Award #: Total Cost: Grant-Funded Amount: Section II: Project Information Provide a brief description of the problem, the items/services to be obtained via noncompetitive procurement, how the items/services will address the problem, and an itemized budget for the total cost. Attach additional pages if more space is required. Section III: Sole Source Justification Provide an explanation as to why it is necessary to procure the items/services named above in a noncompetitive manner. This answer should address, at a minimum, each point shown below based on the sole source category selected in Section I. Single Source: Describe the uniqueness of the items or services to be procured, how your organization determined the item and/or service is only available from a single source, and the need for this particular item/service in relation to the grant project. Public Emergency: A description of the emergency, the need for the item/service in relation to the emergency, and the effects of a delay in project activities if sole source is not approved. Inadequate Competition: Describe any efforts made to competitively contract for this item/service, and/or provide the results of the market survey that determined a lack of competition availability. If no effort was made to competitively contract and/or no market survey was done, explain why. Criminal Justice Grants SOLE SOURCE JUSTIFICATION APPROVAL FORM Email completed form to: CJgrants@fdle.state.fl.us Page 1890 of 3896 SOLE SOURCE JUSTIFICATION APPROVAL FORM (continued) Conflict of lnterest Statement By signing below, I certily there is no conflict of interest betlveen the Recipient and the proposed sole source vendor/provider. I also attest the Excluded Parties List (www.sam.oov) was checked and the proposed sole source vendor/provider is not suspended or debarred from receiving federal funds. Finally, I certify this sole source procuremenl complies with federal, state, and local laws and regulations. Signatures I affirm the information on this form and within the attached documenls is true and mrrect to the best of my knowledge. I understand that any funds expended for lhis sole source procurement is al the Recipient's own risk until approval is received from Criminal Justice Grants and/or the U.S. Department of Justice, Office of Justice Programs. I acknowledge that if this request is not approved, the Recipient organization must provide quotes, bids, or other proof of full and open mmpetition in order to be eligible for reir\ursement. n Signature: Printed Name Title Date County Manager Amy Patte Section lV: Conflict of lnterest Certification and Signatures @ INSTRUCTIONS: Answer the following questions to evaluate this sole source request, and indicate your decision below. lf the sole source request is over $250,000 notify the GAll a federal sole source GAl,{ is required. For noncom rocurement due to a) Does independent research through internet searches or discussions with subject matter experts corroborate that the item is available only from a sangle source? b) Does the response to Section lll demonstrate the uniqueness of items or services to be procured from the proposed vendor/contractor (e.9. compatibility issues, etc.)? c) Does the response lo Section lll demonstrale and supporl how the agency determined the item or service is only available from one source (i.e. market survey, independent agency research, proprietary system)? d) Does the response to Section lll demonstrate a significant need for the N/AlYes Eruo lves Euo E N/A vendor roroviders ex ertise in relalion to the rant Yes Yes For noncom rocurement due to ENCY a) ls there a public emergency such as a natural disasler or catastrophic event? b) Has there been a declared state of emergency in which these goods or seNices will be needed? No No No flYes !Yes N/A E N/A N/Acls there an immediate health or safe concern? Yes For noncom a) Does the Section lll adequately describe the efforts to competitively contract for this item (i.e. RFP/Bids, nature of response, etc.)? b) Does Section lll adequately describe the efforts to ensure the contract pricing is fair and reasonable? c) Does Section lll provide results of a market survey to determine competition !ves !Yes Ives Eruo EHo EHo availabili was conducted?or ex lain wh NO SU Date Received: Rsviewed by GSB: SMAS Approval: Dale: Date: Section V: FDLE CJG Sole Source Justification Revierv CJG Gev. 07/18/2025) Page 2 ol 2 Sole Source Justilication Approval Form THE FOLLOWING SECTION IS FOR FDLE USE ONLY nto EHo flrra fl ure tr procurement due to INADEQUATE COMPETITION: E N/A ! ura ! Hra E Approved E chang" Requested E Deniea ! Hta for a Micro-purchase Page 1891 of 3896 Aug 20, 2025 Collier County Sheriff ’s Office 3319 Tamiami Trl E Naples, FL 34112 Attn: Billy Gessner Re: License Plate Recognition Sole Source Justification I am providing this letter as written confirmation of the ownership and market status of our license plate recognition (LPR) systems. Motorola Solutions is the sole manufacturer of our LPR products; Car-Detector Mobile, Car-Detector Fixed, L5F (fixed), L5M (mobile), L6D (fixed and video) and L6Q (quick deploy) camera systems. Additionally, it is the sole provider of our Commercial Data investigative platform, VehicleManager 8, Mobile Companion (iOS and Android App), and the Target Alert Service (TAS). We appreciate your consideration of expanding your relationship with and use of Motorola as your LPR provider. We are pleased to present you with the following elements to support a sole source justification for Motorola’s LPR hardware and VehicleManager. ● Motorola developed, owns and maintains the world’s single largest LPR data sharing initiative, known as VehicleManager, VehicleManager consists of over 100+ billion plate detections and is growing exponentially. This data consists of commercially collected LPR data owned by Motorola (Commercial Data), Private businesses, and HOAs (Enterprise Data) and detections from fellow law enforcement customers. This data is exclusively available for law enforcement customer investigations via VehicleManager. ● Our Commercial Data is significant, with over 25 billion detections collected in all metropolitan areas within the United States. These Mobile detections are critical for law enforcement investigators and are only available through Motorola Solutions. ● VehicleManager is the only LPR database hosted in the United States using MSFT Azure Gov environment, that is CJIS compliant. Of greater relevance, law enforcement hotlist information, such as FBI-NCIC data, that is managed by Motorola law enforcement customers, contains CJI as defined in 4.1 of the CJIS Security Policy. Effective March 21, 2022, the U.S. Department of Justice determined that NCIC LPR data contains personally identifiable information and meets the definition of Criminal Justice Information (CJI). For these reasons, Motorola has voluntarily implemented CJIS security controls we believe are necessary to comply with the relevant sections. ● VehicleManager features CJIS compliant audit logging and reporting of all user and agency manager transactions within the VehicleManager system. Only agencies with an Originating Agency Identifier (ORI) number can access VehicleManager law enforcement data. Page 1892 of 3896 ● Agency collected data access and retention policies are managed by the customer. Unlimited LPR data storage is offered at no additional cost to Motorola’s Public Safety customers, with no retention limits within the legal bounds of the respective state law. ● Motorola offers full data-sharing ownership and control to the individual customer. Motorola will not use law enforcement customer data for any purpose. LE Data will never be sold to third-parties. ● Only Motorola offers in-app alerting through our Mobile Companion app on Android and iOS platforms. These include all hot-list alerts, parking enforcement alerts, and excessive plate detections. ● Motorola’s LPR hardware can only be accessed by utilizing the VehicleManager server. Third-party LPR vendors cannot ingest our detections directly from our cameras. Conversely, we can consume competitors’ LPR data directly from third-party VMS/LPR cameras or through API methods. Only VehicleManager can ingest detection data from Genetec (AutoVu), Elsag, Neology (Pips), NDI, Rekor (OpenALPR), and multiple other third-party LPR providers. This allows for the continued use of historic LPR hardware investments and allows consumers to best utilize the taxpayers’ investments. ● Motorola is the sole LPR provider to offer all of these investigative analytic tools to assist in developing leads in a law enforcement investigation in one place; o Vehicle Search - Full & Partial plate, Smart Wildcard, Vehicle Type, Body Class, Make, Model, Year, Color, Registration State, and VIN searching. Only Vigilant offers VIN searching. o Multi-Location Search - Define locations on a map (up to 30) using geo-boundaries to create groupings of detections. The groupings can show site visits of individual LPR vehicles and their detections. Stakeout will show duplicated vehicles across multiple locations in a Common Plate Report. With a known target plate, associated vehicles can be identified. o Analyze Plate - Provides a full analytical report of a target vehicle based on previously captured location data. This trend analysis provides location scoring and provides insights into the most popular time the vehicle was seen at locations. o Nearby Vehicles - Allows users to quickly view (50) vehicles that were scanned before and after a target detection. The user can adjust the number of viewable vehicles to 250. o Associated Vehicles - Quickly identify vehicles scanned within 250 feet of the selected vehicle at three or more locations, where each of the locations was separated by more than a mile. o Convoy Analysis - Quickly identify vehicles that may be following the selected vehicle through three or more fixed LPR locations and proactively create an alert if requested. Only Vigilant offers automatic alerting. ● New detections can be cross-referenced against user-defined Federal (NCIC), State, and local hotlists, allowing users to receive near real-time alerts in and outside their jurisdiction. Motorola Page 1893 of 3896 is the only LPR provider whose hotlists are directly shareable by the customer and have customizable hotlist user alerts. With Motorola, you can choose which users get what alerts. ● Motorola is the sole LPR provider that utilizes the Vulcan AI Engine to determine Make, Model, Vehicle Type, and Color from new detections and analyze its existing database detections to create a comprehensive data set of hundreds of millions unique plates. This AI is able to analyze third-party data that has been ingested into the VehicleManager server. ● Motorola is the sole LPR provider that offers free access to the Vigilant Solutions Law Enforcement Academy (VSLEA) for LPR training. This training is being provided via webinar, on-demand, or in-person. Motorola is the only LPR provider that offers TCOLE, CA POST and IADLEST certified LPR training classes. ● Motorola is the sole LPR provider to offer a complete end-to-end LPR solution. Multi-lens, multi-sensor cameras (L5M, and L5F), Dual lens video and LPR recording cameras (L6D) single lens, single sensor, quick-deploy, solar cameras (L6Q), as well as purpose built LPR trailers. Thank you for considering Motorola Solutions for expanding your LPR program. Please feel free to contact your Account Executive, Brian Wahl at Brian.Wahl@Motorolasolutions.com with any further questions. Best regards, Nicole Talton MSSSI Vice President Page 1894 of 3896 Lobbying, Debarment, and Drug Free Workplace Certification Page 1 of 2 rev. 07/25 Instructions: Before completing this form, applicants should refer to the regulations cited below to determine which certifications are required. Using this form, applicants may certify their compliance with the following requirements: 28 CFR Part 69, “New Restrictions on Lobbying;” 28 CFR Part 67, “Government-wide Debarment and Suspensions (Non-procurement);” and 28 CFR 83, “Government-wide Requirements for Drug Free Workplace (Grants),” as applicable. The certifications attested to on this form shall be treated as a material representation of fact and will be relied upon as such when Criminal Justice Grants makes award determinations for a covered transaction, grant, or cooperative agreement. 1.Lobbying As required by Section 1352, Title 31 of the U.S. Code, and implemented at 28 CFR Part 69, for persons entering into a grant or cooperative agreement over $100,000, as defined at 28 CFR Part 69, the applicant certifies that: a)No federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any agency, a member of Congress, an officer or employee of Congress, or an employee of a member of Congress in connection with the making of any federal grant, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any federal grant or cooperative agreement. b)If any funds other than federal appropriated funds have been paid or will be paid to influence an officer or employee of any agency, a member of Congress, an officer or employee of Congress, or an employee of a member of Congress in connection with this federal grant or cooperative agreement, the undersigned shall complete and submit Standard Form LLL – “Disclosure of Lobbying Activities”, in accordance with its instructions. c)The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subgrants, contracts under grants and cooperative agreements, and subcontracts) and that all subrecipients shall certify and disclose accordingly. 2.Debarment, Suspension and Other Responsibility Matters As required by Executive Order 12549, Debarment and Suspension, and implemented at 28 CFR Part 67 - a)The applicant certifies that it and its principals: i.Are not presently debarred, suspended, proposed for debarment, declared ineligible, sentenced to a denial of federal benefits by a State or Federal court, or voluntarily excluded from covered transactions by any federal department or agency; ii.Have not within a three-year period preceding this application been convicted of or had a civil judgement rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public transaction; violation of Federal or State antitrust statutes or commission of embezzlement, theft forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property; iii.Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity (Federal, State, or local) with commission of any of the offenses enumerated in paragraph (a)(ii) of this certification; and iv.Have not within a three-year period preceding this application had one or more public transactions (Federal, State or local) terminated for cause or default. b)Where the applicant is unable to certify to any of the statements in this certification, he or she shall attach an explanation to this application. 3.Drug Free Workplace As required by the Drug-Free Workplace Act of 1988, and implemented at 28 CFR Part 67, Subpart F, as defined at 28 CFR Part 67 Sections 67.615 and 67.620 – a)The applicant certifies that it will or will continue to provide a drug-free workplace by: Criminal Justice Grants LOBBYING, DEBARMENT, AND DRUG FREE WORKPLACE CERTIFICATION Email completed form to: CJgrants@fdle.state.fl.us OCJG-001 Page 1895 of 3896 Publishing a staiement notifying employees that the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance is prohibited in the subgrantee's workplace and specifying the actions that will be taken against employees for violation of such prohibitioni Establishing an on-going drug-free awareness program to inform employees about - The dangers of drug abuse in the workplace; 2 3 4 The subgrantee's policy of maintaining a drug-free workplace; Any available drug counseling, rehabilitation, and employee assistance programs, and The penalties that may be imposed upon employees for drug abuse violations occurring in the workplace. Making it a requirement that each employee to be engaged in the performance of the grant be given a copy of the statement required by paragraph (i); Notifying the employee in the statement required by paragraph (i) that, as a condition of employment under the grant, the employee will -1) Abide by the terms of this statement; and 2) Notify the employer in writing of his or her conviction for a violation of criminal drug statute occurring in the workplace no later than five (5) calendar days after the conviction. Notifying the agency, in writing, within ten (10) calendar days after receiving notice under subparagraph (iv)(2) from an employee or otherwise receiving actual notice of such conviction. Employers of convicted employees must provide notice including position title to: Florida Department of Law Enforcement, Bureau of Criminal Justice Grants, P.O. Box 1489, Tallahassee, FL 32302-1489. Notice shall include the identification number(s) of each affected grant. Taking one of the following actions within thirly (30) calendar days of receiving notice under subparagraph (iv)(2), with respecl to any employee who is convicted -'1) Taking appropriate personnel action againstsuch an employee, upto and including termination, consistent with the requirements of the Rehabilitalion Act of 1973, as amended: or 2) Requiring such employee to participate in a drug abuse assistance or rehabilitation program approved for such purposes by a Federal, State, or local health, law enforcement, or other appropriate agency. l\4aking a good faith effort to continue to mainlain a drug-free workplace through implementation of paragraphs (i) through (vi). b) The subgrantee may insert in the space provided below the site(s) for the performance or work done in connection with As the duly authorized representative of the applicant, I hereby certify that applicant will comply with the following certifcations: a Certification Regarding Lobbying Gequired for applications over $'100,000) Certitication Regarding Debarment, Suspension and Other Responsibility Matters (required for all applicants) Certification Regarding Drug-Free Workplace (required for state agency applications) County of CollierRecipient Printed Name: A Patterson Title County lManager Signature Slze lzs- Appl ication lD Number: 87 0 ocJG-001 Lobbying, Debarment, and Drug Free Workplace Certiflcation Page 2 of 2 rcu. 07125 Criminal Justice Grants LOBBYING, DEBARMENT, AND DRUG FREE WORKPLACE CERT!FICATION Email completed form to: Clqrants@fdle.state.fl. us Datel Page 1896 of 3896 DISCLOSURE OF LOBBYING ACTIVITIES Complete this form to disclose lobbying activilies pursuant to 31 U.S.C. 1352 Approved by OMB 0348-0046 See reverse for ublic burden disclosure. B 1. Type of Federal Action: a. contract b. grant c. cooperative agreement d. loan e. loan guarantee f. loan insurance 2. Status of Federal Action: a. bid/offer/application b. initial award c. post-award For Material Change Only: date of last report quarter 3. Report Type: a. initial filing b. material change 4. Name and Address of Reporting Entity: ! erlme ! subawardee Tier , if known: County of Collier; Community & Human Services Div 3299 Tamiami Trail East, Suite 202 Naples, FL 341l2 Congressional Dislrict, if known. 19 5, lf Reporting Entity in No. 4 is a Subarvardee, Enter Name and Address of Prime: Florida Department of Law Enforcement 2331 Phillips Road Tallahassee, FL 32308 Congressional Dislrict, if known: 2nd 6. Federal DepartmenuAgency: U.S. Dept ofJustice, Offi ce of Justice Programs, Bureau of Justice Assistance 7. Federal Program Name/Description: Edward Byme Memorial Justice Assistance Grant (JAC) CFDA Number, if applicable .16.738 8. Federal Action Number, if known: I 5PBJA.24-GG.O 4244 -MIIMU 9. Award Amount, if knowni $ 128,108.00 10. a. Name and Address of Lobbying Registrant ( if individual. last name. first name. Ml\: Becker & Poliakoff 1275 K Street Northwest, Suite 850 Washington, DC 20005 b. lndividuals Performing Services (including address if different from No. 10a\ (last name, first name, Ml): Amanda Wood & Omar Franco 1275 K Street Northwest, Suite 850 Washington, DC 20005 Telep hone No.: (239) 252-5721 Amy P Title: CountY Manager Signature: Print Nam lnbrtmtbn lEqu€3tod lhrol8h lhis fdh is sutlro.izod by tUo 3l U,S.C, !6c!,orl '1352. This disdGors d bbbying acliviliB B . rEldial Epr@nlttion ot lad uF.r whicr' rslian@ *a. pl€cad by th. ii6. .bov6 *hd lhk t_arction was .i€do or enlo€d ido. This dE [r.!rs B Equir€d p!c!E.l lo 3l U-S.C. 1352, nis lntom.lion wlll b€ oponod b tt€ ConglB s.mi-.finuElly and will b€ tvtllabb tor publlc lrup€cnon. Ariy p€.!on who biB to fl16 lh8 ltqulEd disclodum ahall bg subi6c! to s dvll p€nalty or not lsss tnat S10,000 .nd .ot ll1@ lhan 0100,000 fd 11 Authorized for Local Reproduction Standard Fofm LLL (Rev. 7-97) Federal Use Only: a I yeat Date: Page 1897 of 3896 INSTRUCTIONS FOR COMPLETION OF SF-LLL, DISCLOSURE OF LOBBYING ACTIVITIES 1. Identify the type of covered Federal action for which lobbying activity is and/or has been secured to influence the outcome of a covered Federal action. 2. Identify the status of the covered Federal action. 3. 4. 5. If the organizationfiling the report in item 4 checks "Subawardee,"then enter the full name, address, city, State and zip code of the prime Federal recipient. Include Congressional District, if known. 6. Enter the nameof the Federalagencymaking the awardor loan commitment.Include at least one organizationallevelbelowagencyname,if known.For example, Department of Transportation, United States Coast Guard. 7. Enter the Federalprogramnameor description for the coveredFederalaction (item 1). If known, enter the full Catalogof FederalDomestic Assistance (CFDA) number for grants, cooperative agreements, loans, and loan commitments. 8. 9. For a covered Federal action where there has been an award or loan commitment by the Federal agency, enter the Federal amount of the award/loan commitment for the prime entity identified in item 4 or 5. 10. (a) Enter the full name, address, city, State and zip code of the lobbying registrant under the Lobbying Disclosure Act of 1995 engaged by the reporting entity identified in item 4 to influence the covered Federal action. (b) Enter the full names of the individual(s) performing services, and include full address if different from 10 (a). Enter Last Name, First Name, and Middle Initial (MI). 11.The certifying official shall sign and date the form, print his/her name, title, and telephone number. This disclosure form shall be completed by the reporting entity, whether subawardeeor prime Federal recipient, at the initiation or receipt of a covered Federal action, or a materialchange to a previousfiling, pursuant to title 31 U.S.C. section 1352. The filing of a form is required for each paymentor agreementto make paymentto any lobbyingentity for influencing or attemptingto influence an officer or employeeof any agency,a Member of Congress, an officer or employeeof Congress, or an employeeof a Memberof Congress in connectionwith a coveredFederalaction.Completeall items that applyfor both the initial filing and material change report. Refer to the implementing guidance published by the Office of Management and Budget for additional information. Identify the appropriateclassification of this report. If this is a followup report caused by a materialchange to the information previouslyreported, enter the yearand quarterin which the change occurred. Enter the date of the last previouslysubmitted report by this reporting entity for this coveredFederal action. Enter the full name,address,city, Stateand zip codeof the reportingentity.Include CongressionalDistrict, if known.Check the appropriateclassification of the reportingentitythat designatesif it is, or expectsto be, a primeor subawardrecipient.Identifythe tier of the subawardee,e.g., the first subawardee of the prime is the 1st tier. Subawards include but are not limited to subcontracts, subgrants and contract awards under grants. Enter the most appropriateFederal identifying number availablefor the Federal action identified in item 1 (e.g., Request for Proposal (RFP) number; Invitation for Bid (IFB) number; grant announcement number; the contract, grant, or loan award number; the application/proposalcontrol number assigned by the Federal agency). Include prefixes, e.g., "RFP-DE-90-001." According to the PaperworkReductionAct, as amended,no persons are requiredto respond to a collectionof informationunless it displays a valid OMB Control Number. The valid OMB control number for this information collection is OMB No. 0348-0046. Public reporting burden for this collection of information is estimated to average10 minutes per response, including time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding the burden estimate or any other aspect of this collection of information,including suggestions for reducing this burden, to the Office of Managementand Budget, PaperworkReduction Project (0348-0046), Washington, DC 20503. Page 1898 of 3896 Criminal Justice Grants SINGLE AU DIT CERTIFICATION Email completed form to CJ rants le.state.fl.us ApplicanURecipignl; County of Collier Tax tD or EtN: 596000558 Most Recent Fiscal Year End Date: 2024 Total amount of funds expended from ALL entities (including FDLE) during the fiscal year above Federal Funds (Total): $ 51,454,340.00 State Funds (Total): g 12,533,882.00 The Florida Department of Law Enforcement (FDLE), Criminal Justice Grants (CJG) requires all Applicants, Recipients, and Subrecipients (at any tieo, to complete this Single Audit Certification for each fiscal year an award is active with CJG. information. I understand and acknowledge the federal and state audit requirements above and: My organization is a E!]9BIP/!9TAIE AGEq and is audited during the State of Florida's annual single audit for the year cited above. My organization WAS NOT subject to the federal 9E state audit requirements for the fiscal year cited above. (Full Exemption) My organization W subject to only the FEDERAL audit requirements for the fiscal year cited above. (State Audit Exemption) My organization WAS subject to only the UIE audit requirements for the fiscal year cited above (Federal Audit Exemption) a My organization wAS subject to Eq! the federal and state audit requirements for the fiscal year cited above. Signature:Date: pr1n166 N3mg. Amy Pa lf $750,000 or more in total federal funding from all federal awarding agencies or pass{hrough entities, including FDLE, is expended durang the flscal year, applicants and recipients (at any tie0 UUg[ have a single or program-specific audit conducted for that year. See 2 C.F.R. Part 200, Subpart F for more lf $750,000 or more in state funding from all sources, including FDLE/CJG, is expended during the flscal year, applicants and recipients (at any tie|, MUST have a single or program-speciflc audit conducted for that year. lf an organization is required to comply wath Florida Single Audit Requirements, the audits must be emailed to CJorants@fdle.state.fl. us within 30 days after receiving the audit report from the auditor, or 9 months after the end of the fiscal year, whichever is sooner. See Section 215.97, F.S. for more information State Single Audit RequirementsFederal Sin le Audit Re uirements Single Audit Certification rson 1;flg; County Manager Page 1 of 1 rcv. O7125) tr lf an organization is required to comply with Federal Single Audit Requirements, the audits must be uploaded to the Federal Audit Clearinghouse (https://facweb.census.oov) within 30 days after receiving the audit report from the auditor, or I months after the end of the fiscal year, whichever is sooner. Page 1899 of 3896 Leadership Override: Desk Site Visit Reason: Signature: Date: County of Collier JWKJKYRPLLU6 Carolyn Noble Grant Coordinator County of Collier (239) 252-5321 carolyn.noble@colliercountyfl.gov 57 DESK* Page 1900 of 3896 Revised Page 2 of 5 You may wish to consult with your 2024 Page 1901 of 3896 Revised 2025 Page 3 of 5 $25K-499K Page 1902 of 3896 Revised 2025 Page 4 of 5 Purchasing or Finance department to complete this section. Purchasing or Finance department to complete this section. Page 1903 of 3896 SUBAWARD MANAGEMENT QUESTIONNAIRE (SMO) 2. Ooes the procurement policy contain a conflict-of-interest statement? 200.318(c) 3. Does the conflict of interest procedure/statement include disciplinary actions for violations? 200.31 8(c) 4. Does the procurement policy have provisions for avoiding purchase of unnecessary or duplicative items? 200.318(d) 5. Does the procurement policy permit the use of intergovemmental agreements (i.e. state conlract, etc.)? 200.318(e) 6. Does the procurement policy include requirements to verify contractors/vendors are neither suspended nor debarred in SAM.gov? 200.318(h) 7. Does the procurement policy have a threshold for purchases that do not require quotes (micropurchases) that is less than or equal to an qgglggqlg purchase of $10,000? 200.320(a) 8. Does the procuremenl policy require informal competition (i.e. quotes)when an qgglggaE purchase exceeds $10,000? 200.320(b) 9. Does the procuremenl policy require formal competition (i.e. sealed bids, competitive proposals, etc.) when purchases meet or exceed $250,000? 200.320(c-d) 10. Does the procuremenl policy allow noncompetitive procurements (sole source) under 9!& the following three circumstances: item(s) only available from a single source; public emergency; and/or inadequate competition? E ves nno Eruo ! llo E tlo E tto E tlo nruo Eruo Page: 46 I ves Page: 48 fl ves Page: 8 @ ves Page: 18 Yes Page: cAH Yes Page: 11 []ves [|ves Page: 13 Page: 13 200.320 On behalf of the eligible recipient, I certify to the Florida Department of Law Enforcement that the information provided above is complete and correct to the best of my knowledge. I have the requisite authority and information to make this certification on behalf of the eligible recipient. This fom is valid for one year from the date of signature and does not need to be resubmifted duing a grant peiod Title: County ManagerSignature Typed Name: AmY Patterson THE FOLLOWNG SECTION IS FOR FDLE USE ONLY @ DateGrant Specialist C Comments: Section X: FDLE GJG SMQ Review @ves ! tto Page: 19 Section lX: Certification and Signature Date: Revised 07l18/2025 Page 5 of 5Page 1904 of 3896 Telecommunications and Video Surveillance Services or Equipment Certification Upon completion, email a copy of this form to: CJqrants@fdle.state.fl. us A prohibition on certain telecommunications and video surveillance services or equipment went into effect on August 13, 2020. ln accordance with the requirements set out in 2 C. F. R. 5200.216, subrecipients are prohlbited from obligating or expending grant funds to: 1) Procure or obtainl 2) Extend or renew a contract to procure or obtain; 3) Enter into a contract to procure or obtain equipment, services, or systems that use telecommunications equipment or services as a substantial or essential component of any system, or as critical technology as part of any system, produced by Huawei Technologies Company or ZTE Corporation (or a subsidiary or afflliate of such entities). For the purpose of public safety, security of government facilities, physical security surveillance of critical infrastructure, and other national security purposes, video surveillance and telecommunications equipment produced by Hytera Communications Corporation, Hangzhou Hikvision Digital Technology Company, or Dahua Technology Company (or any subsidiary or affiliate of such entities). b. Telecommunications or video surveillance services provided by such entities or using such equipment. Telecommunications or video surveillance equipment or services produced or provided by an entity that the Secretary of Defense, in consultation with the Director of the National lntelligence or the Director of the Federal Bureau of lnvestigation, reasonably believes to be an entity owned or controlled by, or otherwise connected to, the government of a covered foreign country. a c Completion of this form certifies that the authorized representative has read, understands, and agrees to abide by the provisions of 2 C.F.R. 5200.216. As the duly authoized representative of the applicant, I acknowledge, understand, and agree to abide by all provisions in 2 C.F.R. 5200.216 and failure to comply with all provisions and conditions regarding prohibited telecommunications and video surveillance seryices or equipment may result in the withholding of federal funds. Additionally, I understand documentation to verify compliance with the provisions in 2 C.F.R. 5200.216 must be maintained and provided at the time of monitoring. For additional information on compliance verification, please contact your CJG grant manager at (850) 617-1250. Recipient: Printed Name County of Collier Date: $ 12,533,882.00 Application lD Number 7 430 Tifle. $ 51,454,340.00 Page 1 of 1 CJG (rev. 07/25)Telecommunications and Video Surveillance Services or Equipment Certification 5960005s8 Sig nature. Page 1905 of 3896 Third-Party Determination Checklist Revised 07/2025 Application #: Recipient Name: Third Party Name: In accordance with 2 C.F.R. 200.330, a pass-through entity must make a case-by-case determination whether each contractual agreement it makes under a federal award classifies the third party as subrecipient or a contractor/consultant. There are certain requirements which must be met depending on the relationship between a pass-through entity and its third party. Florida Department of Law Enforcement, Criminal Justice Grants (CJG) is ultimately responsible for ensuring a correct determination is made under the federal program. In the event of a dispute regarding the determination, CJG may seek final determination from the U.S. Department of Justice, Office of Justice Programs. Please answer the following questions in relation to the third-party service proposed in your grant application/award: 1.Will the third party provide consultant services as defined in 48 CFR 31.205-33(a)? 2.Will the third party provide goods/services related to crime and criminal justice to the public? 3.Will the third party provide crime or criminal justice services to individual members of the public? 4.Will the third party develop, adapt, or otherwise improve training and technical assistance materials to meet the needs of entities or individuals working to address crime, im prove criminal justice, or assist victims of crime? 5.Will the third party provide training or technical assistance to entities or individuals working to address crime, improve criminal justice, or assist victims of crime? 6.Will the third party develop, or improve, technology useful in addressing crime, improving criminal justice, or assisting victims of crime? 7.Will the third party collect and analyze data, or conduct research and evaluation, on issues related to crime, criminal justice, and victimization? 8.Will the third party provide services which are designed, modified, or adapted to meet particular needs? 9.Will the third party make determinations as to who may be eligible for the services proposed in the application? 10.Will the third party make determinations (or evaluate) regarding the quantity and types services a program participant will receive? 11.Will the third party be required to submit data which is necessary to complete the performance reporting under the proposed application? ********************* DETERMINATION ********************* Criminal Justice Grants THIRD-PARTY DETERMINATION CHECKLIST Email completed form to: CJgrants@fdle.state.fl.us Page 1906 of 3896 Third-Party Determination Checklist Revised 07/2025 Compliance Requirements Based on the Relationship Determination Failure to address or provide documentation of compliance with the appropriate requirements as listed below may result in a withholding of funds condition being placed on the award. This type of condition will prevent the review and approval of any reimbursement requests ultimately delaying payment. For a SUBRECIPIENT determination: Third party has a UEI number AND an active SAM.gov registration. The contractual agreement addresses all required elements in 2 CFR 200.331(a). A risk assessment has been developed to evaluate the third party’s level of risk. A monitoring tool has been developed to monitor the third party’s compliance with all applicable federal award conditions, rules, regulations, etc. Written policies and procedures exist to document the award, management, and monitoring of any third party subrecipient. For a CONTRACTOR determination: Third party is not on the excluded parties (suspended/debarred) list in SAM.gov Contractual agreement addresses all required elements in 2 CFR 200 Appendix II. Selection of the third party is in accordance the federal procurement standards identified in 2 CFR 200.318- 326. Selection of the third party is free from any direct or perceived conflict of interest. If the selection of the third party is by non-competitive procurement methods, a sole source justification form has been submitted to CJG. Documentation related to the method of procurement, selection of the contract type, contractor selection/rejection, and the basis for the contract price is available upon request. A documented cost analysis has been completed and all elements are allowable, reasonable, necessary and allocable to the proposed project. For a CONSULTANT determination: Third party is not on the excluded parties (suspended/debarred) list in SAM.gov Contractual agreement is provided to CJG. Selection of the third party is in accordance the federal procurement standards identified in 2 CFR 200.318- 326. Selection of the third party is free from any direct or perceived conflict of interest. If the selection of the third party is by non-competitive procurement methods, a sole source justification form has been submitted to CJG. If the consultant rate exceeds $81.25/hour, federal approval of the consultant rate is required. **************************************************** FDLE USE ONLY ******************************************************* Agree with the determination made by the CJG applicant Disagree with the determination made by the CJG applicant; the relationship is a: Subrecipient Contractor Consultant Comments: Approved By: Date: Criminal Justice Grants THIRD-PARTY DETERMINATION CHECKLIST Email completed form to: CJgrants@fdle.state.fl.us Page 1907 of 3896 1 Grants Compliance Office Office of Management and Budget 3299 Tamiami Trail East, Suite 201 Naples, FL 34112 239-252-8383 Grants Administration Handbook Internal Controls and Protocols Collier County, Florida Implemented 1.27.16 v.Update Page 1908 of 3896 2 TABLE OF CONTENTS INTRODUCTION ...................................................................................................................6 CONTACTS .........................................................................................................................19 ORGANIZATIONAL CHART ................................................................................................... 20 CMA 5330 – GRANTS COORDINATION ................................................................................. 21 GRANT APPLICATIONS ........................................................................................................ 24 GRANTS FILE MANAGMENT ................................................................................................. 24 GRANTS FILE MANAGEMENT – CLOSEOUT PROCEDURES ...................................................... 26 GRANTS FILE MANAGEMENT – ROLES ..................................................................................28 GRANTS FILE MANAGEMENT – SHAREPIONT VIEWS ............................................................. 30 BOARD APPROVALS ...................................................................... GRANTS MANAGEMENT SYSTEM (GMS) ................................................................................31 GRANT BUDGE REQUEST...................................................................................................34 GRANT FUND LIST .............................................................................................................. 44 SPONSOR AND CLASS SETUP/REVISION .............................................................................. 46 GRANT CONTRACT/AWARD SETUP ...................................................................................... 48 JOB AIDS ............................................................................................................................48 SAP REPORT INSTRUCTIONS ...............................................................................................50 ACTIVITIES ALLOWED/ UNALLOWED – ELIGIBLE COST ........................................................ 51 PRE-AWARD COST .............................................................................................................. 51 TREATMENT OF DIRECT/INDIRECT COSTS ...........................................................................53 PAYROLL – SALARIES AND BENEFITS ...................................................................................54 INTERNAL GOVERNMENT CHARGES (IGC) ............................................................................55 TRAVEL / TRAINING ............................................................................................................56 USE YOUR RADAR ............................................................................................................... 57 GRANT PROCUREMENT ....................................................................................................... 58 GRANT REQUISITIONS ........................................................................................................ 61 GRANT REQUISITION CHECKILIST .......................................................................................63 PROCUREMENT JOB AIDS AND FORMS ................................................................................ 64 Page 1909 of 3896 3 ETHICS AND STEWARDSHIP IN PROCUREMENT ................................................................... 65 CASH MANAGEMENT ........................................................................................................... 66 DRAW SUPPORT DOCUMENTATION ..................................................................................... 70 DRAW FORM .......................................................................................................................71 REPORTS............................................................................................................................72 REPORT SUPPORT DOCUMENTATION .................................................................................. 73 RECLASS OF EXPENDITURES ............................................................................................... 74 ASSET MANAGEMENT ..........................................................................................................76 DAVIS BACON ACT COMPLIANCE ......................................................................................... 78 GRANTOR MONITORING ..................................................................................................... 79 SUB RECIPIENT SINGLE AUDIT MONITORING ...................................................................... 81 SUB RECIPIENT PROGRAM MONITORING ............................................................................. 84 RISK ASSESSMENT ..............................................................................................................85 PERSONALLY IDENTIFIABLE INFORMATION (PII) ................................................................. 87 INFORMATION TECHNOLOGY .............................................................................................. 87 CONFLICTS OF INTEREST ................................................................................................... 90 FRAUD ...............................................................................................................................91 Page 1910 of 3896 4 TABLE OF CONTENTS – APPENDIX APPENDIX A – CMA 5330 .................................................................. A-1 APPENDIX D – JOB .......................................................................... A-2 APPENDIX E – FLEET COST ALLOCATION PLAN ................................. A-3 Page 1911 of 3896 5 TABLE OF CONTENTS – EXHIBITS EXHIBIT A – FORMS SAMPLE ............................................................ E-1 Page 1912 of 3896 6 INTRODUCTION The purpose of the Grants Compliance Office (GCO) (reorganized January 2012) is to collaboratively work with program and project managers to successfully administer grants with a primary focus on single audit compliance and financial accountability through the development of countywide (centralized) internal controls supported by written policies, protocols and procedures. Centralized Team Approach Today’s environment is at unprecedented levels of transparency and accountability of taxpayer’s dollars generated by the American Recovery and Reinvestment Act (ARRA) of 2009. One measure of successful grants management is through the annual single audit. Each single audit evaluates a grantee’s ability to manage grants effectively through review of financial statements, compliance testing and internal controls. Through the development, monitoring, and implementation of countywide protocols and internal controls, the project management plan for grants within will; create an environment and culture that is compliance focused, clarify roles of programmatic versus administrative responsibilities, achieve, mitigate and maintain compliance, maintain a core set of knowledgeable staff to advise to direct and assist Division staff in administration of grant programs, identify compliance changes, impacts, risks and deficiencies to senior management, act as the liaison between the Collier County Clerk of Courts Finance Department (Clerk’s Finance) and County Managers Agency’s in coordination of the single audit, Program (Project) Management Single Audit Compliance Financial Management Page 1913 of 3896 7 assist Division to the level necessary to manage administrative requirements and achieve compliance, determine impacts of changing or new regulations to implement revised or new controls to maintain compliance and foster efficiency by consistent application of countywide practices. Internal controls are not defined within grant contracts. Internal controls are practices designed by the grantee to provide reasonable assurance that compliance is met, prevent and detect fraud, protect County resources, support efficient operations, and promote financial accountability. Internal controls for grants administration will be developed and managed by the GCO – a separate independent office – under the Office of Management and Budget (OMB) that program managers will follow in order to carry out day to day grant activities. Countywide protocols and procedures including standardized forms will be developed to cover each of the 14 key attributes tested during single audit as defined within OMB Single Audit Circular 133/2 CFR 200 following best practices in grants management. The 14 single audit areas are outlined below. 1.Activities Allowed or Unallowed 2.Allowable Costs 3.Cash Management 4.Davis Bacon 5.Eligibility 6.Asset Management 7.Matching, Level of Effort, Earmarking 8.Period of Availability 9.Procurement 10.Program Income 11.Real Prop Acq / Relocation Asst 12.Reporting 13.Subrecipient Monitoring 14.Other Special Tests Page 1914 of 3896 Protocols will develop core controls that can be applied to any federal, state, or internal grant program while procedures will detail practices unique to each grantor program as needed so that County departments are not constrained by a one size fits all procedure. Crucial control activities or points that are essential to successful grants management are identified as: -Initial budget setup within the financial system (review of grant contract) -Procurement and Requisition of Grant Funds -Monitoring These control points will vet – “audit” – actions against the grant contract requirements prior to execution thereby increasing compliance success, reducing the level of risk for an audit finding as well as ensuring corrective action plan (CAP) for existing findings are carried out. Each one of the control points directly or indirectly review the key areas tested during single audit. Key control activities not required of every grant due to the grant program scope such as time and effort, Davis Bacon, subrecipient monitoring are customized to the individual Division needs and determined at the point of grant contract application and/or award. Proper application of internal controls will encourage program managers to comply with Collier’s established protocols, comply with applicable grantor requirements, conduct grant activity operations ethically, and foster communication with GCO staff thereby building working relationships to promote a compliance-focused culture. In addition to the development of internal controls, successful grants management can only be properly managed through an organized and systematic approach to file management. The majority of the single audit revolves around review of support documentation. Preparation of this documentation, or what is known as the audit trail, will be maintained in a concise format that conveys to auditors the sense that the County is well organized and in control of managing grants successfully. The file system will have a dual function to be used as a day to day monitoring tool for GCO staff to ensure single audit compliance. Department staff and the GCO will share access to files which in effect will promote staff efficiencies throughout the County. The share file system is also available to Clerk Finance staff. Audit file preparation will be initiated no later than the point an executed award is brought forth via Board approval in Minute Traq. At this time proper budget setup will also be reviewed, a crucial control point to ensure proper financial accountability. For new grant programs, a written compliance assessment will take place by GGO in the form of a “Quick Compliance Guide” to outline roles, responsibilities, risk areas, and identify key control activities. This guide will be distributed to key staff directly managing the grant program. Organization The Grants Compliance Office is housed under the Office of Management and Budget to provide the maximum authority. 8 Page 1915 of 3896 9 At least one key staff member will be identified in each Division to assist GCO in managing the administrative functions with program managers. This position will be administrative and generally a fiscal position such as a Fiscal Technician, Accountant or Budget Analyst, but may be an operations position such as an Operations Coordinator dependent on Division size and composition of staff. This identified position is involved in crucial control points, implementing protocols and is the primary point of contact with program/project managers. Activities may also include but are not limited to the performance of draws, report preparation, drafting budget amendments and or entering goods receipts. It is at these points of control that administrative functions for the single audit can be audited to ensure compliance is either met or on target. This position acts as a “controller” or termed as a fiscal buddy. Background Controls developed for countywide implementation were originally developed within the Growth Management Division (GMD). Within GMD, fiscal buddies supervised by the Division Financial & Operations Support Manager coordinate with a designated GCO Grants Accountants to carry out administrative and financial related grant activities to meet compliance requirements. The GCO Grants Accountant acts as quality control and ensures compliance through review, monitoring and approval of crucial control activity. This ensures segregation of duties. The GCO Grants Accountant is responsible to evaluate audit risk through monitoring, research and impose best practices that promote compliance or mitigate audit findings and educate staff to ensure internal controls and administrative compliance is understood. Page 1916 of 3896 10 Centralized Grants Compliance Approach The GCO will predominantly be a staff of accountants that oversee single audit and financial related administration functions of all grant contracts countywide with a primary focus on post-award activity. While Divisions will be the lead to develop and apply for grant funding, the GCO will review all grant applications and be available to assist in budgets, assess compliance, human resources and adherence to Board approvals to apply. The GCO serves to assist the Division in administrative functions to allow Divisions to increase focus on program compliance requirements The GGO Grant Accountant(s) will be assigned Departments, Divisions, Grant Programs, or a combination thereof to become experts in assigned area of grant oversight in coordination with the Grants Compliance Manager. GCO staff may take on major administrative tasks as needed such as reporting and draws based on Divisions needs and staffing abilities. Segregation of duties will be maintained at minimum over draws and required reporting through documented review by GCO prior to submission to the grantor agency. Division Fiscal Buddy Legal OMB GrantsCompliance Office Purchasing Division Program /Project Manager Page 1917 of 3896 11 A Grants Assistant or individual Grant Accountants will be integral to monitor, maintain, and setup file system structure, convey the internal coordination between Division and GCO as well as answer or direct incoming inquiries of grants life cycle. Identified Division Fiscal Buddy’s will be trained in application of internal controls to support the GCO. Each Division with active grants managed will be assessed for appropriate staff to be designated. Administrative grant compliance duties assigned Fiscal Buddy’s will be commensurate to their abilities. Un-assignable duties will be managed within the GCO. Finally, other integral County departments who indirectly assist to carryout grant activities will have established coordination with the GCO. Required Skill Sets Grants Compliance Manager: Lead, direct, develop and mentor staff Serve as liaison between Clerk’s Finance/External Auditors and Departments Lead coordination and responses to single audit requests Draft Corrective Action Plans to audit findings and management letters Develop grants procurement strategies, procedures and protocols with Procurement Division Direct assigned Procurement Strategist to grant procurements Review formal and informal grant solicitations Monitor grantor compliance changes and develop proactive strategies to mitigate audit risk Extensive knowledge in federal and state grant funding In depth knowledge of federal and state single audit process Ability to develop, implement and enforce internal controls Develop policies and procedures handbook Ability to effectively communicate policies and procedures to all staff levels and foster a compliance focused approach to grants management Interpret, research and assess federal and state grant contracts and regulations Assess audit risk, apprise leadership of high risk concerns and mitigate risks through corrective or proactive measures Drafts federal and state clause provision packages Develop file management systems for maintaining source documentation for audit reviews Proficient or expert in use of the County’s financial systems (SAP - System Application Project) (GMS – Grants Management System), Microsoft Excel, Minute Traq and other required software Ability to work in an electronic environment Draft and review grant and non-grant budget amendments Setup budgets in a manner that assists in monitoring grant activity in relation to the grant contract budget scope and limits Prepare journal entries Draft financial reports on cash or accrued basis Draft, maintain and monitor an audit trail Page 1918 of 3896 12 Ability to pay close attention to detail Ability to meet required and audited deadlines without fail Ability to follow-up and implement follow-up processes Ability to analyze complex situations and make recommendations which promote the County Manager’s short and long term goals Foster good working relationships with Divisions, Collier Clerks Finance, grantor agencies and external auditors Ability to meet, manage and coordinate timely submission of all assigned grantor program reports and draws Grants Accountant: Reconcile general ledgers for each grant contract Ability to review and assure grant budget adhere to GMS standard protocols and grant contract requirements Ensure County Departments follows CMA 5330 policy and internal controls and protocols set by GCO Understand single audit requirements for grant programs as well as familiarity with program requirements Direct and train County division staff in maintaining compliance Proficient or expert in use of the County’s financial systems, Microsoft Excel and any other software as assigned. Proficient in use of Adobe to manage grant files Understands purpose of Grants Management System (GMS) and how to use it effectively Ability to work in an standardized and electronic environment Ability to implement new or revised internal controls by Grants Compliance Manager Ability to act as an auditor to review compliance Inform Grants Compliance Manager of potential audit risks and concerns Prepare journal entries Draft financial reports on cash or accrued basis Draft, maintain and monitor an audit trail Draft and/or review federal and state provisional language for formal and informal grant solicitations Interpret, research and analyze federal and state regulations, grants contracts and make compliance recommendations Ability to pay close attention to detail Ability to follow-up Ability to meet required and audited deadlines without fail Ability to analyze complex situations and make recommendations which promote the County Manager’s short and long term goals Foster good working relationships with Clerk, Auditors, and Division staff Page 1919 of 3896 13 Ability to meet, manage and monitor timely submission of all assigned grantor reports and reimbursements Ability to monitor and manage the grant contract extensions to prevent funding shortfalls Determine allowability and eligibility of expenditures in relation to grant award contract budget and scopes Ability to interpret and apply grantor requirements to maintain compliance Identified Division Controller/Fiscal Buddy: Daily user of SAP to perform job duties Audit invoices and accurately good receipt invoices Audit subrecipient draw requests (if applicable) Open requisitions (QC procurement is compliant with grantor conditions and administrative requirements) Act as lead communicator with program manager (and with GCO staff as needed) Ability to learn new skill sets Able to draft budget amendments within Grants Management System (GMS) and use GMS effectively Ability to take direction from GCO staff Proactively use new knowledge to manage job duties Ability to understand grant program regulations and single audit compliance Prepares or coordinates draws and grantor reports including source documentation Ability to reconcile general ledger Ability to work in an electronic environment Ability to identify compliance risk and inform GCO staff of such risk including fraud Proactively foster working relationships with program management staff Actively monitor grant program deadlines Review and approve grant related SIRE agenda items Prefer accounting degree Grants Support Specialist: Knowledgeable in grant application practices and County grant policies, practices and internal controls related to grants management Maintain eCivis subscriptions and assist users Ability to work in an electronic environment Ability to independently oversee File Management Drafts GMS and non-GMS budget amendments Prepare journal entries Act as Grants Accountant as GCO Manager assigns Update general ledger reconciliations reports Page 1920 of 3896 14 Provide Grants Management System training as needed Direct or advise on general calls to the Grants Compliance Office Provide countywide grant application support and review Ensure compliance with CMA 5330 through education to Division staff Maintain designed tracking systems and logs as assigned Monitor Minute Traq for grant related actions Ability to learn duties of Grants Accountant for career path growth User of SAP and GMS to perform job duties Familiar with grant program regulations Grants Procurement/Contract Specialist: Ensures compliance with 2 CFR Parts 200.318 - 200.326 Coordinates and maintains working relationships with the Procurement Service Division and all County Divisions procuring goods and services with federal/state grant funding Develops and implements training for County staff procuring goods and service with federal/state funding Determines appropriate federal and state administrative clauses for all grant funded solicitations and contracts Drafts federal and state administrative provisions and required certifications of third-party vendors Ensures special grant contract conditions regarding procurement are met such as but not limited to grantor concurrency or approval of third-party vendor awards Ensures debarment certification and validations via SAM.gov are carried out timely and are on file Develops grant procurement strategies, procedures and protocols to maintain federal compliance with Local County Procurement Policies Advises assigned Procurement Strategist and Division grant managers on grant funded procurements to mitigate or eliminate noncompliance Reviews all grant funded requisition for procurement compliance with applicable grantor agencies Provides an appropriate level of technical assistance to County staff Conducts noncompliance risk as part of day to day oversight and reports all significant risk that could result in a negative audit outcome to the GCO Manager Attend pre-bid and pre-construction meetings as necessary Reviews executive summaries for presentation to Board of County Commissioners Maintain supplemental grant procurement files Page 1921 of 3896 15 CONTROLS Point of Control Internal Controls CMA 5330 County Managers Agency 5330 Grant Coordination Policy requires all Divisions to obtain Board approval for any grant application or award. It also defines what grant documentation must be provided to the established Grants Office. Minute Traq The software system used to manage Board actions through written Executive Summaries. Any grant related items including grant procurements are required to have a Level 2 grants review. Level 2 is approved by the GCO staff and workflows to Level 3 for the GCO Managers approval. Level workflows to upper management of OMB and the County Manager for final review and approval. GMS Budget Setup The SAP Grants Management System module is used to budget and track all revenues including any program income, interest and local match; expenditures and transfers. GMS uses a unique set of Funds and Fund Centers. GMS allows for a Sponsor to be created that identifies Sponsor Classes. Sponsor Classes are linked to a specific commitment item or range of commitment items already established in the SAP Chart of Accounts. Sponsor Classes also align to the grant contract budget categories. GCO staff complete Sponsor setups or revisions through a Sponsor Form for the GCO Managers review before submitting to Clerks Finance for processing. A Grant Setup Form completed by the Division assigned a unique grant project number to the grant contract. For those grants with more complex budgetary needs, a WBS (Work Breakdown Structure) is used as a project number subset to further track revenues and/or expenditures. Budgets are appropriated through Board action at the time of award unless a set of special circumstances exist approved by the Grant Compliance Manager to request budget appropriation before award. After Board approval, GMS budget amendments are routed for review and approval by appropriate OMB management staff before submittal to the Clerks Finance for processing. Exceptions to budgeting grants outside GMS are on a case by case basis approved by OMB for extenuating circumstances such but not limited to FEMA Public Assistance. Grant Solicitations Written Procurement Policy and Procedures exist. Procurement has a designated grants procurement strategist to become an extension of GCO established protocols maintain grantor compliance (provisions, debarment, etc.) and act as a liaison between GCO and Divisions. GCO reviews all formal solicitations support by grant funding to assure required provisional language is included. GCO or the Procurement liaison will draft provisional language, certifications and solicitation packages as necessary. GCO and Procurement will develop forms to document independent cost estimates, Page 1922 of 3896 16 procurement decisions, price/cost analysis and any other required actions. Documents will be kept in a central location. SAP stores procurement files and reviews at established control points ensure support documentation is complete. Grant Requisitions A special workflow has been established for grant funded purchase orders. This workflow requires GCO approval of the requisition. Each Division assigns up to two staff members to approve requisitions outside of the person who enters the requisition. Procurement is the last approver before a requisition to a purchase order. A GCO review ensures grantor compliance has been met and the grant file is up to date. A requisition compliance checklist is maintained and periodically updated to include but not limited to items such as non-debarment verification, inclusion of required provisions, executed certifications, activity is allowable, funding is available, activity is eligible per scope, cash or inkind match is addressed and falls within the period of availability. Any missing compliance is grounds for withholding approval of the grant requisition until compliance is met. IT related requisitions have a secondary review by IT. Division staff good receipts invoicing through the use of Dolphin (SAP Module). The Clerk’s Finance processes all payments and receipts. Clerks Finance The Clerk of the Circuit Court of Collier County is an independently elected Constitutional Officer and Public Trustee whose responsibilities include Accountant, Auditor, Keeper of Court and Public Records and "Watchdog" of all Public Funds. The Clerk's role is defined by the Florida Constitution of 1838 and Florida Statutes to ensure a critical system of “checks and balances” to protect and serve the citizens and taxpayers of Collier County by making sure that all taxpayer dollars are spent lawfully. https://www.collierclerk.com/clerks-office/roles Monitoring - File Grant Files are maintained by GCO in Sharepoint by each Management Department, Division, Grant Program and Grant Contract. Sharepoint is read only to any CMA employee and Clerk Finance staff working with grants. Edit rights are provided by the GCO Manager to Division staff identified as a Fiscal Buddy. A written nomenclature is used to organize files and folders to allow grants to be monitored for required support documentation, grant status, deadlines and more. Monitoring- General Ledger Reconciliation A GL Reconciliation Report template has been established via Microsoft Excel workbook. A workbook is setup for each grant contract or series of recurring grant programs. Raw general ledger is imported and remains un-manipulated. Raw Data is summarized in a Pivot table to monitor budget to actual line items per the grant Page 1923 of 3896 17 contract. Expenses and revenues are reconciled no less than Page 1924 of 3896 18 quarterly, during each draw request, financial report approval or as determined to assist Divisions in advisements. GL Recon Reports are setup at the time of award and include additional worksheets to monitor key compliance areas such as but limited to cash management, report deadlines, program income, special provisions, inventory, amendments as well as any special internal processes to manage internal deadlines or unique attributes. Cash Management GCO staff review all draw requests and require and auditable Reporting reports. Segregation of Duties are maintained. A written internal control exist within Handbook. Time and Effort Documentation GCO assists Divisions in developing written procedures. GCO has a timesheet template to track actual hours worked on a grant(s) with or without multiple funding sources. Payroll and automated benefits charged each pay period (FICA, retirements, may only be charged to a grant through the SAP payroll system including any revisions. Other benefit charges (health, disability, dental, etc) not processed each pay period that must be allocated through a journal entry may only be done so by the GCO and is based on proportional share of actual benefit cost to the individual employee. Payroll documentation must include an attestation signed by staff performing grant related activity and the supervisor. DBE, M/WBE, Standard forms are used to capture and monitor third party Section 3, Veterans participation and report participation to grantor agencies when required. Federal agencies requiring goal setting is carried out by Division staff. EEO Management & Davis Bacon For large federal programs such as HUD and FHWA/FDOT, grantor handbooks specific to Davis Bacon are heavily relied as a resource for compliance. Standard protocols have been developed to manage Davis Bacon from inclusion of provisions and the DOL Wage Determination within the solicitation and contract, review of compliance at the pre-con meeting, use of forms for sublet and pay period identification, certified payroll reviews, noncompliance corrective action requests as well as labor interview in the field. Match Requirements Ensure accurate budget setup to track cash match requirements and actual match is properly coded per regular general ledger reconciliation monitoring and review. Assess and advise Corporation Financial and Management Services Director of impacts in use of General Fund match commitments. Program Income Ensure program income is properly reported, applied against draws, and recognized on a regular basis, no less than annually. Page 1925 of 3896 19 Travel Grant funded travel must complete a travel request form before procurement. Travel allowability will be determined by the grant contract and supporting Federal or State regulations. Support Page 1926 of 3896 18 documentation such as but not limited to traveler information, an agenda, hotel receipt, Federal or State standard per diem rates (whichever is applicable), mode of transportation including parking fee receipts, airline tickets receipts and time of travel and location. Asset Management An asset module within SAP is used to identify capital assets at the point of requisitions and through designated commitment items. At the point of award, Grant Setup, and budget appropriation, capital items are also identified to ensure equipment and assets purchased with grant funds are properly accounted for, including disposal. Grant funded assets are maintained in a Grant Fund and unique project number to assist in tracking. Asset records contain all required inventory elements. Clerk’s Finance conducts an annual inventory in coordination with CMA Divisions. An Asset Form exists to document acquisition, disposal and transfers. CMA 5809 Subrecipients Currently – only the Community and Housing Services Division (CHS) award subrecipient. CHS has robust monitoring program to ensure compliance is net as well as pre-assessment tools to ensure subrecipients have the wherewithal to comply without conflict of interest. Reimbursement requests are audited properly prior to submission to Clerk’s Finance for payment. GCO assist the Division in single audit OMB 133/2 CFR 200 monitoring. Page 1927 of 3896 19 OFFICE OF GRANTS COMPLIANCE County Manager’s Agency Collier County Board of County Commissioners W. Harmon Turner Building, 2nd Floor 3299 East Tamiami Trail Naples, FL 34112 Main Telephone: 252-8973 Staff: Mark Isackson, Director of Corporate Financial & Management Services 252-8717 Therese Stanley, Grants Compliance Manager 252-2959 Valerie Fleming, Grants Accountant 252-2040 Erica Robinson, Grants Accountant Sr. 252-2044 Vacant, Grants Accountant Sr. 252-8189 Carrie Kurutz, Grants Procurement Specialist 252-8189 Page 1928 of 3896 20 ORGANIZATIONAL CHART Page 1929 of 3896 21 GRANTS COORDINATION CMA 5330 outlines the County Divisions responsibility to coordinate grant application and awards efforts through the Grants Compliance Office as well as required Board approvals for both application and award. Page 1930 of 3896 22 GRANT APPLICATIONS GRANT APPLICATIONS Pursuant CMA 5330 all grant applications will be reviewed by the Grant Compliance Office and presented to the Board for approval prior to submittal to the grantor agency. The County Manger may make exceptions in certain circumstances as described within CMA 5330. Divisions shall work with their assigned GCO staff to complete an After the Fact Request Form (ATF) for consideration and authorization by the Grants Compliance Manager. The most frequent circumstance an ATF would be authorized for is due to the timing difference between when an application submittal deadline and when the application can be presented to the Board for approval. All ATF Board approved applications are reviewed by the OMB Grants Compliance Office and approved by the County Manager PRIOR to submittal to the grantor agency. A division’s first action to apply for any grant is to determine whether or not Board approval can be garnered before the submittal deadline. If Board approval cannot be garnered, an ATF is to be completed prior to the development of the application. WHO HAS AUTHORIZATION TO SUBMIT FUNDING APPLICATIONS? The Board of County Commissioners and in certain circumstances per CMA 5330, the County Manager. WHAT IF MY GRANTOR REQUIRES THE GRANT APPLICATION TO BE SUBMITTED ELECTRONICALLY BY AN AUTHORIZED REPRESENTATIVE? More grantor agencies are doing business electronically and do not expect the entity’s elected official to log in and perform administrative actions. In these cases, grantors require an “authorized representative” to be designated. This designation can be done only by the action of the Board. Contact the Grants Compliance Office to assist in this designation and appointment. Divisions will still be required to obtain standard Board approvals of grant applications regardless of how the application is submitted and the Board designates approvals. BOARD APPROVAL - AFTER THE FACT PROCESS (ATF) Division completes an ATF request form and forwards it to GCO with a copy of the Notification of Funding Opportunity (NOFO). ATF form is available on Sharepoint. The GCO Accountant reviews the request and NOFO to verify compliance with CMA 5330, sets up a grant file and forwards the request to the GCO Manager for approval. A County Manager Approval Memo is drafted by GCO with Division input to formally authorize the ATF Board action. The Division prepares a draft Executive Summary concurrently with the grant application. Page 1931 of 3896 23 The Division provides the full grant application package as will be submitted to the grantor agency, with the draft Execute Summary (ES) no less than three (3) business days before the grant submittal deadline. GCO reviews the application package for accuracy, verifies the ES is in a draft form and finalizes the County Manager Approval Memo. GCO presents the application package and memo to the County Manager for approval including signature. GCO notifies Division when the package is ready for pickup/submittal. Division submits application to grantor as presented to GCO, County Manger and subsequent Board approval. Division prepares Board action and requests a grant review within the agenda system. Agenda item support will include entire application package as submitted to the grantor agency verbatim and the County Manager Approval Memo. The ATF request is an internal form to obtain GCO authorization to proceed with the grant application and is not required to be attached as support to the Board approval action. SUBMITTAL VIA GRANTS.GOV Collier maintains one grants.gov registration (including the County’s annual SAM registration) through the OMB Grant Compliance Office. The Grant Compliance Manager position submits all grant applications mandated to be submitted through grants.gov to ensure CMA 5330 is upheld. GRANTS.GOV WORKSPACE SETUP As of December 2017, Grants.gov application submittals require use of an online “workspace” to develop and submit applications. Any County employee may create a user account to initiate a workspace. All user account are approved by the GCO Manager. APPLICATION CONSIDERATIONS The following areas are known to create post award management risk. GCO staff will troubleshoot and offer options with Division staff to mitigate risk during application development. Adequate support document to prove time and effort spent on Staff Inkind Compliance Area Concern Pre Award Costs Detailed in Application to comply with Period of Performance Cash Match Period of Performance, Scope of Work, Full Amount Available at time of Award Acceptance, Proper Calculation Budget Detail / Line Items Budget control at each individual line item has a direct affect on administrative burden to the number of line items Equipment Defining equipment versus supplies, Inventory disposal permissions, Title Holder Page 1932 of 3896 24 APPLICATION ROUTING FOR LEGAL REVIEW Each Divisions project or program manager is responsible for routing the grant application to the County’s Attorney’s Office, signed by the Board of County Commissioners. It is the responsibility of the department to ensure the following: 1. All documentation needed for signature is obtained and uploaded into the SIRE agenda system prior to the corresponding BCC meeting deadlines 2. Notification is given to the County Attorney’s Office that a “time sensitive” item is needed for BCC signature (provide grant application due date) 3. The signed application is picked up from Minutes and Records and is submitted to the appropriate grantor agency ECIVIS The County maintains a subscription service with ECIVIS to provide County Divisions and nonprofits within Collier County a way to research grant opportunities from a single database as well as provide overviews of federal compliance requirements. Contact GCO for account access. the grant projects requires time keeping documentation even if HR Policy does not require timesheets. Consider the administrative burden tracking all hours worked and paid leave each pay period. Sized at fair market value with valid proof Time keeping of all hours (grant and non grant) is required even if not required by County policy and procedures. Direct cost of benefit only. Funding source may have more restrictive thresholds, no Local Vendor Preference eliminates use of County contracts, additional record keeping is required throughout the process Federal requirements include Davis Bacon (certified payrolls) and EEO field compliance. Federal rule must be followed even when $1 dollar of federal funding is used in any program or project Catalog number, knowing what it is and how to use it to find out what compliance areas will be reviewed Other Inkind Personnel Procurement Construction Dual Federal and State Funding CFDA/CSFA Page 1933 of 3896 25 GRANTS FILE MANAGEMENT Internal Control: Maintain a standardized file system for grant applications and awards to support the audit trail, promote successful single audit review and serve as a monitoring tool. Purpose: File management is a key control activity that maintains source documentation in preparation of the audit trail to support single audit review. The audit trail will be developed in a consistent format to provide for a successful review. The audit trail will be developed in a manner that a reviewer has few to no questions to understand the transaction and support. The file system will also serve to assist GCO staff in regular monitoring of administrative compliance. The GCO will maintain electronic grant files in a central location through the use of Sharepoint. All BCC County staff will have read access as well as designated Clerk of Courts Finance staff members for single audit coordination. Only designated staff will be given edit access by the GCO Manager or designee. Pursuant CMA #5330, the Collier Board of County Commissioners (BCC) approval is required for all grant applications, awards and amendments. Any necessary BCC approvals for procurement are pursuant Procurement Policy. BCC approvals are managed through Minute Traq. GCO staff will review all grant related agenda items through required Minute Traq workflow approvals. For those Departments significantly funded by grants, GCO may request review of all agenda items (grant and non-grant) in order to monitor, assess and advise on grant funding impacts. Methods: folder setup by awarding agency, program, grant contract standardized file names, standardized file components, defined points for file setup and review, and regular review to eliminate duplicates and unexecuted copies. Access: All County staff have view access as well as Clerk’s Finance. Only GCO and the identified Grant Controllers will have edits rights. Timeline: Setup will begin no later than at the point of application or SIRE activity. Location: http://sp16/sites/Grants/PostAwardGrantDocs/Forms/AllItems.aspx Page 1934 of 3896 26 GRANTS FILE MANAGEMENT File management Nomenclatures will be maintained in separate document – Job Aid – OMB – FILE MANAGEMENT NOMENCALTURES and covers the following areas file management. Sharepoint Single Audit File Procurement Files Master Calendar – Tracking Grantor deadlines and submittals County Division and Department Abbreviations Page 1935 of 3896 27 GRANTS FILE MANAGEMENT – CLOSEOUT PROCEDURES Ensure all executed documents are on file Confirm Grant is complete and met program objective Grantor Closeout forms/reports (if any) completed and on file Request all Purchase Orders are closed (if necessary) Update REPORT GL with final review and revenue postings Prepare Closeout BA (Division or OMB) - Target 60 days of final revenue posting Confirm Closeout BA is processed Update MASTERLIST (GCO Manager) Move to COMPLETE file (GCO Manager) GCO Manager will QC all actions have been taken before moving to the complete file. Page 1936 of 3896 28 GRANTS FILE MANAGEMENT – ROLES OMB GRANTS ASSISTANT REVIEW CHECKLIST Add Executive Summaries each BCC meeting and agreements, applications (Update day of BCC meeting) Outstanding agreements: collect executed – delete unexecuted Grant File folder has expiration date within title or within folder Rename files not in appropriate format Delete duplicate files Merge stand alone documents when appropriate and delete duplicate Reports – all on file, named correctly (date is report period end) Expiring within 90 days – any action needed? For completed grants, all grantor closeout documents are on file, file is complete, final revenue has been collected and a closeout budget amendment is executed and processed. OMB GRANTS ACCOUNTANT REVIEW CHECKLIST Ensure grants files are up to standards outlined under OMB Grants Assistance and make all revisions as necessary including adding files and amending file names as appropriate. GL Reconciliation Perform or review no less the quarterly unless otherwise required and prior to Reimbursement Request or Draw Approval Report Approval Staff Advisement as needed Ensure Files have complete audit trail Reimbursement Requests are made timely per established protocol Revenue has been received on prior Reimbursement Request Reconciling items are posted from prior period Each draw is tied out to expenditure Expenditures appear to be eligible and allowable based on current program status Expenditures appear to be properly coded Discrepancies are vetted and if necessary disclosed to pertinent staff Grantor budget limits and earmarks are compliant Program Income or any other revenue is factored Reports On file Appropriate approvals to demonstrate segregation of duties Reconcile to GMS Submitted on time Draws On file Follow OMB protocols Demonstrate segregation of duties Submitted timely Documentation is the standard format Page 1937 of 3896 29 GRANTS FILE MANAGEMENT – ROLES Expiration Date Assess if actions are needed to extend Ensure Division staff are taking appropriate actions for extension no less than 30 days prior to expiration Copy GCO Manager on extension reminders DIVISION FISCAL BUDDY’S AND PROGRAM/PROJECT MANAGERS REVIEW CHECKLIST Assist GCO in maintenance of files Provide copies of executed agreements, amendments, and any correspondence that supports the audit trail May use Grant Files on a day to day basis to manage compliance Ensure Monitoring Notices, Reponses and Reports are provided to GCO within (3) business days Ensure Internal Controls and Protocols established by GCO are carried out Communicate compliance issues and changes to GCO to collaborating resolve or mitigate audit risk ACCESS (MAINTAINED SEPARATELY) GCO staff will have full access and edits. Only Division staff (IE - Fiscal Buddies) approved by the GCO Manager may be provided full access to Sharepoint with edit rights. The Clerks Finance Department will also be offered access in coordination for single audit. Page 1938 of 3896 30 GRANTS FILE MANAGEMENT – SHAREPIONT VIEWS Find your Division and Department. Note compliance aid documents applicable to all federal grants are available here as a resource. To view in an explorer setting to work in a regular drive and file folder structure, select the library tab. The Library Tab has a option to “Open With Explorer” Page 1939 of 3896 31 AGENDA MANAGEMENT BOARD APPROVALS The County’s IT Division maintains Agenda Software User Guides. All grant actions requiring Board approval are subject to a grants review. A grants review provides the item to the GCO staff for approval at Level 2. Once GCO staff approves the item at Level 2, the GCO Manager with the Office of Management & Budget will review and approve the item at Level 3. Divisions heavily funded by grant funding may be asked to submit all agenda items to a level 2 grants review to remain informed about all activities that could impact current or future grant funding and/or compliance. Page 1940 of 3896 32 GRANTS MANAGEMENT SYSTEM (GMS) SAP BUDGET AMENDMENTS REQUIRED APPROVALS (Updated 4/13/11) BUDGET AMENDMENT TYPES APPROVAL AUTHORITY CODE Administrative Authority Budget amendments of $50,000 or less within the same fund and division and not impacting reserves or recognizing revenue CM Grants & Project Close-outs ADMIN Budget Amendment Report Decrease to reserves of $25,000 or less Budget amendments of $50,000 or less within the same fund, but different division REPORT Executive Summary Decrease to reserves in excess of $25,000 Budget amendments greater than $50,000 (including increases to capital projects) New positions and/or new services Appropriate revenue from grants, donation, contributions, unanticipated revenue (enterprise/proprietary funds) or insurance proceeds – Resolution (RESO) Increase of a fund total by recognizing carry forward or a transfer from another fund – Public Hearing (PH) NO FURTHER ACTION (NFA) Board of County Commissioners via Executive Summary RESO is processed at the subsequent BCC meeting. PH is processed once per month. Page 1941 of 3896 33 GRANTS MANAGEMENT SYSTEM (GMS) SAP BUDGET AMENDMENTS SCENARIOS Budget Amendment type Increase/decrease – Scenario 1 Increase/decrease – Scenario 2 Revenues (IE-Carryforward) Expense (IE – Transfer To) If revenues increase… Expenses must increase If Revenues are decreased… Expenses must decrease Revenue account Revenue account If one revenue acc’t increases The other revenue acc’t must decrease If one revenue acc’t decreases; The other revenue acc’t must increase Expenditure account Expenditure account If one exp acc’t increases The other exp acc’t or Reserves must decrease If one exp acc’t decreases; The other exp acc’t or Reserves must increase RESERVES Carryforward is a Revenue account (use Fund Center 919010) Reserves is an Expenditure account (use Fund Center 919010) TRANFERS Transfer To or Transfer From use Fund Center 929010 Transfer To is an Expense (Commitment 91XXX0) Transfer From is a Revenue (Commitment 481XXX) When making multiple transfers out of a fund to match a grant, note under “why are funds needed” please note the project number and amount needed. It helps the auditors and anyone else who has to do research, to explain where the money went / to which project. Page 1942 of 3896 34 GRANTS MANAGEMENT SYSTEM (GMS) ZFI_GRANT_BUDGET GRANT BUDGET REQUEST The application highlights: Creates Grant Budget request thru SAP ECC transaction. No portal is required. Data entry is validated in SAP data base. Intuitive navigation. Data entry can be saved so it could be restored later. Grant Budget request is Interactive PDF form. The form can be used for: o Further data entry. o Uploading form data into SAP after request is approved (future development). Important notes and hints: Data entry screen: Red asterisk indicates required field. White colored field indicates open for entry field. Yellow colored row indicates Selected for Remove. Clicking on Remove button will delete yellow colored row form the corresponding table. It is necessary to hit Enter key after entering a new value into a field. This will ensure the application response. For ex. percent/ total will be calculated after amount is entered and Enter key hit. Another example - commitment description will be populated after commitment is entered and Enter key hit. Annoying scrolling can be avoided by reducing the Screen working area. Click Collapse Tray buttons for that. PDF form: Blue colored field indicates open for entry field. Both Data entry screen and PDF form: To tab thru open for entry fields in clockwise direction - use TAB key. To tab thru open for entry fields in counterclockwise direction - use TAB+SHIFT key. Page 1943 of 3896 35 GRANTS MANAGEMENT SYSTEM (GMS) ZFI_GRANT_BUDGET GRANT BUDGET REQUEST STEPS 1.Enter transaction ZFI_GRANT_BUDGET. Initial screen will be displayed: 2.Enter Grant number. Grant data will be displayed: Page 1944 of 3896 36 GRANTS MANAGEMENT SYSTEM (GMS) ZFI_GRANT_BUDGET GRANT BUDGET REQUEST 3.Select Fund Center from dropdowns and enter amounts. For example: Page 1945 of 3896 37 GRANTS MANAGEMENT SYSTEM (GMS) ZFI_GRANT_BUDGET GRANT BUDGET REQUEST 4.Once Revenue Total is equal Expense total - the corresponding PDF button will become enabled. In this case Revenue Grant amount = Expense Grant amount = $5,000.00. Page 1946 of 3896 38 GRANTS MANAGEMENT SYSTEM (GMS) ZFI_GRANT_BUDGET GRANT BUDGET REQUEST 5.Commitments and Sponsored classes can be added for both Revenue and Expenses. Click accordingly “Add Rev Commitment” or “Add Exp Commitment” button. When you select Add, a blank line opens. Sponsored class and commitment item can be selected from the dropdown menu. Page 1947 of 3896 39 Page 1948 of 3896 40 GRANTS MANAGEMENT SYSTEM (GMS) ZFI_GRANT_BUDGET GRANT BUDGET REQUEST 6.If for some reasons you can’t complete the Request now but wish to save it so you could finish later, click button. A prompt will be displayed: Then click Save. Another prompt will be displayed: File name will be prompted -in this case “GrantBud-33062-20121002-132537.xml”.Select the desired location and click Save. The generated file name has <grant number>-<date>-<time> which is helpful when you come back to complete the Request. Page 1949 of 3896 41 GRANTS MANAGEMENT SYSTEM (GMS) ZFI_GRANT_BUDGET GRANT BUDGET REQUEST After returning back - you may want to restore previously saved data rather than repeating data entry . Enter the grant number and fiscal year. Then click . Then select your file and click OPEN. The Browse will become populated with the file Path/name: Click Restore button . Page 1950 of 3896 42 GRANTS MANAGEMENT SYSTEM (GMS) ZFI_GRANT_BUDGET GRANT BUDGET REQUEST The screen will display previously entered data and you can continue your Request. Once data entry is completed and Revenue/Expense balance reach zero, the buttons will become enabled. Click the corresponding button to View/Update/Print/Save your request in Acrobat Reader. 7.The fields open for data entry In Acrobat Reader are: Agenda Item Agenda Date. Public Hearing Item. Public Hearing Item Date. Prepared By (this field is prepopulated but can be overwritten). Prepared Date (this field is prepopulated but can be overwritten). Why Funds Are Needed. Where Funds Are Available. Page 1951 of 3896 43 Six Reviewed By fields. GRANTS MANAGEMENT SYSTEM (GMS) ZFI_GRANT_BUDGET GRANT BUDGET REQUEST Page 1952 of 3896 44 GRANTS MANAGEMENT SYSTEM (GMS) GRANT FUND LIST DEPT FUND FUND CENTER FUND CENTER NAME ASD 493 144616 EMS GRANTS ASD 494 144617 EMS MATCHING FUNDS ASD 701 144391 SPECIALIZE GRANTS ASD 703 122293 FAC MGT GRANTS ASD 704 122294 FAC MGT MATCH ASD 703 144223 EM GRANTS ASD 704 144224 EM MATCH CMO 713 100113 COUNTY MGR GRANTS CMO 714 100114 COUNTY MGR MATCH CMO 713 138765 ECON DEV GRANTS CMO 714 138766 ECON DEV MATCH CMO 715 138315 IMM CRA GRANT CMO 716 138316 IMM CRA MATCH CMO 717 138341 BAYSHORE CRA GRANT CMO 718 138342 BAYSHORE CRA MATCH GMD 498 192346 MARCO AIRPORT GRANTS GMD 498 192348 EVRGLADES ARPRT GRAN GMD 498 192344 IMMOKALEE ARPRT GRAN GMD 499 192347 MARCO AIRPORT MATCH GMD 499 192349 EVERGLADES ARPRT MAT GMD 499 192345 IMMOKALEE ARPRT MATC GMD 711 138338 MPO GRANTS GMD 711 163625 TRAFFIC OPS GRANTS GMD 711 172911 STORMWATER GRANTS GMD 711 110403 COASTAL ZONE GRANT GMD 711 163622 TECM GRANTS GMD 711 163631 PLANNING GRANTS GMD 711 163637 ROAD MAINTENANCE GRT GMD 711 163661 LANDSCAPE GRANTS GMD 712 138339 MPO MATCH GMD 712 163623 TECM MATCH GMD 712 163626 TRAFFIC OPS MATCH GMD 712 163632 PLANNING MATCH GMD 712 163638 ROAD MAINT MATCH GMD 712 163662 LANDSCAPE MATCH GMD 712 172912 STORMWATER MATCH GMD 712 110404 COASTAL ZONE MATCH Page 1953 of 3896 45 GRANTS MANAGEMENT SYSTEM (GMS) GRANT FUND LIST DEPT FUND FUND CENTER FUND CENTER NAME PSD 424 138424 CATT GRANTS PSD 425 138425 CATT MATCH PSD 428 138428 TRANS DISADV GRANTS PSD 429 138429 TRANS DISADV MATCH PSD 705 138705 HOUSING GRANTS PSD 706 138706 HOUSING MATCHING FDS PSD 707 155970 HUMAN SVS GRANTS PSD 708 155971 HUMAN SVS MATCH FD PSD 709 155415 ANIMAL SVS GRANT PSD 709 156115 LIBRARY GRANTS PSD 709 156318 PARKS GRANTS PSD 709 157115 EXTENSION SVS GRANTS PSD 710 155416 ANIMAL SVS MATCH PSD 710 156116 LIBRARY MATCHING FDS PSD 710 156319 PARKS MATCHING FUNDS PSD 710 157116 EXTENSION SVS MATCH PSD 711 163633 ATM GRANTS PSD 712 163634 ATM MATCH PSD 791 138791 SHIP GRANT PUD 416 263418 WATER USER GRANTS PUD 416 273416 WASTE WATER IMP GRT PUD 416 273418 WASTE WATER USER GRT PUD 416 263416 WATER IMPACT GRANTS PUD 417 263419 WATER USER MATCH PUD 417 273417 WASTE WATER IMP MATC PUD 417 273419 WASTE WATER USER MAT PUD 417 263417 WATER IMPACT MATCH PUD 475 173424 SOLID WASTE GRANTS PUD 476 173425 SOLID WASTE MATCH FD LEGEND ASD ADMINISTRATIVE SERVICES DEPARTMENT CMO COUNTY MANAGERS OFFICE GMD GROWTH MANAGEMENT DEPARTMENT PSD PUBLIC SERVICES DEPARTMENT PUD PUBLIC UTITILIES DEPARTMENT Page 1954 of 3896 46 GRANTS MANAGEMENT SYSTEM (GMS) SPONSOR AND CLASS SETUP/REVISION SPONSORS AND SPONSOR CLASSES Draft grant agreement on file Sponsor is always setup by GCO Staff Multiple Sponsors may be setup for a single grant program o Grant Program managed in more than one Department/Division o Dept/Division are segregated by fund centers – permissions cannot be shared CFDA/CSFA has been identified in writing from the grantor agency either as a citation within draft agreement or via an email advisement from grantor even to disclose a catalog number is not applicable. o It is the grantor’s responsibility to either provide a catalog number or advise a catalog number is not applicable. o CFDA/CSFA’s will be reviewed by GCO staff in preparation of the Sponsor Form SPONSOR CLASS NAME Ties to the draft grant agreement budget categories or draw categories. Grantor contracts with unique draw categories will drive the sponsor class. Complex funding will use the WBS to supplement tracking. Coordinate with OMB Grants Compliance Manager to determine best setup. (Finance may be coordinated with.) o WBS incurring payroll charges must be identified. Sponsor Class is not the name of the commitment except for Transfers, Carryforward Strategy: Core principles are used to setup each grant contract within the SAP Grants Management System (GMS). Unique Funds track revenues and expenditures and segregate by grantor, required match and any additional local share. Due to the number of unique attributes that individual grant programs have, customized setup for each program will be considered and waivers may be given in unique circumstances such as but not limited to awards granted post expenditure, reimbursed on a unit basis, unique reporting requirements and/or the Division’s current operating budget. Page 1955 of 3896 47 GRANTS MANAGEMENT SYSTEM (GMS) SPONSOR AND CLASS SETUP/REVISION SPONSOR MATCH FUND Match (Cash) o Required by the grantor agency o Auditable attribute described within CSFA/CFDA o Sponsor Match Fund always used unless unique circumstances determines otherwise o Noncash Match (Inkind) to be reviewed and discussed with GCO Manager Local Contribution/Share o Not required o Not an auditable attribute per CFDA/CSFA o Additional funds required to complete project o Local/Capital Fund will be used for local contribution (same project number) except with GCO Manager approval in one or more circumstances: Sponsor requires comprehensive reporting Local contribution is budgeted within a non-project Fund Local contribution is cited in grant award COMMUNICATIONS Completed Sponsor forms will be maintained in a designated file location assigned by the GCO Manager and numbered sequentially each fiscal year. Numbering will start at SYY-001 each fiscal year. o SYY-XXX SPONSOR NEW (ABBREVIATED DESCRIPTION) o SYY-XXX SPONSOR UPDATE (SPONSOR NUMBER) (ABBREVIATED DESCRIPTION) o Abbreviated description is the grant program name o Sponsor Number assigned to a NEW sponsor will be added to file name after assignment. The GCO Manager will be noticed by GCO staff when a Sponsor Form is ready for review via email. o Attachment of the Sponsor Form is unnecessary. o Subject line must contain “SYY-XXX ready for review" o GCO Manager will review, vet and make any necessary changes GCO Manager will submit Sponsor Form to Finance for processing and copy all pertinent GCO Staff. Page 1956 of 3896 48 GRANTS MANAGEMENT SYSTEM (GMS) GRANT CONTRACT/AWARD SETUP GRANT PROJECT # May prefill with an existing capital project number or grant project that has multiple phases, contracts or sponsors. SPONSOR NUMBER Use SAP BUP3 to ensure correct sponsor has been designated. TIP: Multiple sponsors may have been setup if more than one County Division or Department receives funding. (Unique cost centers). SPONSOR NAME Sponsor name shall be verbatim of what is in SAP BUP3. NAME OF GRANT This is what will display is SAP Budget to Actual Reports. Review the appropriate SAP Fund and create a name that is consistent with current names and spacing. GRANT CONTRACT START AND END Dates reflect the period of availability. An estimate may be used for the Contract Start date if contingent upon the date of execution/signature. GRANT VALID TO DATE This should reflect the date the final invoice is due or 90 days after the Grant Contract End date, whichever is later. CFDA/CSFA Review the contract and ensure a catalog number has been provided. If the draft grant contract is silent, contact the grantor agency to obtain the correct catalog number in writing. It is the grantor agency’s responsibility to provide this information. Cite the specifics of the contract such as the agreement number in the request to the grantor agency. Even if no catalog number is assigned, obtain written concurrency if it is not clear within the contract. WBS STRUCTURE Use to supplement financial monitoring in addition to Sponsor Classes. IE – use to mirror grant contract budget categories, report categories as defined by grantor agency or enhance subrecipient monitoring. May be setup at a later time in order to review the grant agreement. TIP: The WBS description name is generic to fit either an expense or revenue category. If only a single WBS is used, it is generally the Name of Grant. Page 1957 of 3896 49 JOB AIDS Additional specific grant program Job Aids are maintained under APPENDIX D of this handbook. The most current version is maintained on Sharepoint. Page 1958 of 3896 50 SAP REPORT INSTRUCTIONS SAP stands for System Application Products and is the County’s financial management and accounting software. SAP has numerous reports available to assist in tracking grant expenditures and revenues including reports from the Grants Management System. The Job Aid – SAP REPORTS AND OTHER LOOKUPS provides instructions on the tools and reports available to users. Job Aids can be found on the GCO Sharepoint as well as IT Sharepoint. Use of SAP requires a username and password. Please work within your Division management team and IT Division for access. Page 1959 of 3896 51 ACTIVITIES ALLOWED/ UNALLOWED – ELIGIBLE COST In addition to use of 2 CFR Part 200 (Subpart E Cost Principles), always refer to the grant contract scope and budget line items to determine eligible costs and allowed activities. Larger federal and state grantor agencies often have additional resources available on their website. A copy of 2 CFR 200 is maintained in a searchable format on Sharepoint. When in doubt, contact the GCO for advisement. In may be necessary to garner grantor clarification in writing before committing to expenditure. Pursuant 2 CFR Part 200.403 Factors affecting allowability of costs Except where otherwise authorized by statute, costs must meet the following general criteria in order to be allowable under Federal awards: (a)Be necessary and reasonable for the performance of the Federal award and be allocable thereto under these principles. (b)Conform to any limitations or exclusions set forth in these principles or in the Federal award as to types or amount of cost items. (c)Be consistent with policies and procedures that apply uniformly to both federally-financed and other activities of the non-Federal entity. (d)Be accorded consistent treatment. A cost may not be assigned to a Federal award as a direct cost if any other cost incurred for the same purpose in like circumstances has been allocated to the Federal award as an indirect cost. (e)Be determined in accordance with generally accepted accounting principles (GAAP), except, for state and local governments and Indian tribes only, as otherwise provided for in this part. (f)Not be included as a cost or used to meet cost sharing or matching requirements of any other federally-financed program in either the current or a prior period. See also § 200.306 Cost sharing or matching paragraph (b). (g)Be adequately documented. See also §§ 200.300 Statutory and national policy requirements through 200.309 Period of performance of this part. Period of Performance The period of performance are the effective dates of the grant award or start and end dates that your grant contract may incur expenditures. Generally, the start date is an explicit date cited within the contract or the date of execution. When the start date relies on the date of execution, it is often the date of last signature to fully execute the grant contract. Each contract must be read to understand the period of performance. Note that expenditures are incurred when goods or services are received, not when payment is issued to a vendor. Be mindful of the services or goods that must be rendered by expiration date of the grant contract. Grantor agencies often require a request for extension 30 days or more prior to expiration. Page 1960 of 3896 52 PRE-AWARD COST Under certain circumstances, grantor agencies may allow for expenditures to be outside of the period of performance or before the effective date of the grant award. Generally, pre award costs are allowable only to the extend that they would have been allowable if incurred after the date of award and only with the written approval of the grantor agency. Any written grantor approvals of pre-award are to be forwarded to the GCO. Page 1961 of 3896 53 TREATMENT OF DIRECT/INDIRECT COSTS Administrative Administrative costs may be direct or indirect. Direct costs are readily identifiable to a specific grant program or activity with a high degree of accuracy and are not recovered as an indirect cost. Direct administrative costs – if eligible per the grant contract – will follow appropriate protocols consistent with support and documentation of such costs. Indirect Costs Indirect costs fall into two categories. Either administration or facilities and are incurred for a common or joint purpose benefitting more than one cost objective. These costs are not easily identifiable and require either an approved Cost Allocation Plan or an Indirect Cost Rate Proposal. At present time, Collier County only has an approved Central Service Cost Allocation Plan for centralized Fleet Services. As such, no other indirect costs shall be charged to any grant program without the review of the OMB Grants Compliance Manager to ensure appropriate federal support or approvals are garnered to comply with requirements as defined within 2 CFR Part 200.416. If compliance cannot be met, local sources of funding will be used. Collier County Fleet Management Division uses a third-party consultant to assist in preparation of the countywide Fleet Cost Allocation Plan. This plan is drafted annually during rate setting for the upcoming fiscal year budget cycle. Direct Costs Direct costs charged to federal awards will be compliant with 2 CFR Part 200.413. Direct costs may benefit two or more grant activities or projects. When the benefit is easily determined without undue effort or cost, expenses will be allocated based on the proportional share of benefit. In cases where the proportional share is more difficult to be determined because of interrelationship of the work involved, costs may be allocated on a reasonable documented basis. In any circumstance, benefitting grant awards may not be charged based on reasons to overcome fund deficiencies or avoid restrictions imposed by statutes, terms or conditions of an award. The GCO will either prepare cost allocation methodologies with supporting documentation or at minimum review methodologies proposed by Divisions prior to implementation. Overall, both direct costs and administrative costs are tracked through SAP, customarily within the GMS module unless an exception has been made. All grant award maintains a General Ledger report to monitor actual expenditures to grantor approved budget categories. Page 1962 of 3896 54 PAYROLL – SALARIES AND BENEFITS Payroll (Salaries and Benefits) Salaries and benefits of administrative and clerical staff may be treated as direct cost (2 CFR 200.414) if all of the following are met: (1 positions are integral to a project or activity, 2)individuals are specifically identified within the project or grant activity, 3)costs are explicitly included in the grant contract budget or have prior written approval of the grantor agency, and 4)the costs are not recovered as indirect costs. Salaries and benefits of program staff that work direct hours on a grant project or activity will use the following protocols document actual hours on a grant compliant timesheet in accordance with the current fiscal year Payroll Calendar set by the Human Resources Division will use a compliant timesheet but either using a GCO template or a Division template reviewed by the GCO prior to use, any deviation presented by the Division will be vetted by GCO for an exception should applicable regulations allow timesheets will include all hours worked regardless of funding source to generate an equitable time distribution follow all County Human Resource policies and procedures regarding timekeeping will coordinate grant timekeeping efforts with GCO/HR as needed or advised will provide timesheets for data entry based on the Payroll Calendar to the Human Resources Division when more than two funding sources are used to fund a position adhere to any special grantor requirements in support documentation (IE project delivery) benefits charged will be based on actual cost benefits not directly charged at the point of payroll processing such but not limited to health, dental,disability and life will be processed by journal entry by GCO. Division staff will be responsible for drafting and maintaining detailed written processes for grant timekeeping procedures. Page 1963 of 3896 55 INTERNAL GOVERNMENT CHARGES (IGC) Internal Governmental Charges (IGC) are billings between County Divisions. Divisions funding such charges with grant awards are responsible to review the charges, approve the expenditures as an eligible cost and assign the appropriate account string. It should be noted not all IGC costs are eligible for reimbursement especially those not based on direct cost. Contact the GCO to vet if the billing Division cost setting methodology is eligible to be charged to a grant award. Recurring monthly IGCs are sent to Divisions for review by the billing division and are provided a grace period to review and dispute charges prior to the expense posting. To ensure that grants are charged accurately with adequate review time and grants are not charged inadvertently past the period of performance or budgetary limits, the following best practices are outlined below. Assign the Divisions operating cost center/funded program to initially charge the IGC to a local funding source. Use the grace period to review and dispute charges and reassign the expenditure to the appropriate grant funded account string through coordination with the billing divisions. It is the managing Division responsibility to review charges and ensure the amount eligible, allowable and that the account string charged is accurate. The Division that prepares the recurring IGC will use the last account string provided until such a time the Division billed requests a change in the account string. The Division billed is responsible to contact the billing Division to change the account string as grant contracts expire and/or change. It recommended this communication is done by email and the appropriate GCO Grants Accountant is copied. Always contact the GCO as necessary to vet expenditure allowability and eligibility when in doubt. Page 1964 of 3896 56 TRAVEL / TRAINING Travel reimbursed by the grantor agency will follow the County’s CMA 5310 as well as any other applicable grantor federal, state and/or local regulations. Support Documentation Typically Includes County Request for Travel - Approved prior to making travel arrangements Grantor Approval – if applicable Training or Conference Agenda Proof of Registration (Email Confirmation/Registration Form) Hotel Receipt (Hotel Confirmation is not a receipt) Applicable Page(s) of Per Diem Table Airline Ticket Other Costs That Need Receipts o Parking o Tolls o Cab / Bus / Rental Car o Baggage Fees Consideration For Eligible Expenses Grant contract allows for training and position attended. Some grant budget travel line items are specific. Will the travel meet the scope the budget scope? Correct Per Diem Rate Per Diem adjustment for Hotel Accommodations and Event serving meals Mileage claimed is supported by a Mileage Calculator FLORIDA: http://fdotewp1.dot.state.fl.us/CityToCityMileage/viewer.aspx Per Diem adjustment for Hotel Accommodations and Event serving meals Travel Re Cap Summarizing your entire travel on summary travel form provides a clear audit trail and assists a reviewer to understand what has occurred. This form is best completed immediately after travel has been completed. The State of Florida administering state or federal grant fund generally require a summary travel form be completed by County staff as well as separate travel form to be completed by any third-party vendor. GCO strongly encourages the use of such a form regardless of grantor agency requirements and may require it to be completed when reviewing a Division’s request for reimbursement. The State of Florida Department of Transportation Travel Form (300-00-01) is the suggested form to summarize travel. It is updated on a regulation basis to capture Florida Statute regarding travel. This summary form is not be confused with the internal County’s Travel Reimbursement Form used by an employee to be reimbursed out-of-pocket expenses. Page 1965 of 3896 57 USE YOUR RADAR RADAR is an acronym used by Federal OMB to determine if costs are necessary and reimbursable. This quick guide assumes the cost is for an eligible activity pursuant the grant program requirements and contract terms. REASONABLE Is this the price a prudent person would pay in the market place? Is the cost ordinary? Is the cost necessary to carry out the grant activity? There must be comparatives and a process to make a determination. What is the cost benefit to what is being provided? (Some grantor agencies set minimums) A cost is reasonable if, in its nature and amount, it does not exceed that which would be incurred by a prudent person in the conduct of competitive business. What is reasonable depends upon a variety of considerations and circumstances, including— (1)Whether it is the type of cost generally recognized as ordinary and necessary to carry out contract performance; (2)Generally accepted sound business practices, arm's length bargaining, and Federal and State laws and regulations; (3)The grantee’s responsibilities (4)Any significant deviations from established practices. ALLOWABLE Does the OMB Circular list the cost as allowable? Can I make the determination that it is allowable? Can I tie the cost to the eligible participant(s)? (human service) Can I tie the cost to the eligible activity as stated in the budget narrative and/or award contract? (project) DOCUMENTED Can the cost be documented? Is there source documentation available that tie to the cost charged to the grant? ALLOCABLE Is the cost directly allocable to the appropriate funding source? Can the allocation methodology be documented? Is it consistent? Predictable? Repeatable? A cost is allocable if it is assignable or chargeable to one or more cost objectives on the basis of relative benefits received or other equitable relationship. REIMBURSABLE If any one of the above is missed, this cost is not reimburseable. Documentation is the #1 reason why a cost becomes unallowable! Set up the audit trail successfully. Page 1966 of 3896 58 GRANT PROCUREMENT Operating Divisions, Procurement and OMB Grants Compliance The Procurement Services Division (Procurement) and Grants Compliance Office (GCO) work together collaboratively to assist Divisions in the acquisition of goods and services funded by Federal and State grant programs as well as maintain compliance as rulemaking and regulations change. Procurement staff coordinate with Division and the dedicated GCO Procurement Specialist to ensure all grant solicitations and contract meet 2 CFR Parts 200.318 - 200.326 procurement standards. The County’s Procurement Policy and Procedures (PPP) and Ordinance 2017-08 conform with State of Florida Statutes and Federal requirements (2 CFR 200.318-200.326) of full and open competition. The County’s PPP are followed unless State or Federal grantor requirements are more restrictive. The PPP documents may be found on the Procurement Division website. P-Card purchases should only be utilized when no other method is reasonable and follows CMA 5808. County Manager Agency (CMA) 5808 may be found at the Human Resources intranet. Compliance also requires the grantee to maintain records sufficient to detail the significant history of a procurement including but not necessarily limited to cost estimates, the rationale for the method of procurement, selection of contract type, contractor selection or rejection, the basis for the contract price and an analysis of price or cost. Through the collaborate relationship between the Procurement and the Grant Compliance Office, compliance is met through current practices and a series of additional grant recordkeeping procurement forms. Division Grant Manager OMB Grants Compliance Procurement Page 1967 of 3896 GRANT PROCUREMENT Procurements are considered either formal or informal. Formal solicitations are generally in the form of but not limited to an Invitation for Bid (IFB) or Request for Proposal (RFP) when the documented cost of a good or service cost is estimated to be $50,000 or more. Procurement under $50,000 are considered informal. Formal Solicitations Division staff initiates contact with Procurement when ready to formally solicit goods or services and develop a scope of work. Either a construction or non-construction solicitation checklist is completed. Procurement reviews the checklist to identify if the solicitation will be funded by a grant source and requires the Divisions to coordination with GCO to complete the appropriate grant recordkeeping procurement forms. Procurement or the Division forwards the solicitation package to GCO for review and approval. The GCO Grants Procurement Specialist prepares the federal clause provisions package and certifications. The solicitation is not advertised until the GCO Manager signs off on the Authorization to Advertise routed with the final Solicitation. The GCO ensures Inclusion (as applicable) of the most current grantor provisions as required by 2 CFR § 200.326 and further described within Appendix II to 2 CFR Part 200 – Contract Provisions for Non-Federal Entity Contracts under Federal Awards. Such provisions include but are not limited to: Lobbying Buy America Davis Bacon Act and DOL Wage Decision Contract Work Hours and Safety Standards Act Rights to Inventions Clean Air Act Bonding requirements (2 CFR Part 200.325) EEO Debarment Environmental Standards Solid Waste Disposal Act, section 6002 General Provisions (Termination) Recovered Materials (2 CFR Part 200.322) Inclusion of contractor certifications Lobbying Certification Debarment Buy America(n) Any required grantor checklists, concurrencies or approvals are on file Unallowed procurement actions are excluded Cost Plus Contract are prohibited Time and Material Constracts - used only after a determination that no other contract is suitable and if the contract includes a ceiling price that the contractor exceeds at its own risk. Brand Names - When it is impractical or uneconomical to make a clear and accurate description of the technical requirements, a “brand name or equivalent” may be used as a means to define the performance or other salient requirements. The specific features of the named brand which must be met by offeror must be clearly stated.” prohibits the use of statutorily or administratively imposed state or local geographic 59preferences in the evaluation of bids or proposals, except in those cases where applicable Federal statutes expressly mandate or encourage geographic preference. Page 1968 of 3896 GRANT PROCUREMENT 60 Once the solicitation is advertised and a contractor is recommendation, a contract is drafted by Procurement for review by GCO and the County Attorney. GCO review verifies Federal clauses are included Contractor certifications and attestations are executed Debarment verification via sam.gov is on file Lobbying Disclosure requires any further action Lobbying Disclosure (2 CFR Part 200.450) All procurement contracts, sub contracts and sub recipient agreements over $100,000 include a Federal Lobbying Certification that requires the prospective vendor to disclose if they engage in lobbying activities. In the event the vendor or subrecipient discloses lobbying activities, the vendor or subrecipient will be required to fill out the Standard Form LLL. If the vendor or applicant has a successful bid or proposal, the LLL form will then be sent to the appropriate federal agency (as required) promptly after receipt and prior to letting or executing any agreements. Informal Solicitations Divisions will procure goods or services under $50,000 or less through either micro-purchase or quotes as prescribed by the PPP. Informal quotations are packaged as a Request for Quote (RFQ) allow the appropriate federal and/or state clauses and certifications to be distributed and addressed. This action is especially important for small construction and repair project subject to the Davis Bacon Act. GCO ensures the same level of review over the elements describe under formal solicitations on page 59. Page 1969 of 3896 61 GRANT REQUISITIONS Divisions will follow PPP to open a requisition. Requisitions using Federal or State grant funds will be workflowed as a Grant Requisition in order for the GCO to perform a review. If a Division does not have an established Grant Requisition Workflow, GCO will work with both the Division and Procurement to implement the workflow. Requisitions with a Formal Solicited Contract For procurements solicited by formal means, required support documentation should already be on file within the SAP procurement record. The Fiscal Buddy or designee who opens the requisition is encouraged to review the SAP record to ensure all support is on file to expedite review and approval. At this point, an Anticipated DBE/MBE/WBE Form may need to be updated by the vendor (IE - work orders). Piggyback contracting is allowed to the extent the agency letting the contract did so in full compliance with grantor procurement requirements and all support documentation is obtained and vetted. It should be noted that County contracts that do not include the required federal or state grantor clauses and proof of debarment check prior to contract execution are considered noncompliant and cannot be used for grant-funded purchases. Requisitions without a Formal Solicited Contract All Grant Requisitions must have the following forms from the Division unless otherwise waived (IE - micro-purchase). ICE – Independent Cost Estimate MOP - Method of Procurement Documentation Sole Source (as applicable) Cost Reasonableness Anticipated DBE Statement (contractor) Conflict of Interest E-Verify (State) Written Grantor Concurrency (as applicable per award conditions) Unallowed procurement actions are excluded as cited in under Formal Solicitations (Page 59) Debarment Check (sam.gov)* o SAM must be conducted by DUNS # on Subrecipients prior to sub-award. o Conduct Vendor verification by DUNS (as possible) to obtain a print friendly version. o Encourage contractors to register for a DUNS; however, non-registration will not prevent contract award. o Verification resulting in a debarred result will be immediately report to GCO, Procurement, and the Federal awarding agency for further action. Page 1970 of 3896 62 GRANT REQUISITIONS The Fiscal Buddy or designee by Division will Verify the above forms are complete prior to processing the requisition Perform as much of the review GCO conducts as possible to assure compliance and expedite processing Enter the Grant Requisition thereby routing the requisition to GCO for review and approval within the SAP established workflow. Notify the assigned GCO Grants Accountant the requisition is ready for review by email. Simply place “REQ 45-XXXXXX Ready for Review” in the subject line Review by GCO staff will vet grant requisitions against grantor contracts to ensure single audit areas of compliance are met that are appropriate to verify at this control point. Reviews will include but are not limited to: Allowed Activity Allowable Cost Account String is appropriate Matching component factored (if required) Within the Period of Performance Required grantor provisions (Federal clauses required within Appendix II to 2 CFR Part 200— Contract Provisions for Non-Federal Entity Contracts under Federal Awards) are included by either o developing a provisions package or Certification of Acceptance of Federal Clauses with the Request for Quotes or o adding required provisions to the “text” field of the Purchase Order Required certifications are successfully completed and on file Non-debarment verification complete (Certification or SAM) Verify SAP procurement record is complete to pass single audit Verify the grant funding is utilized to the maximum availability Verify any special grant requirements have been met, such as NEPA, time and materials has ceiling for expenses, piggyback contract is compliant, etc. Any noncompliance of documentation will result in a rejected requisition for further corrections, documentation and/or analysis. GCO will contact the Division for resolution. Once all documentation is received, the approval process will resume. Page 1971 of 3896 63 GRANT REQUISITION CHECKILIST Item Verification of Audit Trail Formal Soliciation: Soliciation on file SAPPR - Soliciation Soliciation includes Grantor Provisions Exhibit SAPPR - Separate file if not within Solicitation Required Certs on file - see Cert list SAPPR - within Proposal and executed/signed Non Debarment Verification (located at sam.gov) SAPPR - performed by Purchasing Debarment Provision or Grantor Certification SAPPR - Lang in Sol and/or Signed Cert on file Soliciation Results - Bid Tab or Ranking SAPPR - Exeucted Everify SAPPR - Purchasing SOP within proposal/executed Method of Procurement Decision SAPPR - Purchasing to Collect at time of Soliciation ICE - Independent Cost Estimate SAPPR - Purchasing to Collect at time of Soliciation Price/Cost Analysis SAPPR - Purchasing to Collect at time of Soliciation Informal Soliciation: Required Certs on file Certs are executed ICE - Independent Cost Estimate REQ - Collier Form Price/Cost Analysis REQ - Collier Form Sole Source REQ - Collier Form as applicable Grantor Provisions - Construction or nontypical Provided to contract during quote process Grantor Provisions - NonConstruction REQ - GCO copy and paste in "item note" field Debarment Provision or Grantor Certification REQ - Performed by Dept Non Debarment Verification (located at sam.gov) SAPPR - performed by Division Everify (STATE) REQ - Dept to obtain when required Micro: Open and free competition not circumvented Research purchases to date if needed Davis Bacon (Include DOL Wage Determination) Verify Davis Bacon does not apply Price/Cost Analysis REQ - Collier Form Sole Source: Meets grantor definition(s) REQ - Documented to auditable level Change Orders Sole Source - Noncompetitive Form REQ - Documented to auditable level FEDERAL: Price/Cost Analysis on File REQ - Documented to auditable level Other Auditable Checks All Grant Awards / Amendments on Sharepoint Fully Executed Account String Accurate Activity Allowable Sponsor Budget Available Per grantor contract / application Within Period of Availability Executed Grant Contract on file Work Order does not exceed contract expiration Department verifies General Do's and Don'ts No Local Vendor Preference T&M is capped Brand names are not used DBE/Sm Business Anticipated DBE Statement Bidders/Proposals List Small Business Cert (10/1/13) Section Three - Over $200K and Construction Section Three Cert Construction Environmentals (NEPA) documented/performed Grant file has copy Davis Bacon Provision Within soliciation pacakge DOL Wage Determination (Davis Bacon) Must be in soliciation (quote) pacakge EEO Meeting Scheduled or Completed Unique to Program Notice to Proceed from Grantor FHWA (LAP) Letter of Concurrency (Vendor Selected) FDOT (Transit) 11/13/2013 - This a general list of key areas of compliance and is not exclusive. SAPPR - SAP Procurement Record - source documentation maintained within SAP Page 1972 of 3896 64 PROCUREMENT JOB AIDS AND FORMS Several job aids and forms have been developed to ensure compliance is not only met but documented when acquiring goods and/or services with Federal or State grant funding. Job Aids can be found in Appendix D and Forms are provided within Exhibit A. All Current Forms and Job Aids are Maintained on SharePoint Job Aids Grant Procurement Steps – Quick Reference Guide Grant Procurement By Threshold What is an Independent Cost Estimate? Price versus Cost Analysis Forms (In Order of Use) ICE - Independent Cost Estimate MOP – Method of Procurement Sole Source (Grant) Single Response Analysis Cost Reasonableness Price Analysis Cost Analysis Grant Procurement By Threshold Page 1973 of 3896 65 ETHICS AND STEWARDSHIP IN PROCUREMENT The community we do business with is not always ethical. Remember, grant dollars are not your $$$$. YOU need to be a good steward of taxpayer dollars and prove to anyone (the public, the commissioners, your peers, your boss, the newspaper, the taxpayer, Procurement, the grantor agency) that you are a good steward. HOW? By performing an Independent Cost Estimate (ICE) BEFORE you procure and a Cost/Price Analysis AFTER you select your vendor. While Procurement policy does not require obtaining three quotes for purchases under a specific threshold, one way to prove a purchase is reasonable at any dollar threshold is by way of three quotes. This is one best practice to prove price reasonableness. Page 1974 of 3896 66 CASH MANAGEMENT Internal Control: Approval or preparation of all grant draws (reimbursement requests) by the Grants Compliance Office of OMB prior to submittal by the County Division or OMB. Purpose: To provide an additional layer of oversight to ensure draw requests meet grantor compliance and internal control requirements of cash management, segregation of duties and frequency. Methods: Use of standardized draw form when none is provided by grantor General Ledger Reconciliation Report and Checklist SAP ZFI_EXPEN Master Calendar identifies Draws Standardized file format on Sharepoint (Grant File Management Internal Control) Roles: Division: Location: OMB: Grant Compliance Office (GCO) verif amount has factored program income, credits any federal debt expenditures have been paid. Grants Controller to prepare and submit reimbursement request, ensure expenditures are eligible, program income, credits or debt has been applied or factored, expenditures have been paid and segregation of duties is maintained and documented. Sharepoint program income, Page 1975 of 3896 67 CASH MANAGEMENT Draw (Request for Reimbursement) Overview The County draws are executed on a reimbursement basis (unless the grantor has advanced funds) after payment has been processed for goods, services or force labor. Subrecipient pay application requests are also processed reimbursement basis determined by verifying proof of payment support. This process ensures drawdowns of Federal cash are only for immediate needs. Grant agreement conditions are reviewed to ensure compliance with any Treasury agreements. A GL Detail Report is maintained on each grant contract that captures project to date financial activity imported from the County’s Financial System SAP. The report captures all general ledger postings to date. The report also includes the grantors budget as stated in the grantor agreement (including amendments). Pre-award costs that are eligible for reimbursement generally cannot be drawn until an executed agreement is in place. Draws are processed after execution of the grant agreement no later than after the first quarter or the grantors draw schedule, whichever comes first, for pre-ward costs. The GL Detail Reports main function is to serve as an internal control to reconcile or tie expenditures postings to revenues postings. This tool will be used to audit proposed draw amounts. GCO staff will also review all expenditures proposed to be drawn have checks or wires processed to prevent advance reimbursements from occurring. The GCO review also factors any program income earned as defined by the grantor agency as well asany credits or debt owed to the federal agency prior to approving the draw amount and execution. Debts (payback) determined through monitoring by grantor agencies, monitoring of subrecipients or by self-discovery are required to be communicated to the GCO to assist Divisions to properly return grant funds as instructed by the grantor agency and to comply with 2 CFR Part 200.345. A log is maintained to monitor the return funds in the appropriate manner within the required timeframe. After the draw is prepared, Divisions will route the draw request with all support to GCO to approve via email. It is recommended this is done prior to routing to appropriate Divisions staff for review and approval. Segregation of Duties Standard protocol will ensure that the preparer of a draw is not the same person who completes the draw unless there is a documented review and approval by a separate person. In addition, any grantor agency’s draw system requirements for a third person to create and submit a voucher will also be adhered to. GCO ensures segregation of duties is maintained through review, approval, advisements, training and monitoring. Page 1976 of 3896 68 CASH MANAGEMENT Segregation of Duties (Reviews / Approvals) Role Description Division or OMB Preparer May be the submitter with documented review unless otherwise required by grantor. Preparation may be demonstrated by email distribution of the draw package. Division Reviewer At least one Division reviewer is required. Recommend Program or Project Manager of Grant. *If absent, include who you’ve assigned your signature authority to. Authorized Official Approver As required by grantor agency OMB Approver Grants Compliance Office Staff Approval Required. If GCO drafts the draw – another GCO staff member will review. Establish Frequency Draw will be performed at regular intervals and targeted to cover the last day of the established period as posted in SAP and account for any reconciling items posted or to be posted in future periods. Intervals will be established pursuant the binding grant contract and comply with any established grantor deadlines. Grant contracts silent draw deadlines will target draws 30-60 days after quarter end based on staffing availability and workloads. During certain times of year, budget cycles and major annual reporting deadlines create additional workloads. As a result, additional time may become necessary to complete a draw. Grants with timeliness as a condition of award may incur a higher frequency of draws and/or established period adjustment as needed. To the extent possible, draws should coincide to established reporting period data and be completed within 30-60 days after quarter end. A clear-cut off limits risk of drawing on expenditures that have not yet been released for payment. A memorandum to file may be drafted to document draws not completed within the intended timeframe. Collier Fiscal Year Period of Draw Target Completion Date of Draw 10/01 – 12/31 02/15 – 2/28 01/01 – 03/31 04/15 – 4/30 04/01 – 06/30 07/15 – 7/31 07/30 – 9/30 11/15 – 11/30 File Management and Monitoring GCO will monitor that draws are completed timely through review of the Single Audit Grant Files on Sharepoint. The standardized naming file (See IC – Grant File Management) format is conducive and an integral step to performing GCO reviews in the most efficient manner. OMB will assist Divisions staff by sending periodic reminders when draws are due. Page 1977 of 3896 69 CASH MANAGEMENT Remittance Address Collier County Clerk of the Circuit Court Finance Department 3299 Tamami Trail East, Suite 700 Naples, FL 34112-5749 Snapshot Procedure for Divisions 1. Prepare Draw 2. Email draw request to assigned GCO personnel to approve via email. 3. Receive GCO email approval. 4. Route and obtain appropriate Division approvals. 5. Submit draw request to grantor 6. Send executed draw to assigned GCO Accountant or as advised a. GCO Files to Sharepoint or as advised b. GCO logs into Draw Tracking Log (checks full package is on Sharepoint) Page 1978 of 3896 70 DRAW SUPPORT DOCUMENTATION ITEM DESCRIPTION Draw Request Fully Executed Approvals OMB email approval at minimum plus any Division approvals and/or grantor mandated Division approvals GL Report Snap shot of recon detailing expenditure line items SAP Screen Shot Optional if it adds value Formal Grantor Draw System Funds “Status” Screen Shot (if available) (ensure drawn to date balances ties to internal draw requests balances) Screen Shot of Draw Completed – (IE: approved voucher) STANDARDS Single package per draw in the above order. File Name (Complete) REIMB YYYY MM-DD (Abbreviated Grant or Contract Number) DRAW XX File Name (Incomplete) (Draft) REIMB YYYY MM-XX (Abbreviated Grant or Contract Number) DRAW XX Use X’s in the date (2014 11-XX) to indicate draw is incomplete or in draft. Draws are considered incomplete if any part of source documentation is missing. YYYY MM-DD equates to the date draw was executed or submitted. Record draw within Draw Tracking Log and ensure appropriate revenue account string tying to where expenditures are posted. Advise Depts of outstanding source documentation at time of approval (if necessary). Suggested language: Your draw is approved. Please cc me at the time you submit your draw to your grantor agency. If your draw is performed via a federal draw system, provide 1) screen shot(s) of the draw execution and 2) any department approvals within one (1) business day of execution. Page 1979 of 3896 71 DRAW FORM If the grantor agency has not provided a draw request form, Divisions may use the draw request form established by GCO. COLLIERCOUNTY (DEPARTMENTNAME) REQUESTFORDRAWDOWN OFFEDERALFUNDS PROGRAM: Section I GRANTEE INFORMATION: GranteeName: Collier County Person to contact: Phone: (239) 252 2959 Federal TIN No.:59 6000558 Grant Number:Amt. Approved:$0.00 Fiscal Year: Collier 2013 Section II DRAWDOWN INFORMATION: All draw requests must be submitted with supporting documentation. Drawdown RequestNo.: Draw Period: SAP WBSProject No.:Request Type: DRAW OR REVISEDDRAW A. GRANTOR Award/Activity Number B. Award Amount C. Budget Adjustments D. Budget Revised E. Amount Drawn To Date F. Balance Available for Drawdown G. Amount of Drawndown Requested H. Balance Remaining After this Draw $$$$ $$$$ $$$$ $$$$ $$$$ $$$$ $$$$ $$$$ $$$$ $$$$ $$$$ $$$$ $$$$ $$$$ $$$$ $$$$$ TOTAL $$$$$$$ Section III PROGRAM INCOME: Amountof Program Income(PI) received since thedate of the last drawdown: $ Leaving this blank certifies that no Program Income has been received. Section IV EXPENDITURE OF PROGRAM INCOME ON ACTIVITIES ASSOCIATED WITH THIS GRANT: (1) Activity Name (2) GRANTOR Activity No. (3) Budgeted Amount (4) Previously Reported (5) Expended thi s Peri od (6) Total Expenditures (Col. $ Section V GRANTEE APPROVAL: Grantee Certification: I certify to the best of my knowledge that the data above is correct, that the reported amounts agree with the official accounting reports, that all disbursements have been made for the purposes of this grant and that the amount requested is not in excess of current needs. Created by: Typed Name: Date: Authorizing Official Approved by: TypedName: Date: Dept.: Verified/ Approved by: Typed Name:Date: OMB: Verified / Approved by: VIA EMAIL ON FILE Typed Name:Date: Page 1980 of 3896 72 Objective REPORTS The Grants Compliance Office (GCO) will provide an additional layer of oversight (quality control) when Division’s prepare reports required by the grantor by performing a review of the report prior to submission to the grantor agency. Overview All reports (financial and performance) will be submitted by the deadline required of the awarding agency. GCO may advise divisions to obtain written clarification when the first report is due. Pursuant 2 CFR Part 200.238, interim reporting is required for significant developments to federal award agencies. No later than the point of award, reporting requirements are identified and documented within the grant file and GL Detail Report. This determination ensures both fixed and interim reporting occurs as required. The Master Calendar will be updated and a Job Aid or reporting form may be drafted to assist Divisions to maintain compliance. Divisions are expected to communicate significant developments in administering grant programs pursuant CMA 5330 which allows the GCO to assist in monitoring interim reporting requirements. The GCO will reconcile financial data for all financial reports including SF-425 to verify accuracy prior to submittal. The reconciliation process will update and review the General Ledger (GL) Detail Report maintained on each grant contract to reconcile the SAP general ledger against the reported financial amounts. The GL Detail Report is a spreadsheet that captures project to date financial activity from the County’s financial system (SAP) in the same format that Finance provides to the auditors for their review and testing. The report includes all expenditures and revenues posted to date. The report also includes the grantor budget as stated in the grantor agreement budget (including amendments). Any discrepancies are resolved and as necessary documented prior to approval by the GCO Grants Accountant and/or Manager and submittal. In some cases, complex financial reports may be prepared directly by GCO staff. In this case, if the Grants Accountant prepared the report, the Grant Compliance Manager will approve the report or vice versa. Division staff also review the report. Notable Federal Reports The Annual Federal Status Real Property (2 CFR Part 200.329) and Federal Financial Report SF-425 will follow the above procedures. Internal Control – Segregation of Duties The internal control of GCO’s documented review ensures a separate individual other than the preparer has reviewed and approved the report. The GCO ensures roles and responsibilities are segregated during review for preparation and review, as well as submission as grantor electronic submittal systems enforce and as roles or staff changes occur. Page 1981 of 3896 73 REPORT SUPPORT DOCUMENTATION ITEM DESCRIPTION Report Fully Executed Approvals OMB email approval at minimum plus any Division approvals and/or grantor mandated Division approvals GL Report Snap shot of recon detailing expenditure line items for any financial portion of the report SAP Screen Shot Optional if it adds value to financial portion of report – summarize totals by WBS or report category Formal Grantor Submittal System Screen Shot (if available or applicable) for proof of submittal STANDARDS Single package per report in the above order. File Name (Complete) REPORT YYYY MM-DD (Report Name) (Award #) or as established Date YYYY MM-DD equates to the period end date of report period. Use X’s in the date (2014 11-XX) to indicate report is incomplete or in draft. Reports are considered incomplete if any part of source documentation is missing. File report package on Sharepoint within appropriate REPORT folder and change REPORT folder Due Date. Page 1982 of 3896 74 RECLASS OF EXPENDTIURES Objective Maintain the general ledger for each grant contract to accurately reflect allowable and eligible expenditures throughout the life of the grant program or project. Cause During management of grant programs and projects, it may be necessary to reclass expenditures based on grantor amendments, advisements, changes in program/project status or inadvertently errors in account string coding. Process The Grants Compliance Office or Division may prepare journal entries to maintain the accuracy of the general ledger through the use of the JE Request Form. The form requires a short explanation for the request and will include any support such as a screen shot from the financial system (SAP) of the original entry to be amended. For any payroll expenditures, a revised timesheet shall be required to be processed through Human Resources unless the reclass is between funds within the same project number or otherwise approved in special circumstances. In cases where a journal entry is allowed, the GCO office will prepare and submit the request. All journal entries will be submitted by GCO to the Clerk of Courts Finance Department for posting. The Clerk of Courts Finance Department may prepare and post journal entries (statistical or otherwise) as deemed necessary for preparation of financial statements to maintain compliance with GAAP, GASB, any other applicable regulations, Florida Statute or as recommended by the independent auditor. These entries are considered customary and not reviewed by GCO prior to posting. These types of entries will be reviewed through regular monitoring of the general ledger. Page 1983 of 3896 75 ASSET MANAGEMENT Capital Asset Overview: Collier County owned tangible or intangible assets with a value over $,000 and a useful life of more than one year unless the item is used to repair or maintain existing property. If repair or maintenance expands capacity or increases the value of the old property, the repair is considered an improvement and is treated as a capital asset. Capital assets include land, buildings, water and sewer systems, equipment, vehicles, roads and library books. Shipping and freight related to assets should be added to the value of the asset in the appropriate capital commitment item. What do we NOT capitalize? Maintenance Repairs Carpet or tile replacement, “off the shelf” software Training Warranties maintenance agreements Licenses Consumables Grant Funded State and Federal Thresholds may be different than Collier County local policy. Coordinate with the GCO how to handle in grant applications budgets and appropriation once awarded. Acquisitions Make sure to use account assignment A (or W for IT equipment) on cost center asset requisitions. Those requisitions route to our (Clerk’s Finance) asset team for review. These requisitions must be set up to purchase “Quantity at Unit Price”. For example: 2 @ $,500.00 instead of ,000 @ $1.00. For assets acquired in a project, the (Clerk’s Finance) asset accountants will create the asset record upon receipt of an asset form and verification of transaction in SAP. ible assets with a value over $,000 Page 1984 of 3896 76 ASSET MANAGEMENT Capital Commitment Items The list of commitment items for capital budgeting/assets has been revised and limited. Any capital item to be budgeted will use one of the following commitment items. OMB Budget Instruction Handbook is a resource for additional detail about commitment items and estimating budgets. 761100 LAND, EASEMENTS AND RIGHT OF WAY 762200 BUILDING IMPROVEMENTS Improvements that extend the useful life of a building or increases the value of the building such as storm shutters and structural changes. 762500 INFRASTRUCTURE Items such as roads, bridges, sewers, street lights, drainage systems and sidewalks. 762600 BEACH RENOURISHMENT 763100 IMPROVEMENTS GENERAL Items such as fences, parking lots, median landscaping and irrigation systems. 764110 AUTOS AND TRUCKS 764220 RADIOS AND RADIO EQUIPMENT 764400 MARINE EQUIPMENT AND BOATS 764700 HISTORICAL ARTIFACTS 764900 DATA PROCESSING EQUIPMENT 764950 SOFTWARE GENERAL 764990 OTHER MACHINERY AND EQUIPMENT 766100 BOOKS PUBLICATIONS – LIBRARY 766200 BOOKS AV AND NON-BOOK – LIBRARY Good Receipts Goods receipts must be done at the time the goods are received by the department. The date of the goods receipt becomes the date the asset is placed in service and will impact when depreciation begins. Donations to Collier County Be sure to submit an asset form for any item donated. This includes land, equipment, historical artifacts and assets received via developer contributions. Supporting documentation for the value of the donated item must also be sent to Finance. Page 1985 of 3896 77 ASSET MANAGEMENT Transfers Transfers of assets from one cost center to another require approval of both the donating and receiving cost center. Dispositions Disposing of any asset must be approved in advance by the property custodi`an and County Procurement. This includes donating property to another agency. If property is stolen, a police report must be filed. A copy of the report is to be submitted to Procurement with a completed asset form. Procurement will send the documentation to Finance once approved. Assets purchased with grant funding may not be disposed of without approval from the grantor agency required 2 CFR Part 200.313 isposition instructions must be garnered from the Federal awarding agency prior to disposition. The managing Division will GCO staff prior to disposition of grant funded assets to determine federal compliance with disposition. Grantor agencies that provide more restrictive disposition provisions will be followed. Specifically, funds purchased with Florida Department of Transportation funding including pass-through federal funding for transit vehicles and/or equipment will follow the Useful Life Process as outlined in the 2019 State Management Plan (or most recently published version) under the Vehicle Inventory Release and Transfer Process Section. Useful life standards are outlined at http://www.tripsflorida.org/contracts.html. In addition, residual inventories of unused supplies with a value greater than $5,000 funded by federal grant funding must be reported and compensated to the Federal government for its share of unused inventory. or receive written instruction of how to handle such inventories (2 CFR Part 200.314). The managing Division will coordinate with GCO staff to further assist meeting compliance as necessary. Physical Inventory Physical inventory is conducted once each fiscal year by the Clerk of Courts Finance Office. Instructions for completing inventory are sent to asset custodians at least once during the year. Asset Information in SAP ZFI_ASSET_LIST - Main asset report that shows asset, fund, cost center or WBS, description, physical location, custodian, acquisition date, acquisition amount, accumulated depreciation and net book value. This report can be run by custodian name, fund, cost center or WBS. ZFI_AS02 - Main asset record display transaction used to lookup information for a specific asset number. This is also the transaction used to update the condition and physical location fields. ZFI_ASSET_RET - Report for assets that have been disposed for the selected date range. AW01N - This transaction sows the detailed transactions for asset values. Actual and projected depreciation amounts are also shown. Assets purchased with grant funding may not be disposed of without approval from the grantor agencyAssets purchased with grant funding may not be disposed of without approval from the grantor agency required 2 CFR Part 200.313 isposition instructions must be garnered required sposition instructions must be garnered from the Federal awarding agency prior to disposition.The managing Division will of grant funded assets to Federal awarding agency prior to disposition The managing Division will GCO staff prior to disposition determine federal compliance with disposition. grantpriordisposition compliance disposition. Page 1986 of 3896 78 DAVIS BACON ACT COMPLIANCE General Protocols The Grants Compliance Office assists Divisions to understand and carry out monitoring of construction activities with over $2,000 of labor to ensure the Davis Bacon Act requirements are met. The following key controls point may be developed for individual grant programs. Appendix X identifies the key control points and procedures for individual grant programs. GCO reviews the solicitation prior to advertisement to verify inclusion of DBA provisions and the correct DOL Wage Determination GCO reviews the contract prior to execution to verify inclusion of DBA provisions and the correct DOL Wage Determination A Pre Con meeting is held with the Grants Compliance Office in attendance to set expectations for the third party vendor to meet compliance. A Pre Con Script may be developed to provide DBA compliance guidelines. The Pre Con identifies points of contact for the Prime and Collier County regarding certified payroll submittals. A EEO/DBA Tracking Summary workbook is developed to monitor timely submittal, compliance issues and corrective actions of certified payrolls. A Payroll Tab is maintained for the Prime and each Subcontractor. A State of Pay Record form is utilized to be filled out by the Prime and each Subcontractor to determine when certified payrolls may be due. A Sublet form is used to identify all Subcontractors and required to be revised by the Prime when additional Subcontractors are added or removed from the project. Grantor DBA Handbook are used as resource to manage compliance. Certified payrolls are date stamped to prove time of receipt. Certified payrolls are reviewed for compliance against the applicable DOL Wage Determination. Designated staff are assigned to perform periodic Labor Interviews. Files are created in a consistent format and a shared access point for both the Division and GCO to review and maintain support. Any noncompliance communicated in a written format is maintained. Third Party pay applications may be rejected if for substantial noncompliance. Final retainage is not released until the Prime and its Subcontractors are in compliance with Davis Bacon requirements. Staff attend available DBA trainings as available or if required by the granting agency. Page 1987 of 3896 79 GRANTOR MONITORING (External Agency Reviews of BCC Grant Awards) Internal Control: The GCO Manager will review all monitoring reviews to evaluate risk, inform upper management of concerns and develop or oversee and monitor corrective action plans. Purpose: To reduce risk of noncompliance and address problematic areas timely. Methods:Periodic Reminder Monitoring Internal Control Timeline: Target within three (3)business days of receipt Roles: Divisions retain the lead with grantor agencies except in development and responses to single audit reviews. Location: Sharepoint Overview Division staff will remain the lead point of contact to coordinate any external monitoring outside of the annual single audit. All monitoring activities shall be noticed by the Division to the Grants Compliance Office Manager with a target of three (3) business days. Monitoring activities may be in the form of a formal (on site team of monitors) or informal (desk monitoring, project site walk through) review; occur before, during or after a grant award; and entail reviews of administration, programmatic, financial or a specific compliance area. Monitoring activities can occur as part of a formal closeout of a grant award or even as a risk assessment. Reviews may also be performed by the Clerk’s Internal Audit Department. Documents to be forwarded but not limited to: Notice Entrance and Exit Interview Times and Dates Draft Results Report/Results Responses (if required) Final Closeout (if any) The GCO manager will assess reviews including noncompliance risk of any recommendation and findings and may direct staff in resolution, amend current protocols, and create new protocols to remedy noncompliance or strengthen current practices to reduce risk. The GCO Manager will inform upper management of compliance impacts such as changes in funding including local commitments, human resource and training needs, and internal controls. Page 1988 of 3896 80 GRANTOR MONITORING Response Responses and corrective action plans will generally be developed by the Division for review by the GCO Manager before submittal to the review agency. GCO may develop responses in whole or in part especially in administrative or financial areas. The final response as submitted to the agency will be provided to GCO. It is recommended the GCO Manager be copied on the submittal. In the case of the annual single audit report, GCO will be the lead to develop responses and review all responses with appropriate Division management prior to submittal. Post Corrective Action Plan Monitoring (if applicable) GCO will monitor Division’s carry out corrective actions as stated in monitoring responses through request of support documentation and/or status updates. Communication Monitoring’s are required to be shared with the independent audit firm hired to complete the annual single audit. Clerk of Courts Finance (Finance) is the point of contact with the hired firm. The GCO Manager will share source documents through Sharepoint. Upon receipt of documents or notices, the Monitoring Log will be updated, and any support placed on file within the Monitoring folder and a notice sent to via email to Finance. The GCO Manager meets on a regular basis throughout the year with the County Manager, Deputy County Manager and OMB Director to share monitoring. Internal evaluations of the County’s compliance environment are reviewed to assess risk due to human resource changes, local, state and federal policy changes, report of fraud and potential fraud, as well as the ratio of grant applications/awards to staffing. Page 1989 of 3896 81 SUB RECIPIENT SINGLE AUDIT MONITORING 2 CFR Part 200 Subpart F) Internal Control: Implement use of the Annual Audit Monitoring Report Form process to ensure subrecipients comply with OMB Circular 133/2 CFR Part 200 Subpart F and Florida Single Audit Act (Section 215.47) requirements. Purpose: To ensure and document Subrecipients comply with single audit compliance through monitoring. Methods: External Annual Audit Monitoring Report Form Internal Annual Audit Review Form Written Internal Control and Procedure Monitoring Schedule of Subrecipients Standardized file format and shared location on Sharepoint Timeline: Monitoring is completed annually by the Department. Roles: Establish Department point of contract (POC) to obtain required information, and to maintain Monitoring Schedule and file documentation in designated location and format. First Review: CHS Division Final Review: OMB Grants Compliance Manager OR OMB Grants Accountant Location: Sharepoint – Monitoring OMB 133 Folder http://sp16/sites/Grants/PostAwardGrantDocs/Forms/AllItems.aspx?RootFolder=%2Fsit es%2FGrants%2FPostAwardGrantDocs%2FPublic%20Services%2FCHS%20Housing%20Co mm%20Services%2FSUBRECIPIENTS%2FMONITORING%202%20CFR%20Part%20200%20 %2D%20Subpart%20F&FolderCTID=0x012000C2341C22D1EFDE4CA0A0762D1933818D& View=%7BF562CA65%2D7133%2D451A%2DA38B%2D4CF8CC718D81%7D Page 1990 of 3896 82 SUB RECIPIENT SINGLE AUDIT MONITORING 2 CFR 200 Subpart F Process The Division POC will maintain a Monitoring Schedule of Subrecipients to track active subrecipient agreements, contact information, fiscal year life cycles and documentation of compliance with single audit requirements. OMB will develop forms, an internal control and a written process for OMB 133 Subrecipient Monitoring. Two forms have been developed. An External Annual Audit Monitoring Report Form for the subrecipient to complete for the Division to ascertain whether or not a single audit was required. The External form will be an exhibit to each Subrecipient award executed after October 1, 2012. The External form is required to be filled out on an annual basis. If the subrecipient fails to submit an External Form with their annual documentation submittals or the External Form is completed incorrectly, this will not delay, hinder or preclude the Internal Review Form completion to maintain compliance. An Internal Annual Audit Review Form will be completed by OMB. The Internal form will serve as documentation of monitoring and review of the Subrecipients required submission and compliance. OMB will provide training as requested by the Department POC and/or Department management in use of the External and Internal forms and overall process. File Setup and Structure Division POC will create a folder for each Sub Recipient. The folder name will be based on the date the monitoring documentation was collected and the Sub Recipients name. Each folder will hold the External Form, the audit and/or financial statements, and the Internal Form. Individual Subrecipient >MONITORING OMB 133>YYYY MM-DD (SR Name) The OMB Manager or assigned OMB Grants Accountant will review the documentation, approve and make a final determination of further action required (FAR) or no further action (NFA). The individual subrecipient (SR) folder file name will be revised with FAR or NFA as the last three letters of the file name. NFA Determination The folder will be placed in the appropriate FY END MM-DD folder. Only SR folders that reach a NFA status will be placed in the FY END folder and considered complete. FAR Determination The individual folder will not be moved in the FY END folder, and the Division will review and perform the recommendation actions. Page 1991 of 3896 83 SUB RECIPIENT SINGLE AUDIT MONITORING 2 CFR 200 Subpart F Both the Division and OMB will periodically review files and take actions outlined above as necessary. OMB will complete a final determination to ascertain if a single audit was required and compliance was met, review the subrecipients required document submittals to ascertain if material weaknesses or deficiencies were found, and if any material noncompliance requires further action. Further action will either be developed by the Division or OMB with final approval by OMB. Page 1992 of 3896 84 SUB RECIPIENT PROGRAM MONITORING County Divisions will be responsible for developing detailed written procedures to meet the requirements of 2 CFR Part 200.331 when subawarding Federal grant funds and acting as pass-through entity. Written procedures will be in place prior to execution of a subaward. At minimum the following elements will be addressed in each sub award and subsequent modification: 1.Sub Award Information a)Subrecipient name b)(Subrecipient's unique entity identifier; c)Federal Award Identification Number (FAIN); d)Federal Award Date of award to the recipient by the Federal agency; e)Subaward Period of Performance Start and End Date; f)Amount of Federal Funds Obligated by this action by the pass-through entity to the subrecipient; g)Total Amount of Federal Funds Obligated to the subrecipient by the pass-through entity including the current obligation; h)Total Amount of the Federal Award committed to the subrecipient by the pass-through entity; i)Federal award project description, j)Name of Federal awarding agency, pass-through entity, and contact information for awarding official of the Pass-through entity; k)CFDA Number and Name; l)Identification of whether the award is R&D; and m)Determination if an Indirect cost rate is applicable 2.All applicable Federal statutes, regulations and terms and conditions of the Federal award 3.Any additional requirements of Collier County including any financial and performance reports 4.An Indirect Cost Rate (if applicable) 5.Terms to allow access to the sub recipient records by auditors and the County 6.Closeout terms and conditions The County’s Community and Housing Services Division is the County leader in sub-awards with written processes supporting monitoring plans, subrecipient applications and grievance procedures. Page 1993 of 3896 85 RISK ASSESSMENT The Grant Compliance Office assesses risk in management of individual Federal and State grant programs awarded to the County through a tool called the Quick Compliance Guide. Individual Divisions managing Federal pass-thru funds have written risk assessment tools for subrecipients. Overall, GCO relies on the Committee of Sponsoring Organizations of the Treadway Commission (COSO) as a guide to assess the County’s internal control systems including the assessment of risk. The COSO framework defines internal control as a process, effected by an entity’s board of directors, management and other personnel, designed to provide "reasonable assurance" regarding the achievement of objectives in the following categories: •Effectiveness and efficiency of operations •Reliability of financial reporting •Compliance with applicable laws and regulations. The COSO internal control framework consists of five interrelated components derived from the way management runs a business. According to COSO, these components provide an effective framework for describing and analyzing the internal control system implemented in an organization as required by financial regulations. The five components as follows describe the County’s administrative management of Federal and State grants. Control Environment Collier County’s Office of Management and Budget (OMB) has a dedicated staff under the Office of Grant Compliance (GCO) which oversees the administrative compliance of the Federal and State grant funding. GCO work with Divisions managing grants to ensure both County policies and procedures and grantors administrative requirements are met. Grant awards and related grant required actions are submitted to the Collier County Board of County Commissioners (BCC) for approval through the agenda software requiring reviews by appropriate Division staff, Department leadership, the County Attorney and Procurement Services-as applicable.Budgets are appropriated at the time of award within the SAP Grants Management System unless otherwise waived. OMB staff have been assigned to the Division and/or Department to provide grant administrative compliance functions and assistance. Individual Divisions assign both fiscal and program staff to manage the fiscal and program components of grant programs. Division staff report to Division Managers/Directors/Administrators. Divisions are responsible for operations, capital project oversight and implementation of grant programs or projects. All Divisions staff are expected to understand grantor requirements and use available grantor and County resources. GCO provides day to day administration and monitoring at a customized level of assistance as necessary dependent upon Division size.GCO is sought for advisement to mitigate compliance risks and/or develop corrective actions. The County maintains a written Code of Conduct. Grant agreements, federal circulars, Uniform Grants Guidance (2 CFR Part 200), federal registers and circulars, grantor handbooks provide guidelines of the eligible activities and identifies what types of expenditures are reasonable or not. The Compliance Supplement and grant agreement provides for major compliance areas. Expenditures are approved Page 1994 of 3896 86 Risk Assessment Control Activities The County has a written Grant Administrative Handbook and may develop job aids as necessary to support compliance. Divisions may maintain written procedures for larger grant programs that require nonstandard program and/or administrative requirements. GCO reviews Divisions procedures as requested. The GCO Manager, GCO staff and Division staff monitor changes in grantor requirements. Segregation of duties is maintained by written internal controls and financial system accesses and workflows. Physical inventories are conducted annually and facilitated by the Clerk. The BCC generally meets twice per month and approves all grant applications, awards, appropriations, major amendments and any other documents as required by the grantor agency. Information and Communication by Division staff per the guidelines stated in the Control Activities of the Allowable Costs Section. SAP financial system workflow allows for the Managing Division, Purchasing and GCO to review/approve requisitions. The County Clerk is responsible for processing and releasing disbursements. GCO has written procedures and internal controls established in the County’s Grants Administrative Handbook. The County’s GCO establishes relationships with Division personnel managing grant programs. The County has a dedicated Grants Compliance Office to support Departments in administrative management of grants by the establishment of countywide protocols, identification and mitigation of noncompliance (potential or otherwise) and the cultivation of environment focused on successful compliance throughout the organization. The County’s financial system has a grants management module that allows project accounting for each grant award. Grant personnel have an understanding of allowable and unallowable activities per the OMB Circulars/UGG, Code of Federal Regulations and grant contract. Division personnel are dedicated to attend grantor trainings, follow established County procedures and coordinate with GCO to maintain grant compliance. GCO prepares Compliance Guides on grant programs to identify major compliance areas and assess County resources required to manage grant program successfully. The Guide is reviewed with pertinent staff and used to assign staff responsibilities, identify key compliance areas and deadlines. The guide also ensures segregation of duties, County protocols and internal controls as well as grantor requirements are understood. GCO offers individualized training as well. All County staff and the Clerk of Courts have access to grant agreements, amendments, support documentation, federal circulars, UGG and regulations via Sharepoint. The GCO Manager or assigned staff regularly meet with Divisions to monitor grant programs progress and activities to mitigate risk and ensure administrative requirements are met, as well as monitor that program compliance is on target. The County Manager Agency (CMA 5330) Grant Coordination procedure requires Divisions to communicate grant actions to the GCO as well as defines required Board approvals in grants management. The County Manager Agency (CMA 5311) Code of Ethics has an anti-fraud procedure. The County has implemented a web-based platform called Collier University to provide training and obtain employee attestations of CMA's.GCO reviews all grantor reports and draws by established means and monitors that deadlines are met.Divisions notify GCO of any Page 1995 of 3896 87 Monitoring The County’s GCO SharePoint site allows monitoring of grant contracts.A masterlist or log is maintained of grant awards, grant setups, draws, budget amendments, and external monitoring. GCO maintains a reconciliation of expenditures to revenues for each grant contract and uses this to review draws, financial reports, approve requisitions and advise Divisions as needed. The Clerk of the Court performs an audit of submitted expenditures before payment is made. The Clerk employs an Internal Audit Department. GCO personnel perform reviews and oversight through approval of applications and awards through Agenda software system, draw requests, reports, general ledger reconciliations, grant funded procurement solicitations and requisitions. Division staff monitors financial and grant activities through review of requisitions, grant scope, grant budgets, change orders, to ensure costs are allowed before processing/approving expenditures. Grantor monitoring’s are required to be communicated to GCO through both the CMA 5330 and Grants Administrative Handbook. Grantor monitoring’s are communicated to GCO and results are shared with upper management. Required corrective actions are developed, monitored and implemented. Divisions which pass through sub awards have written procedures to monitor subrecipient up to and including specialized monitoring units. monitoring performed by grantor agencies, as well as results and plan corrective actions (if necessary) with GCO. GCO conveys monitoring results to upper management and the Clerk who coordinates the Single Audit. Page 1996 of 3896 88 PERSONALLY IDETNIFIABLE INFORMATION (PII) The County maintains compliance with personally identifiable information (2 CFR Parts 200.79 and 200.82) requirements through CMA 5405 Computer Technology Use under the Section I Regulated Data. Divisions managing grants with PII shall ensure compliance and may contact either GCO or IT to determine appropriate actions to safeguard Protected PII. §200.79 Personally Identifiable Information §200.82 Protected Personally Identifiable (PII) Information (Protected PII) means information that can be used to distinguish or trace an individual’s identity, either alone or when combined with other personal or identifying information that is linked or linkable to a specific individual. Some information that is considered to be PII is available in public sources such as telephone books, public Web sites, and university listings. This type of information is considered to be Public PII and includes, for example, first and last name, address, work telephone number, email address, home telephone number, and general educational credentials. The definition of PII is not anchored to any single category of information or technology. Rather, it requires a case-by-case assessment of the specific risk that an individual can be identified. Non-PII can become PII whenever additional information is made publicly available, in any medium and from any source, that, when combined with other available information, could be used to identify an individual. means an individual’s first name or first initial and last name in combination with any one or more of types of information, including, but not limited to, social security number, passport number, credit card numbers, clearances, bank numbers, biometrics, date and place of birth, mother’s maiden name, criminal, medical and financial records, educational transcripts. This does not include PII that is required by law to be disclosed. (See also § 200.79 Personally Identifiable Information (PII)). Page 1997 of 3896 89 INFORMATION TECHNOLOGY The County’s CMA 5405 Computer/Technology Use applies to federal awards and outlines the County’s procedures to safeguard against improper modification or destruction of IT systems as well as maintaining controls to continually evaluate for internal and external threats to the system. Section G – Data Management addresses the safeguarding against the alteration of data records which includes any data related to Federal awards as required by 2 CFR §200.335. Page 1998 of 3896 90 CONFLICTS OF INTEREST The County’s CMA 5311 Code of Ethics and Anti-Fraud outlines the County’ conflicts of interest policy. The managing Division of the grant award will disclose any potential or actual conflicts of interest in writing to the Federal awarding agency or pass through entity as well as notice the Grants Compliance Office to maintain compliance with 2 CFR Part 200.112. In addition, the Collier Procurement Manual Sections 7 and 27 addresses Conflict of Interest with Third Party Vendors and applies when procuring goods and service with federal awards. Page 1999 of 3896 91 FRAUD The County’s CMA 5311 Code of Ethics and Anti-Fraud outlines the County’s procedures involving fraud, bribery or gratuity violations and are applicable to federal and state grant awards. The managing Division of the grant award will disclose any potential or actual fraud in writing to the Federal awarding agency or pass through entity as well as notice the Grants Compliance Office to maintain compliance with 2 CFR Part 200.113. The Corporate Compliance and Internal Review Divisions (CCI) under the County Manager’s Office has implemented a Fraud Hotline and Fraud Risk Assessment in conjunction with COSO Principle 8, and a Process Improvement Valuation Pilot Program. Additionally, staff has provided consulting services throughout the Agency to support mitigation of risk to critical business functions. Background CCI collaboratively facilitates the design, development, implementation, monitoring, and management of the Internal Controls Program throughout Collier County Government. The internal controls framework was adopted by the Agency in alignment with the Federal Government and the Committee of Sponsoring Organizations (COSO). The Division continues to leverage Comensure, a cloud-based software, to actively manage the internal controls program. The staff facilitates certification of internal controls and provides ongoing communication through quarterly reviews to directors and department heads. Quarterly reviews provide leadership with the timeliness of certification, quality of testing, analysis of controls, new process improvements, and remediation actions for the division. Page 2000 of 3896 Page 2001 of 3896 Page 2002 of 3896 Page 2003 of 3896 Page 2004 of 3896 Page 2005 of 3896 Page 2006 of 3896 Page 2007 of 3896 Page 2008 of 3896 Page 2009 of 3896 Page 2010 of 3896 Page 2011 of 3896 Page 2012 of 3896 Page 2013 of 3896 Page 2014 of 3896 Page 2015 of 3896 Page 2016 of 3896 Page 2017 of 3896 Page 2018 of 3896 Page 2019 of 3896 Page 2020 of 3896 Page 2021 of 3896 Page 2022 of 3896 Page 2023 of 3896 Page 2024 of 3896 Lobbying, Debarment, and Drug Free Workplace Certification Page 1 of 2 rev. 07/25 Instructions: Before completing this form, applicants should refer to the regulations cited below to determine which certifications are required. Using this form, applicants may certify their compliance with the following requirements: 28 CFR Part 69, “New Restrictions on Lobbying;” 28 CFR Part 67, “Government-wide Debarment and Suspensions (Non-procurement);” and 28 CFR 83, “Government-wide Requirements for Drug Free Workplace (Grants),” as applicable. The certifications attested to on this form shall be treated as a material representation of fact and will be relied upon as such when Criminal Justice Grants makes award determinations for a covered transaction, grant, or cooperative agreement. 1.Lobbying As required by Section 1352, Title 31 of the U.S. Code, and implemented at 28 CFR Part 69, for persons entering into a grant or cooperative agreement over $100,000, as defined at 28 CFR Part 69, the applicant certifies that: a)No federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any agency, a member of Congress, an officer or employee of Congress, or an employee of a member of Congress in connection with the making of any federal grant, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any federal grant or cooperative agreement. b)If any funds other than federal appropriated funds have been paid or will be paid to influence an officer or employee of any agency, a member of Congress, an officer or employee of Congress, or an employee of a member of Congress in connection with this federal grant or cooperative agreement, the undersigned shall complete and submit Standard Form LLL – “Disclosure of Lobbying Activities”, in accordance with its instructions. c)The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subgrants, contracts under grants and cooperative agreements, and subcontracts) and that all subrecipients shall certify and disclose accordingly. 2.Debarment, Suspension and Other Responsibility Matters As required by Executive Order 12549, Debarment and Suspension, and implemented at 28 CFR Part 67 - a)The applicant certifies that it and its principals: i.Are not presently debarred, suspended, proposed for debarment, declared ineligible, sentenced to a denial of federal benefits by a State or Federal court, or voluntarily excluded from covered transactions by any federal department or agency; ii.Have not within a three-year period preceding this application been convicted of or had a civil judgement rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public transaction; violation of Federal or State antitrust statutes or commission of embezzlement, theft forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property; iii.Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity (Federal, State, or local) with commission of any of the offenses enumerated in paragraph (a)(ii) of this certification; and iv.Have not within a three-year period preceding this application had one or more public transactions (Federal, State or local) terminated for cause or default. b)Where the applicant is unable to certify to any of the statements in this certification, he or she shall attach an explanation to this application. 3.Drug Free Workplace As required by the Drug-Free Workplace Act of 1988, and implemented at 28 CFR Part 67, Subpart F, as defined at 28 CFR Part 67 Sections 67.615 and 67.620 – a)The applicant certifies that it will or will continue to provide a drug-free workplace by: Criminal Justice Grants LOBBYING, DEBARMENT, AND DRUG FREE WORKPLACE CERTIFICATION Email completed form to: CJgrants@fdle.state.fl.us OCJG-001 Page 2025 of 3896 Lobbying, Debarment, and Drug Free Workplace Certification Page 2 of 2 rev. 07/25 i.Publishing a statement notifying employees that the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance is prohibited in the subgrantee’s workplace and specifying the actions that will be taken against employees for violation of such prohibition; ii.Establishing an on-going drug-free awareness program to inform employees about – 1)The dangers of drug abuse in the workplace; 2)The subgrantee’s policy of maintaining a drug-free workplace; 3)Any available drug counseling, rehabilitation, and employee assistance programs; and 4)The penalties that may be imposed upon employees for drug abuse violations occurring in the workplace. iii.Making it a requirement that each employee to be engaged in the performance of the grant be given a copy of the statement required by paragraph (i); iv.Notifying the employee in the statement required by paragraph (i) that, as a condition of employment under the grant, the employee will – 1)Abide by the terms of this statement; and 2)Notify the employer in writing of his or her conviction for a violation of criminal drug statute occurring in the workplace no later than five (5) calendar days after the conviction. v.Notifying the agency, in writing, within ten (10) calendar days after receiving notice under subparagraph (iv)(2) from an employee or otherwise receiving actual notice of such conviction. Employers of convicted employees must provide notice including position title to: Florida Department of Law Enforcement, Bureau of Criminal Justice Grants, P.O. Box 1489, Tallahassee, FL 32302-1489. Notice shall include the identification number(s) of each affected grant. vi.Taking one of the following actions within thirty (30) calendar days of receiving notice under subparagraph (iv)(2), with respect to any employee who is convicted – 1)Taking appropriate personnel action against such an employee, up to and including termination, consistent with the requirements of the Rehabilitation Act of 1973, as amended; or 2)Requiring such employee to participate in a drug abuse assistance or rehabilitation program approved for such purposes by a Federal, State, or local health, law enforcement, or other appropriate agency. vii.Making a good faith effort to continue to maintain a drug-free workplace through implementation of paragraphs (i) through (vi). b)The subgrantee may insert in the space provided below the site(s) for the performance or work done in connection with As the duly authorized representative of the applicant, I hereby certify that applicant will comply with the following certifications: Certification Regarding Lobbying (required for applications over $100,000) Certification Regarding Debarment, Suspension and Other Responsibility Matters (required for all applicants) Certification Regarding Drug-Free Workplace (required for state agency applications) Title: Date: Recipient: Printed Name: Signature: Application ID Number: Criminal Justice Grants LOBBYING, DEBARMENT, AND DRUG FREE WORKPLACE CERTIFICATION Email completed form to: CJgrants@fdle.state.fl.us OCJG-001 Page 2026 of 3896 DISCLOSURE OF LOBBYING ACTIVITIES Approved by OMB Complete this form to disclose lobbying activities pursuant to 31 U.S.C. 1352 0348-0046 (See reverse for public burden disclosure.) 1. Type of Federal Action: 2. Status of Federal Action: 3. Report Type: a. contract a. bid/offer/application a. initial filing b. grant b. initial award b. material change c. cooperative agreement c. post-award For Material Change Only: d. loan year _________ quarter _________ e. loan guarantee date of last report ______________ f. loan insurance 4. Name and Address of Reporting Entity:5. If Reporting Entity in No. 4 is a Subawardee, Enter Name and Address of Prime: Tier ______, if known : Congressional District , if known : Congressional District, if known : 6. Federal Department/Agency:7. Federal Program Name/Description: CFDA Number, if applicable : _____________ 8. Federal Action Number, if known :9. Award Amount, if known : $ 10. a. Name and Address of Lobbying Registrant b. Individuals Performing Services (including address if (if individual, last name, first name, MI ):different from No. 10a ) (last name, first name, MI ): 11.Signature: Print Name: Title: Telephone No.: _______________________ Date: Authorized for Local Reproduction Standard Form LLL (Rev. 7-97) Information requested through this form is authorized by title 31 U.S.C. section 1352. This disclosure of lobbying activities is a material representation of fact upon which reliance was placed by the tier above when this transaction was made or entered into. This disclosure is required pursuant to 31 U.S.C. 1352. This information will be reported to the Congress semi-annually and will be available for public inspection. Any person who fails to file the required disclosure shall be subject to a civil penalty of not less that $10,000 and not more than $100,000 for each such failure. Prime Subawardee Federal Use Only: Page 2027 of 3896 INSTRUCTIONS FOR COMPLETION OF SF-LLL, DISCLOSURE OF LOBBYING ACTIVITIES 1. Identify the type of covered Federal action for which lobbying activity is and/or has been secured to influence the outcome of a covered Federal action. 2. Identify the status of the covered Federal action. 3. 4. 5. If the organizationfiling the report in item 4 checks "Subawardee,"then enter the full name, address, city, State and zip code of the prime Federal recipient. Include Congressional District, if known. 6. Enter the nameof the Federalagencymaking the awardor loan commitment.Include at least one organizationallevelbelowagencyname,if known.For example, Department of Transportation, United States Coast Guard. 7. Enter the Federalprogramnameor description for the coveredFederalaction (item 1). If known, enter the full Catalogof FederalDomestic Assistance (CFDA) number for grants, cooperative agreements, loans, and loan commitments. 8. 9. For a covered Federal action where there has been an award or loan commitment by the Federal agency, enter the Federal amount of the award/loan commitment for the prime entity identified in item 4 or 5. 10. (a) Enter the full name, address, city, State and zip code of the lobbying registrant under the Lobbying Disclosure Act of 1995 engaged by the reporting entity identified in item 4 to influence the covered Federal action. (b) Enter the full names of the individual(s) performing services, and include full address if different from 10 (a). Enter Last Name, First Name, and Middle Initial (MI). 11.The certifying official shall sign and date the form, print his/her name, title, and telephone number. This disclosure form shall be completed by the reporting entity, whether subawardeeor prime Federal recipient, at the initiation or receipt of a covered Federal action, or a materialchange to a previousfiling, pursuant to title 31 U.S.C. section 1352. The filing of a form is required for each paymentor agreementto make paymentto any lobbyingentity for influencing or attemptingto influence an officer or employeeof any agency,a Member of Congress, an officer or employeeof Congress, or an employeeof a Memberof Congress in connectionwith a coveredFederalaction.Completeall items that applyfor both the initial filing and material change report. Refer to the implementing guidance published by the Office of Management and Budget for additional information. Identify the appropriateclassification of this report. If this is a followup report caused by a materialchange to the information previouslyreported, enter the yearand quarterin which the change occurred. Enter the date of the last previouslysubmitted report by this reporting entity for this coveredFederal action. Enter the full name,address,city, Stateand zip codeof the reportingentity.Include CongressionalDistrict, if known.Check the appropriateclassification of the reportingentitythat designatesif it is, or expectsto be, a primeor subawardrecipient.Identifythe tier of the subawardee,e.g., the first subawardee of the prime is the 1st tier. Subawards include but are not limited to subcontracts, subgrants and contract awards under grants. Enter the most appropriateFederal identifying number availablefor the Federal action identified in item 1 (e.g., Request for Proposal (RFP) number; Invitation for Bid (IFB) number; grant announcement number; the contract, grant, or loan award number; the application/proposalcontrol number assigned by the Federal agency). Include prefixes, e.g., "RFP-DE-90-001." According to the PaperworkReductionAct, as amended,no persons are requiredto respond to a collectionof informationunless it displays a valid OMB Control Number. The valid OMB control number for this information collection is OMB No. 0348-0046. Public reporting burden for this collection of information is estimated to average10 minutes per response, including time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding the burden estimate or any other aspect of this collection of information,including suggestions for reducing this burden, to the Office of Managementand Budget, PaperworkReduction Project (0348-0046), Washington, DC 20503. Page 2028 of 3896 INSTRUCTIONS FOR COMPLETION OF SF-LLL, DISCLOSURE OF LOBBYING ACTIVITIES 1. Identify the type of covered Federal action for which lobbying activity is and/or has been secured to influence the outcome of a covered Federal action. 2. Identify the status of the covered Federal action. 3. 4. 5. If the organizationfiling the report in item 4 checks "Subawardee,"then enter the full name, address, city, State and zip code of the prime Federal recipient. Include Congressional District, if known. 6. Enter the nameof the Federalagencymaking the awardor loan commitment.Include at least one organizationallevelbelowagencyname,if known.For example, Department of Transportation, United States Coast Guard. 7. Enter the Federalprogramnameor description for the coveredFederalaction (item 1). If known, enter the full Catalogof FederalDomestic Assistance (CFDA) number for grants, cooperative agreements, loans, and loan commitments. 8. 9. For a covered Federal action where there has been an award or loan commitment by the Federal agency, enter the Federal amount of the award/loan commitment for the prime entity identified in item 4 or 5. 10. (a) Enter the full name, address, city, State and zip code of the lobbying registrant under the Lobbying Disclosure Act of 1995 engaged by the reporting entity identified in item 4 to influence the covered Federal action. (b) Enter the full names of the individual(s) performing services, and include full address if different from 10 (a). Enter Last Name, First Name, and Middle Initial (MI). 11.The certifying official shall sign and date the form, print his/her name, title, and telephone number. This disclosure form shall be completed by the reporting entity, whether subawardeeor prime Federal recipient, at the initiation or receipt of a covered Federal action, or a materialchange to a previousfiling, pursuant to title 31 U.S.C. section 1352. The filing of a form is required for each paymentor agreementto make paymentto any lobbyingentity for influencing or attemptingto influence an officer or employeeof any agency,a Member of Congress, an officer or employeeof Congress, or an employeeof a Memberof Congress in connectionwith a coveredFederalaction.Completeall items that applyfor both the initial filing and material change report. Refer to the implementing guidance published by the Office of Management and Budget for additional information. Identify the appropriateclassification of this report. If this is a followup report caused by a materialchange to the information previouslyreported, enter the yearand quarterin which the change occurred. Enter the date of the last previouslysubmitted report by this reporting entity for this coveredFederal action. Enter the full name,address,city, Stateand zip codeof the reportingentity.Include CongressionalDistrict, if known.Check the appropriateclassification of the reportingentitythat designatesif it is, or expectsto be, a primeor subawardrecipient.Identifythe tier of the subawardee,e.g., the first subawardee of the prime is the 1st tier. Subawards include but are not limited to subcontracts, subgrants and contract awards under grants. Enter the most appropriateFederal identifying number availablefor the Federal action identified in item 1 (e.g., Request for Proposal (RFP) number; Invitation for Bid (IFB) number; grant announcement number; the contract, grant, or loan award number; the application/proposalcontrol number assigned by the Federal agency). Include prefixes, e.g., "RFP-DE-90-001." According to the PaperworkReductionAct, as amended,no persons are requiredto respond to a collectionof informationunless it displays a valid OMB Control Number. The valid OMB control number for this information collection is OMB No. 0348-0046. Public reporting burden for this collection of information is estimated to average10 minutes per response, including time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding the burden estimate or any other aspect of this collection of information,including suggestions for reducing this burden, to the Office of Managementand Budget, PaperworkReduction Project (0348-0046), Washington, DC 20503. Page 2029 of 3896 Revised 07/18/2025 Page 1 of 5 FDLE GRANT PROGRAM SUBAWARD MANAGEMENT QUESTIONNAIRE (SMQ) Eligible Recipient Name: UEI: OVERVIEW Recipients of federal financial assistance must be able to document compliance with the following sections of the Code of Federal Regulations (CFR) prior to receiving an award: •2 CFR Part 25 – Universal Identifier and System for Award Management Requirements •28 CFR Part 42 – Nondiscrimination; Equal Employment Opportunity, Policies and Procedures •2 CFR §200.300-309 – Standards for Financial and Program Management •2 CFR §200.313 – Equipment (Inventory) •2 CFR §200.318-326 – Federal Procurement Standards •2 CFR §200.331 – Requirements for Pass-through Entities •2 CFR §200.430 – Compensation (Personal Services) INSTRUCTIONS This questionnaire is required for all recipients seeking federal financial assistance from the Florida Department of Law Enforcement (FDLE), Criminal Justice Grants (CJG). The answers on this questionnaire will be reviewed by CJG to evaluate the recipient’s ability to comply with the federal regulations listed above. This questionnaire must be completed and provided to CJG annually with each application. Failure to provide a completed questionnaire at the time of application will result in a withholding of funds condition being placed on your pending award. Please read all questions carefully as they may require coordination with other divisions/bureaus in your agency (i.e. finance, purchasing, human resources, etc.). CONTACT INFORMATION For questions or assistance, contact FDLE’s Criminal Justice Grants at (850) 617-1250 or CJgrants@fdle.state.fl.us. ORGANIZATION POINT-OF-CONTACT Please provide a point-of-contact to coordinate any additional information requests FDLE’s Criminal Justice Grants may have during the review of this questionnaire. Name: Title: Agency: Phone: Email: ********************* FDLE USE ONLY ********************* Score Total: Monitoring Determination: *Subject to change at the discretion of Criminal Justice Grants. Leadership Override: Desk Site Visit Reason: Signature: Date: Page 2030 of 3896 Revised 07/18/2025 Page 2 of 5 SUBAWARD MANAGEMENT QUESTIONNAIRE (SMQ) Section I: General Information 1.Has the eligible recipient been designated high-risk within the past three years by a federal entity or pass-through agency, including FDLE? a.What is the name of the entity that designated your organization as high-risk? b.Describe the reason(s) for the high-risk designation below. 2.Has the eligible recipient received an award from Criminal Justice Grants within the past three years? 3.Has the eligible recipient experienced turnover in key staff positions in the past six months? Key staff positions include Chief Official, Chief Financial Officer, and/or Recipient Grant Manager. 4.Does the eligible recipient retain all award files and records of award purchases for a minimum of five years after award closeout? 5.Does the eligible recipient utilize the E-Verify system to confirm a new employee’s employment eligibility as required by Section 448.095(2), Florida Statutes? Section II: Audit Information You may wish to consult with your agency’s Finance department to complete this section. Select the fiscal year of the eligible recipient’s most recently completed Comprehensive Annual Financial Report (CAFR). Review the Schedule of Findings within the audit for the fiscal year named above. Did the auditor: a. Express a qualified or modified opinion? b.Note any material weaknesses and/or significant deficiencies? Has a Single Audit Certification form for the fiscal year named above been completed? If “yes”, upload a copy with SMQ attachments in AmpliFund. Has the eligible recipient verified the audit above has been submitted to the Florida Department of Financial Services and the Florida Auditor General? Section III: Equal Employment Opportunity (EEO) You may wish to consult with your agency’s Human Resources department to complete this section. 1.Is the eligible recipient aware they must comply with federal civil rights regulations, including certifications and plan requirements outlined in 28 CFR Part 42? 2.Does the eligible recipient organization have 50 employees or more? Yes No Yes No Yes No Yes No Yes No Yes No Yes No Yes No Yes No Yes No Yes No 1. 2. 3. 4. Page 2031 of 3896 Revised 07/18/2025 Page 3 of 5 SUBAWARD MANAGEMENT QUESTIONNAIRE (SMQ) 3.Select largest single award amount of federal funding the eligible recipient received during the past fiscal year from the US Department of Justice (or pass-through entity). 4.Has the eligible recipient organization had any findings of discrimination issued by a state or federal court in the past three years? If “yes”, upload a copy with SMQ attachments in AmpliFund. Section IV: Tiered Contractor/Subrecipient Management and Monitoring You may wish to consult with your agency’s Purchasing or Finance department to complete this section. 1.Does the eligible recipient have written policies, procedures, and/or guidance designed to ensure that any tiered subawards made under a federal award – (1) clearly documents applicable federal requirements; (2) are appropriately monitored by the subrecipient; and (3) ensure compliance with the requirements of 2 CFR 200.331? If “yes” AND this award allocates funds in the Third-Party Subaward budget category, upload a copy with the SMQ attachments in AmpliFund. 2.Is the eligible recipient aware of the difference between subawards and procurement contracts under federal awards, including the different roles, responsibilities, and compliance requirements associated with each? 3.Does the eligible recipient have written policies and procedures designed to prevent issuing a tiered subaward or contract under a federal award to any entity or individual that is suspended or debarred from such funding? 4.Do all third-party agreements with any tiered contractor or subrecipient (at any tier) require the contractor/recipients to register with and use the E-Verify system to verify the work authorization status of all new employees of the tiered contractor or subrecipient (at any tier) in accordance with Section 448.095(5), Florida Statutes? Section V: Accounting System You may wish to consult with your agency’s Finance department to complete this section. 1.Does the eligible recipient’s accounting system: a.Identify the receipt and expenditure of funds separately for each grant (i.e. no commingling of funds)? 200.302(b)(1) b.Identify the specific award number in the accounting system for tracking grant revenue and expenditures? 200.302(b)(1) c.Record and track expenditures for each grant by budget categories in the approved budget? 200.302(b)(5) d.Record, track, and document cost share or match for each grant? 200.306(b)(1) e.Produce detailed ledgers and registers? 200.302(b)(3) f.Include budgetary controls to prevent incurring obligations in excess of total funds? 200.308(b) 2.In the event of a cash advance payment, does the applicant entity have written procedures to minimize the time between the receipt of the cash advance and disbursement of the advanced funds? If “yes”, upload a copy with the SMQ attachments in AmpliFund. 3.Does the eligible recipient have written procedures for financial management of federal grant funds? If “yes”, upload a copy with the SMQ attachments in AmpliFund. Yes No Yes No Yes No Yes No Yes No Yes No Yes No Yes No Yes No Yes No Yes No Yes No Yes No Page 2032 of 3896 Revised 07/18/2025 Page 4 of 5 SUBAWARD MANAGEMENT QUESTIONNAIRE (SMQ) Section VI: Internal Controls You may wish to consult with your agency’s Finance department to complete this section. 1.Does the applicant entity have written internal control procedures for the management of federal awards that align with federal guidance such as the Standards for Internal Control in the Federal Government (Green Book) or the Internal Control Integrated Framework? 2 CFR 200.303(a) If “yes”, upload a copy with the SMQ attachments in AmpliFund. 2.Does the applicant entity have cybersecurity measures in place to safeguard personally identifiable information (PII) and other types of sensitive information? 2 CFR 200.303(e) 3.Does the applicant entity have written procedures in place to safeguard personally identifiable information (PII) and law enforcement sensitive data? 2 CFR 200.303(e) If “yes”, upload a copy with the SMQ attachments in AmpliFund. 4.Does the applicant entity have procedures in place to ensure grant funds will not be used to supplant local funds that have already been appropriated for the proposed activities? Section 2.3 of the DOJ Grants Financial Guide 5.Does the applicant provide written notice to employees regarding whistleblower protections outlined in 41 USC 4712? If “yes”, upload a copy with the SMQ attachments in AmpliFund. Section VII: Inventory You may wish to consult with your agency’s Purchasing or Finance department to complete this section. 1.Does the eligible recipient’s organization have written procedures governing their inventory process? 200.313(d) If “yes”, upload a copy with the SMQ attachments in AmpliFund. 2.Indicate whether the eligible recipient’s property management system provides and maintains the following information: 200.308(d)(1) a.Description of the equipment; b.Property identification number; c.Source of the property (including award number if grant funded); d.Who the title vests with; e.Acquisition date; f.Federal share of property cost (if federally funded); g.Location and condition of property; and h.Ultimate disposition information. 3.Does the eligible recipient assure that all grant-funded property is maintained and insured in compliance with federal requirements? 200.308(d)(3) 4.Does the eligible recipient have written procedures to report and investigate all grant-funded property loss, theft, or damage, including steps to report it to the FDLE grant manager? If “yes”, upload a copy with the SMQ attachments in AmpliFund. Section VIII: Procurement You may wish to consult with your agency’s Purchasing or Finance department to complete this section. The questions below allow the eligible recipient to self-certify its procurement system in accordance with 2 CFR 200.324(c)(2). If answering “yes”, a page number must be provided. 1.Does the eligible recipient have a written procurement policy? If “yes”, upload a copy with the SMQ attachments in AmpliFund. Yes No Yes No Yes No Yes No Yes No Yes No Yes No Yes No Yes No Yes No Yes No Yes No Yes No Yes No Yes No Yes No Yes No Page 2033 of 3896 Revised 07/18/2025 Page 5 of 5 SUBAWARD MANAGEMENT QUESTIONNAIRE (SMQ) 2.Does the procurement policy contain a conflict-of-interest statement? 200.318(c) 3.Does the conflict of interest procedure/statement include disciplinary actions for violations? 200.318(c) 4.Does the procurement policy have provisions for avoiding purchase of unnecessary or duplicative items? 200.318(d) 5.Does the procurement policy permit the use of intergovernmental agreements (i.e. state contract, etc.)? 200.318(e) 6.Does the procurement policy include requirements to verify contractors/vendors are neither suspended nor debarred in SAM.gov? 200.318(h) 7.Does the procurement policy have a threshold for purchases that do not require quotes (micropurchases) that is less than or equal to an aggregate purchase of $10,000? 200.320(a) 8.Does the procurement policy require informal competition (i.e. quotes) when an aggregate purchase exceeds $10,000? 200.320(b) 9.Does the procurement policy require formal competition (i.e. sealed bids, competitive proposals, etc.) when purchases meet or exceed $250,000? 200.320(c-d) 10.Does the procurement policy allow noncompetitive procurements (sole source) under only the following three circumstances: item(s) only available from a single source; public emergency; and/or inadequate competition? 200.320(f) Section IX: Certification and Signature On behalf of the eligible recipient, I certify to the Florida Department of Law Enforcement that the information provided above is complete and correct to the best of my knowledge. I have the requisite authority and information to make this certification on behalf of the eligible recipient. Signature: Title: Typed Name: Date: This form is valid for one year from the date of signature and does not need to be resubmitted during a grant period. THE FOLLOWING SECTION IS FOR FDLE USE ONLY Section X: FDLE CJG SMQ Review Grant Specialist C: Date: Comments: Yes No Yes No Yes No Yes No Yes No Yes No Yes No Yes No Yes No Page: Page: Page: Page: Page: Page: Page: Page: Page: Page 2034 of 3896 Single Audit Certification Page 1 of 1 rev. 07/25) Applicant/Recipient: Tax ID or EIN: Most Recent Fiscal Year End Date: Total amount of funds expended from ALL entities (including FDLE) during the fiscal year above: Federal Funds (Total): State Funds (Total): The Florida Department of Law Enforcement (FDLE), Criminal Justice Grants (CJG) requires all Applicants, Recipients, and Subrecipients (at any tier), to complete this Single Audit Certification for each fiscal year an award is active with CJG. Federal Single Audit Requirements State Single Audit Requirements If or more in total federal funding from all federal awarding agencies or pass-through entities, including FDLE, is expended during the fiscal year, applicants and recipients (at any tier) MUST have a single or program-specific audit conducted for that year. If an organization is required to comply with Federal Single Audit Requirements, the audits must be uploaded to the Federal Audit Clearinghouse (https://facweb.census.gov) within 30 days after receiving the audit report from the auditor, or 9 months after the end of the fiscal year, whichever is sooner. See 2 C.F.R. Part 200, Subpart F for more information. If $750,000 or more in state funding from all sources, including FDLE/CJG, is expended during the fiscal year, applicants and recipients (at any tier), MUST have a single or program-specific audit conducted for that year. If an organization is required to comply with Florida Single Audit Requirements, the audits must be emailed to CJgrants@fdle.state.fl.us within 30 days after receiving the audit report from the auditor, or 9 months after the end of the fiscal year, whichever is sooner. See Section 215.97, F.S. for more information. I understand and acknowledge the federal and state audit requirements above and : My organization is a FLORIDA STATE AGENCY and is audited during the State of Florida’s annual single audit for the year cited above. My organization WAS NOT subject to the federal OR state audit requirements for the fiscal year cited above. (Full Exemption) My organization WAS subject to only the FEDERAL audit requirements for the fiscal year cited above. (State Audit Exemption) My organization WAS subject to only the STATE audit requirements for the fiscal year cited above. (Federal Audit Exemption) My organization WAS subject to BOTH the federal and state audit requirements for the fiscal year cited above. Date: Signature: Printed Name: Title: Criminal Justice Grants SINGLE AUDIT CERTIFICATION Email completed form to: CJgrants@fdle.state.fl.us Page 2035 of 3896 CERTIFICATE OF COMPLETION THIS IS TO CERTIFY THAT ____________________________ SIGNATURE ____________________________ PRINTED NAME HAS SUCCESSFULLY COMPLETED THE CIVIL RIGHTS MODULE 1: OJP CIVIL RIGHTS GRANTS REQUIREMENTS OVERVIEW TRAINING ____________________________ COMPLETION DATE FLORIDA DEPARTMENT OF LAW ENFORCEMENT OFFICE OF CRIMINAL JUSTICE GRANTS Page 2036 of 3896 CERTIFICATE OF COMPLETION THIS IS TO CERTIFY THAT ____________________________ SIGNATURE ____________________________ PRINTED NAME HAS SUCCESSFULLY COMPLETED THE CIVIL RIGHTS MODULE 2: “SPECIAL” OJP CIVIL RIGHTS REQUIREMENTS TRAINING ____________________________ COMPLETION DATE FLORIDA DEPARTMENT OF LAW ENFORCEMENT OFFICE OF CRIMINAL JUSTICE GRANTS Page 2037 of 3896 Verification of EEOP Reporting Requirement Compliance with Equal Employment Opportunity Program (EEOP) Requirements Declaration Claiming Exemption from the EEO Program Utilization Report Submission Requirement The following exemptions apply: Filed Utilization Report Last Year: Yes I, Amy Lyberg, (authorized official) verify that COUNTY OF COLLIER (organization) is not required to prepare an EEO Program Utilization Report during 2024 (fiscal year) for the reason(s) checked above, pursuant to 28 C.F.R. Section 42.302. I further verify that COUNTY OF COLLIER (organization) will comply with applicable federal civil rights laws that prohibit discrimination in employment and in the delivery of services. ____________________________________________________________________________ Organization Name:COUNTY OF COLLIER UEI:JWKJKYRPLLU6 Address:3299 TAMIAMI TRAIL E NAPLES FL 34112- 5746 Classification | Type:Government Non-Law Enforcement | County/Municipal Government Contact Name:Therese Stanley Contact Title: Contact Email:therese.stanley@collierco untyfl.gov Contact Phone:239-252-2959 Number of Employees:150 or More Single Largest Grant:$500,000 or More Subrecipient Award Greater Than $500,000: No Filed Utilization Report Last Year: Yes Amy Lyberg Amy Lyberg 15-Oct-2024 Print or Type Name and Title Signature Date Page 2038 of 3896 CERTIFICATION FORM Compliance with the Equal Employment Opportunity Plan (EEOP) Requirements Please read carefully the Instructions (see below) and then complete Section A or Section B or Section C, not all three. If recipient completes Section A or C and sub-grants a single award over $500,000, in addition, please complete Section D. Recipient’s Name: Address: Is agency a; □ Direct or □ Sub recipient of OJP, OVW or COPS funding? Law Enforcement Agency? □ Yes □ No DUNS Number: Vendor Number (only if direct recipient) Name and Title of Contact Person: Telephone Number: E-Mail Address: Section A—Declaration Claiming Complete Exemption from the EEOP Requirement Please check all the following boxes that apply. □Less than fifty employees. □Nonprofit Organization □Indian Tribe □Educational Institution □Medical Institution. □Receiving a single award(s) less than $25,000. I, _____________________________________________________________________________ [responsible official], certify that ______________________________________________________________________________ [recipient] is not required to prepare an EEOP for the reason(s) checked above, pursuant to 28 C.F.R § 42.302. I further certify that ______________________________________________________________________ [recipient] will comply with applicable federal civil rights laws that prohibit discrimination in employment a nd in the delivery of services. If recipient sub-grants a single award over $500,000, in addition, please complete Section D _______________________________________________________________________________________________ Print or Type Name and Title Signature Date Section B—Declaration Claiming Exemption from the EEOP Submission Requirement and Certifying That an EEOP Is on File for Review If a recipient agency has fifty or more employees and is receiving a single award or, subaward, of $25,000 or more, but less than $500,000, then the recipient agency does not have to submit an EEOP to the OCR for review as long as it certifies the following (42 C.F.R. § 42.305): I, _____________________________________________________________________________ [responsible official], certify that ______________________________________________________________________________ [recipient], which has fifty or more employees and is receiving a single award or subaward for $25,000 or more, but less than $500,000, has formulated an EEOP in accordance with 28 CFR pt. 42, subpt. E. I further certify that within the last twenty-four months, the proper authority has formulated and signed into effect the EEOP and, as required by applicable federal law, it is available for review by the public, employees, the appropriate state planning agency, and the Office for Civil Rights, Office of Justice Programs, U.S. Department of Justice. The EEOP is on file at the following office: _____________________________________________________________________________________ [organization], _________________________________________________________________________________________ [address]. ____________________________________________________________________________________________________________________ Print or Type Name and Title Signature Date Section C—Declaration Stating that an EEOP Short Form Has Been Submitted to the Office for Civil Rights for Review If a recipient agency has fifty or more employees and is receiving a single award, or subaward, of $500,000 or more, then the recipient agency must send an EEOP Short Form to the OCR for review. I, _____________________________________________________________________________ [responsible official], certify that ______________________________________________________________________________ [recipient], which has fifty or more employees and is receiving a single award of $500,000 or more, has formulated an EEOP in accordance with 28 CFR pt. 42, subpt. E, and sent it for review on ________________________________ [date] to the Office for Civil Rights, Office of Justice Programs, U.S. Department of Justice. If recipient sub-grants a single award over $500,000, in addition, please complete Section D ____________________________________________________________________________________________________________________ Print or Type Name and Title Signature Date Page 2039 of 3896 Section D—Declaration Stating that Recipient Subawards a Single Award Over $500,000 If a recipient agency, subawards a single award of $500,000 or more then the granting agency should provide a list; including, name, address and DUNS # of each such sub-recipient. Sub-Recipient Agency Name/Address Sub-Recipient DUNS Number If additional space in necessary, please duplicate this page. OMB Control No. 1121-0340 Expiration Date: 12/31/2015 Page 2040 of 3896 INSTRUCTIONS Completing the Certification Form Compliance with the Equal Employment Opportunity Plan (EEOP) Requirements The federal regulations implementing the Omnibus Crime Control and Safe Streets Act (Safe Streets Act) of 1968, as amended, require some recipients of financial assistance from the U.S. Department of Justice subject to the statute’s administrative provisions to create, keep on file, submit to the Office for Civil Rights (OCR) at the Office of Justice Programs (OJP) for review, and implement an Equal Employment Opportunity Plan (EEOP). See 28 C.F.R. pt. 42, subpt. E. All awards from the Office of Community Oriented Policing Services (COPS) are subject to the EEOP requirements; many awards from OJP, including awards from the Bureau of Justice Assistance (BJA), the Office of Juvenile Justice and Delinquency Prevention (OJJDP), and the Office for Victims of Crime (OVC) are subject to the EEOP requirements; and many awards from the Office on Violence Against Women (OVW) are also subject to the EEOP requirements. If you have any questions as to whether your award from the U.S. Department of Justice is subject to the Safe Streets Act’s EEOP requirements, please consult your grant award document, your program manager, or the OCR. Recipients should complete either Section A or Section B or Section C, not all three. If recipient completes Section A or C and sub-grants a single award over $500,000, in addition, please complete Section D. Section A The regulations exempt some recipients from all of the EEOP requirements. Your organization may claim an exemption from all of the EEOP requirements if it meets any of the following criteria: it is a nonprofit organization, an educational institution, a medical institution, or an Indian tribe; or it received an award under $25,000; or it has less than fifty employees. To claim the complete exemption from the EEOP requirements, complete Section A. Section B Although the regulations require some recipients to create, maintain on file, and implement an EEOP, the regulations allow some recipients to forego submitting the EEOP to the OCR for review. Recipients that (1) are a unit of state or local government, an agency of state or local government, or a private business; and (2) have fifty or more employees; and (3) have received a single grant award of $25,000 or more, but less than $500,000, may claim the limited exemption from the submission requirement by completing Section B. In completing Section B, the recipient should note that the EEOP on file has been prepared within twenty-four months of the date of the most recent grant award. Section C Recipients that (1) are a unit of state or local government, an agency of state or local government, or a private business, and (2) have fifty or more employees, and (3) have received a single grant award of $500,000 or more, must prepare, maintain on file, submit to the OCR for review, and implement an EEOP. Recipients that have submitted an EEOP Utilization Report (or in the process of submitting one) to the OCR, should complete Section C. Section D Recipients that (1) receive a single award over $500,000; and (2) subaward a single award of $500,000 or more must provide a list; including, name, address and DUNS # of each such sub-recipient by completing Section D. Submission Process Recipients should download the online Certification Form, complete required sections, have the appropriate official sign it, electronically scan the signed document, and then send the signed document to the following e-mail address: EEOPForms@usdoj.gov. The document must have the following title: EEOP Certification. If you have questions about completing or submitting the Certification Form, please contact the Office for Civil Rights, Office of Justice Programs, 810 7th Street, NW, Washington, DC 20531 (Telephone: (202) 307-0690 and TTY: (202) 307-2027). OMB Approval No. 1121-0340 Expiration Date: 12/31/15 Page 2041 of 3896 Public Reporting Burden Statement Paperwork Reduction Act Notice. Under the Paperwork Reduction Act, a person is not required to respond to a collection of information unless it displays a current valid OMB control number. We try to create forms and instructions that are accurate, can be easily understood, and which impose the least possible burden on you to provide us with information. The estimated minimum average time to complete and file this application is 20 minutes per form. If you have any comments regarding the accuracy of this estimate, or suggestions for making this form simpler, you can write to the Office of Justice Programs, 810 7th Street, N.W., Washington, D.C. 20531. Page 2042 of 3896 EEO Utilization Report Organization Information Name: Collier County Board Of County Commissioners City: Naples State: FL Zip: 34112 Type: County/Municipal Government (not law enforcement) Mon 10-10-2022 13:19:53 EDT Page 2043 of 3896 Step 1: Introductory Information Policy Statement: Policy: CMA#5383 Equal Employment Opportunity (EEO) - Collier County Personnel Ordinance, Ordinance No. 2001-50: Equal Employment Opportunity: It is the policy of Collier County to ensure that all Human Resources policies and practices are administered without regard to race, color, religion, sex, age, national origin, physical or mental handicap, or marital status. Link: CMA 5383 Equal Employment Opportunity (EEO).pdf (colliergov.net) CMA#5350 Commitment to Fair Treatment - Collier County Personnel Ordinance, Ordinance No. 2001-50: Commitment to Fair Treatment for Regular Full-Time and Part-Time Employees Below the Level of Section Head: The County has established a Commitment to Fair Treatment policy and procedure to provide a vehicle for employees to solve problems or resolve disputes which may arise regarding the application, meaning or interpretation of the County's Human Resources Practices and Procedures. The Commitment to Fair Treatment procedure does not apply to probationary employees, temporary employees, or employee performance appraisal ratings. The County understands when people work together disagreements are likely to occur. The County is committed to providing fair treatment to all employees and will ensure each concern is handled in an efficient and equitable manner. It is the intent and desire of the County to adjust complaints informally. Both Supervisors and employees are expected to make every effort to resolve problems as they arise. It is the responsibility of all involved parties to accept the final decision in this process. Link: CMA 5350 Commitment to Fair Treatment.pdf (colliergov.net) Following File has been uploaded:CMA 5383 Equal Employment Opportunity (EEO).pdf USDOJ, Office of Justice Programs, EEO Utilization Report page 2 of 10 Page 2044 of 3896 Step 4b: Narrative of Interpretation There are a total of 1,968 employees identified in the report between July 1, 2020, through June 30, 2021. Staff ran reports within the Countys system of record for HR data to obtain EEO workforce data broken down by race, sex, job classifications, and pay. Once the information was gathered it was entered into the worksheets and validated. Following validation, a comparison of workforce data and labor statistic was completed to ascertain potential underrepresentation of employees in job categories. A comparison of the Collier County workforce to the community labor statistics for Collier County, Florida - which may or may not reflect the current community workforce - indicates the following underutilization data. Collier County displayed improvement in representation between the 2019 and 2021 reports in Protective Services (non- sworn) for White Males and Black/African American Males. Collier County will examine the root cause and impacts to Officials/Administrators (-9%) and Administrative Support (-10%) underrepresentation by White Males. In addition, Collier County will examine root cause and impacts to Skilled Craft underutilization by Hispanic Males (-17%) and White Males (17%). Collier County displayed similar results in female representation between the 2019 and 2021 reports for Professionals, Technicians, Administrative Support, and Service/Maintenance job categories. Collier County will examine the root cause and impacts to Professionals, Technicians, Protective Services, and Service/Maintenance underutilization by White Females, Hispanic Females, Black/African American Females, and Asian Females. As a result of the analysis, the Collier County EEO Plan will address the more significant areas; however, Collier County welcomes the opportunity to increase the representation of any underutilized group and will continue existing outreach efforts as well as exploring new ways of communication job openings to all race and ethnic groups. Step 5: Objectives and Steps 1. To encourage Hispanic or Latino females to apply for vacancies in the Technicians and Service/Maintenance categories. a. The Human Resources Division will continue outreach efforts on a semi-annual basis that pursue Hispanic or Latino female applicants in these categories, including involvement in job fairs at local trade schools, colleges, and universities, outreach to career centers, and will maintain relationships with local community organizations that serve this population. The County will continue to provide information about job vacancies and position openings to the following organizations: Lorenzo Walker Technical College (LWTC), Immokalee Technical Center (iTECH), Florida Southwestern State College (Collier campus), Hodges University, Ave Maria University, Florida Gulf Coast University (FGCU), and other organizations as deemed appropriate. b. On a quarterly basis the County's Human Resources (HR) Division will run demographic reports to determine whether Hispanic or Latino female applicants were underrepresented in Technicians and Service/Maintenance categories. The results will be analyzed by the HR Director and HR Managers to confirm compliance with County Manager Agency (CMA) practices and procedures (protocols). In addition, the HR Division will evaluate potential hiring barriers, monitor promotional practices, assess training opportunities and budgets, encourage leadership mentoring events, and document findings and actions taken within the EEO Plan. 2. To encourage Black or African American females to apply for vacancies in the Service/Maintenance category. a. The Human Resources Division will continue outreach efforts on a semi-annual basis that pursue Black or African American female applicants in the Service/Maintenance category, including involvement in job fairs, outreach to career centers, and will maintain relationships with local community organizations that serve this population. The County will continue to provide information about job vacancies and position openings to the following organizations: Lorenzo Walker Technical College (LWTC), Immokalee Technical Center (iTECH), Florida Southwestern State College (Collier campus), Hodges University, Ave Maria University, Florida Gulf Coast University (FGCU), and other USDOJ, Office of Justice Programs, EEO Utilization Report page 3 of 10 Page 2045 of 3896 organizations as deemed appropriate. b. On a quarterly basis the County's Human Resources (HR) Division will run demographic reports to determine whether Black or African American females were underrepresented in the Service/Maintenance category. The results will be analyzed by the HR Director and HR Managers to confirm compliance with County Manager Agency (CMA) practices and procedures (protocols). In addition, the HR Division will evaluate potential hiring barriers, monitor promotional practices, assess training opportunities and budgets, encourage leadership mentoring events, and document findings and actions taken within the EEO Plan. 3. To encourage Asian females to apply for vacancies in the Service/Maintenance category. a. The Human Resources Division will continue outreach efforts on a semi-annual basis that pursue Asian female applicants in the Service/Maintenance category, including involvement in job fairs, outreach to career centers, and will maintain relationships with local community organizations that serve this population. The County will continue to provide information about job vacancies and position openings to the following organizations: Lorenzo Walker Technical College (LWTC), Immokalee Technical Center (iTECH), Florida Southwestern State College (Collier campus), Hodges University, Ave Maria University, Florida Gulf Coast University (FGCU), and other organizations as deemed appropriate. b. On a quarterly basis the County's Human Resources (HR) Division will run demographic reports to determine whether Asian females were underrepresented in the Service/Maintenance category. The results will be analyzed by the HR Director and HR Managers to confirm compliance with County Manager Agency (CMA) practices and procedures (protocols). In addition, the HR Division will evaluate potential hiring barriers, monitor promotional practices, assess training opportunities and budgets, encourage leadership mentoring events, and document findings and actions taken within the EEO Plan. 4. To encourage White males to apply for vacancies in the Officials/Administrators and Administrative Support categories. a. The Human Resources Division will continue outreach efforts on a semi-annual basis that pursue White male applicants in these categories, including involvement in job fairs at local trade schools, colleges, and universities, outreach to career centers, and will maintain relationships with local community organizations that serve this population. The County will continue to provide information about job vacancies and position openings to the following organizations: Lorenzo Walker Technical College (LWTC), Immokalee Technical Center (iTECH), Florida Southwestern State College (Collier campus), Hodges University, Ave Maria University, Florida Gulf Coast University (FGCU), and other organizations as deemed appropriate. b. On a quarterly basis the County's Human Resources (HR) Division will run demographic reports to determine whether White male applicants were underrepresented in Officials/Administrators and Administrative Support categories. The results will be analyzed by the HR Director and HR Managers to confirm compliance with County Manager Agency (CMA) practices and procedures (protocols). In addition, the HR Division will evaluate potential hiring barriers, monitor promotional practices, assess training opportunities and budgets, encourage leadership mentoring events, and document findings and actions taken within the EEO Plan. 5. To encourage Hispanic or Latino males to apply for vacancies in the Skilled Craft category. a. The Human Resources Division will continue outreach efforts on a semi-annual basis that pursue Hispanic or Latino male applicants in this category, including involvement in job fairs at local trade schools, outreach to career centers, and will maintain relationships with local community organizations that serve this population. The County will continue to provide information about job vacancies and position openings to the following organizations: Lorenzo Walker Technical College (LWTC), Immokalee Technical Center (iTECH), Florida Southwestern State College (Collier campus), Hodges University, Ave Maria University, Florida Gulf Coast University (FGCU), and other organizations as deemed appropriate. b. On a quarterly basis the County's Human Resources (HR) Division will run demographic reports to determine whether Hispanic or Latino male applicants were underrepresented in Skilled Craft category. The results will be analyzed by the HR Director and HR Managers to confirm compliance with County Manager Agency (CMA) practices and procedures (protocols). In addition, the HR Division will evaluate potential hiring barriers, monitor promotional practices, assess training opportunities and budgets, encourage leadership mentoring events, and document findings and actions taken within the EEO Plan. 6. To encourage Asian males to apply for vacancies in the Service/Maintenance category. a. The Human Resources Division will continue outreach efforts on a semi-annual basis that pursue Asian male applicants in this category, including involvement in job fairs at local trade schools, outreach to career centers, and USDOJ, Office of Justice Programs, EEO Utilization Report page 4 of 10 Page 2046 of 3896 will maintain relationships with local community organizations that serve this population. The County will continue to provide information about job vacancies and position openings to the following organizations: Lorenzo Walker Technical College (LWTC), Immokalee Technical Center (iTECH), Florida Southwestern State College (Collier campus), Hodges University, Ave Maria University, Florida Gulf Coast University (FGCU), and other organizations as deemed appropriate. b. On a quarterly basis the County's Human Resources (HR) Division will run demographic reports to determine whether Asian male applicants were underrepresented in Service/Maintenance category. The results will be analyzed by the HR Director and HR Managers to confirm compliance with County Manager Agency (CMA) practices and procedures (protocols). In addition, the HR Division will evaluate potential hiring barriers, monitor promotional practices, assess training opportunities and budgets, encourage leadership mentoring events, and document findings and actions taken within the EEO Plan. 7. To encourage White females to apply for vacancies in the Professionals, Technicians, Protective Services: Nonsworn, and Service/Maintenance categories. a. The Human Resources Division will continue outreach efforts on a semi-annual basis that pursue White female applicants in this category, including involvement in job fairs at local trade schools, outreach to career centers, and will maintain relationships with local community organizations that serve this population. The County will continue to provide information about job vacancies and position openings to the following organizations: Lorenzo Walker Technical College (LWTC), Immokalee Technical Center (iTECH), Florida Southwestern State College (Collier campus), Hodges University, Ave Maria University, Florida Gulf Coast University (FGCU), and other organizations as deemed appropriate. b. On a quarterly basis the County's Human Resources (HR) Division will run demographic reports to determine whether White female applicants were underrepresented in Professionals, Technicians, Protective Services: Nonsworn, and Service/Maintenance categories. The results will be analyzed by the HR Director and HR Managers to confirm compliance with County Manager Agency (CMA) practices and procedures (protocols). In addition, the HR Division will evaluate potential hiring barriers, monitor promotional practices, assess training opportunities and budgets, encourage leadership mentoring events, and document findings and actions taken within the EEO Plan. Step 6: Internal Dissemination It is the policy of Collier County Board of County Commissioners to ensure that all policies and procedures are administered without regard to race, color, religion, sex, age, national origin, physical or mental handicap, or marital status. On an annual basis, Collier County reviews, revises (when applicable), and communicates changes to practices and procedures. In addition, the County conducts regular trainings and obtains acknowledgement from each employee to confirm that the work environment is free of unlawful discrimination and/or harassment. Collier County Government encourages employees to discuss EEO or Commitment to Fair Treatment questions or concerns with their supervisor, division director, department head, and/or to request assistance from a representative of the Human Resources Division. Collier County Government communicates with applicants and employees about the ability to contact the Florida Commission on Human Relations (FCHR), established in 1969 with the intent of protection against unlawful discrimination. The FCHR assists in claims of wrongdoing, including discrimination, and provides a means for effectively resolving problems should they arise. The Collier County Human Resources Division will: 1. Post the County practices and procedures and both the past and present EEO Plans on the Collier County internal SharePoint site to ensure employees have access to the plan. 2. Maintain a physical print copy of the EEO Plan at the Human Resources Division Offices located at 3303 Tamiami Trail E., Naples, Florida 34112. 3. Will conduct a EEO Plan briefing with County leadership annually to review and address the results of the reports and analysis. 4. Will assign EEO training to County staff utilizing the County's training software, Collier University, on an annual basis. USDOJ, Office of Justice Programs, EEO Utilization Report page 5 of 10 Page 2047 of 3896 Step 7: External Dissemination It is the policy of Collier County Board of County Commissioners to ensure that all policies and procedures are administered without regard to race, color, religion, sex, age, national origin, physical or mental handicap, or marital status. On an annual basis, Collier County reviews, revises (when applicable), and communicates changes to practices and procedures. In addition, the County conducts regular trainings and obtains acknowledgement from each employee to confirm that the work environment is free of unlawful discrimination and/or harassment. Collier County Government encourages employees to discuss EEO or Commitment to Fair Treatment questions or concerns with their supervisor, division director, department head, and/or to request assistance from a representative of the Human Resources Division. Additionally, Collier County Government communicates with applicants and employees about the ability to contact the Florida Commission on Human Relations (FCHR), established in 1969 with the intent of protection against unlawful discrimination. The FCHR assists in claims of wrongdoing, including discrimination, and provides a means for effectively resolving problems should they arise. External Dissemination: 1. The Collier County Human Resources Division will post the County practices and procedures and both the past and present EEO Plans on the Collier County external website to ensure employees and the public have access and availability to the plan. a. Link: https://www.colliercountyfl.gov/government/county-manager-operations/divisions/human-resources/collier-county- equal-employment-opportunity-plan-eeop 2. The HR Manager will maintain a physical print copy of each past and present EEO Plan at the Human Resources Division Office, located at 3303 Tamiami Trail E Naples, Florida 34112. USDOJ, Office of Justice Programs, EEO Utilization Report page 6 of 10 Page 2048 of 3896 Utilization Analysis ChartRelevant Labor Market: Collier County, FloridaJob CategoriesMaleFemaleWhiteHispanicor LatinoBlack orAfricanAmericanAmericanIndian orAlaskaNativeAsianNativeHawaiianor OtherPacificIslanderTwo orMoreRacesOtherWhiteHispanicor LatinoBlack orAfricanAmericanAmericanIndian orAlaskaNativeAsianNativeHawaiianor OtherPacificIslanderTwo orMoreRacesOtherOfficials/Administrators Workforce #/%226/48%40/8%11/2%0/0%4/1%0/0%1/0%0/0%145/31%41/9%3/1%0/0%3/1%0/0%0/0%0/0% CLS #/%9,590/56%1,190/7%255/1%0/0%65/0%0/0%30/0%10/0%5,045/30%610/4%125/1%0/0%100/1%0/0%0/0%0/0% Utilization #/%-9%1%1%0%0%0%0%-0%1%5%-0%0%0%0%0%0%Professionals Workforce #/%162/47%36/10%11/3%1/0%3/1%1/0%0/0%0/0%92/27%27/8%6/2%0/0%4/1%0/0%0/0%0/0% CLS #/%6,225/34%1,050/6%325/2%0/0%170/1%0/0%40/0%4/0%8,180/45%1,260/7%555/3%45/0%130/1%0/0%60/0%0/0% Utilization #/%13%5%1%0%-0%0%-0%-0%-19%1%-1%-0%0%0%-0%0%Technicians Workforce #/%86/46%36/19%7/4%0/0%0/0%0/0%1/1%0/0%28/15%22/12%5/3%0/0%0/0%0/0%0/0%0/0% CLS #/%1,065/29%200/5%195/5%0/0%20/1%0/0%25/1%0/0%1,320/36%680/19%130/4%0/0%0/0%25/1%0/0%0/0% Utilization #/%17%14%-2%0%-1%0%-0%0%-21%-7%-1%0%0%-1%0%0%Protective Services:Sworn Workforce #/%1/100%0/0%0/0%0/0%0/0%0/0%0/0%0/0%0/0%0/0%0/0%0/0%0/0%0/0%0/0%0/0% CLS #/%2,140/64%350/10%295/9%0/0%45/1%0/0%0/0%0/0%400/12%60/2%45/1%0/0%0/0%0/0%0/0%0/0% Utilization #/%36%-10%-9%0%-1%0%0%0%-12%-2%-1%0%0%0%0%0%Protective Services: Non-sworn Workforce #/%79/40%38/19%2/1%1/1%1/1%0/0%0/0%0/0%59/30%14/7%1/1%0/0%1/1%0/0%1/1%0/0% Civilian Labor Force #/%120/45%0/0%0/0%0/0%0/0%0/0%0/0%0/0%145/55%0/0%0/0%0/0%0/0%0/0%0/0%0/0% Utilization #/%-5%19%1%1%1%0%0%0%-25%7%1%0%1%0%1%0%Administrative Support Workforce #/%42/16%13/5%6/2%0/0%0/0%0/0%0/0%0/0%130/50%48/18%16/6%0/0%4/2%0/0%3/1%0/0% CLS #/%9,595/262,480/7%815/2%45/0%135/0%0/0%115/0%45/0%17,745/484,340/12970/3%45/0%330/1%10/0%170/0%115/0%USDOJ, Office of Justice Programs, EEO Utilization Report page 7 of 10Page 2049 of 3896 Job CategoriesMaleFemaleWhiteHispanicor LatinoBlack orAfricanAmericanAmericanIndian orAlaskaNativeAsianNativeHawaiianor OtherPacificIslanderTwo orMoreRacesOtherWhiteHispanicor LatinoBlack orAfricanAmericanAmericanIndian orAlaskaNativeAsianNativeHawaiianor OtherPacificIslanderTwo orMoreRacesOther%%% Utilization #/%-10%-2%0%-0%-0%0%-0%-0%2%7%3%-0%1%-0%1%-0%Skilled Craft Workforce #/%92/67%32/23%7/5%0/0%2/1%0/0%0/0%0/0%5/4%0/0%0/0%0/0%0/0%0/0%0/0%0/0% CLS #/%8,230/50%6,555/40%730/4%10/0%55/0%0/0%20/0%0/0%430/3%430/3%50/0%0/0%0/0%0/0%0/0%10/0% Utilization #/%17%-16%1%-0%1%0%-0%0%1%-3%-0%0%0%0%0%-0%Service/Maintenance Workforce #/%131/36%163/44%22/6%1/0%1/0%1/0%0/0%0/0%34/9%10/3%5/1%0/0%0/0%0/0%0/0%0/0% CLS #/%9,965/23%11,780/27%2,070/5%85/0%680/2%0/0%95/0%15/0%7,840/18%7,010/16%2,655/6%80/0%490/1%0/0%85/0%20/0% Utilization #/%12%17%1%0%-1%0%-0%-0%-9%-14%-5%-0%-1%0%-0%-0%USDOJ, Office of Justice Programs, EEO Utilization Report page 8 of 10Page 2050 of 3896 Significant Underutilization ChartJob CategoriesMaleFemaleWhiteHispanicor LatinoBlack orAfricanAmericanAmericanIndian orAlaskaNativeAsianNativeHawaiianor OtherPacificIslanderTwo orMoreRacesOtherWhiteHispanicor LatinoBlack orAfricanAmericanAmericanIndian orAlaskaNativeAsianNativeHawaiianor OtherPacificIslanderTwo orMoreRacesOtherOfficials/Administrators4Professionals4Technicians44Protective Services: Non-sworn4Administrative Support4Skilled Craft4Service/Maintenance44444USDOJ, Office of Justice Programs, EEO Utilization Report page 9 of 10Page 2051 of 3896 I understand the regulatory obligation under 28 C.F.R. ~ 42.301-.308 to collect and maintain extensive employment data by race, national origin, and sex, even though our organization may not use all of this data in completing the EEO Utilization Report. I have reviewed the foregoing EEO Utilization Report and certify the accuracy of the reported workforce data and our organization's employment policies. Certified As Final By: Amy Lyberg Human Resources Division Director 10-10-2022 ____________________________________________________________ ________________________________ [signature] [title] [date] USDOJ, Office of Justice Programs, EEO Utilization Report page 10 of 10 Page 2052 of 3896 Page 2053 of 3896 Telecommunications and Video Surveillance Services or Equipment Certification Upon completion, email a copy of this form to: CJgrants@fdle.state.fl.us Telecommunications and Video Surveillance Services or Equipment Certification Page 1 of 1 CJG (rev.07/25) A prohibition on certain telecommunications and video surveillance services or equipment went into effect on August 13, 2020. In accordance with the requirements set out in 2 C.F.R. §200.216, subrecipients are prohibited from obligating or expending grant funds to: 1)Procure or obtain; 2)Extend or renew a contract to procure or obtain; 3)Enter into a contract to procure or obtain equipment, services, or systems that use telecommunications equipment or services as a substantial or essential component of any system, or as critical technology as part of any system, produced by Huawei Technologies Company or ZTE Corporation (or a subsidiary or affiliate of such entities). a.For the purpose of public safety, security of government facilities, physical security surveillance of critical infrastructure, and other national security purposes, video surveillance and telecommunications equipment produced by Hytera Communications Corporation, Hangzhou Hikvision Digital Technology Company, or Dahua Technology Company (or any subsidiary or affiliate of such entities). b.Telecommunications or video surveillance services provided by such entities or using such equipment. c.Telecommunications or video surveillance equipment or services produced or provided by an entity that the Secretary of Defense, in consultation with the Director of the National Intelligence or the Director of the Federal Bureau of Investigation, reasonably believes to be an entity owned or controlled by, or otherwise connected to, the government of a covered foreign country. Completion of this form certifies that the authorized representative has read,understands, and agrees to abide by the provisions of 2 C.F.R. §200.216. As the duly authorized representative of the applicant,I acknowledge,understand, and agree to abide by all provisions in 2 C.F.R. §200.216 and failure to comply with all provisions and conditions regarding prohibited telecommunications and video surveillance services or equipment may result in the withholding of federal funds. Additionally,I understand documentation to verify compliance with the provisions in 2 C.F.R. §200.216 must be maintained and provided at the time of monitoring. )RU DGGLWLRQDO LQIRUPDWLRQ RQ FRPSOLDQFH YHULILFDWLRQ SOHDVH FRQWDFW \RXU &-* JUDQW PDQDJHU DW Title: Date: Recipient: Printed Name: Signature: Application ID Number: County of Collier Amy Patterson 87430 County Manager Page 2054 of 3896 1 Grants Compliance Office Office of Management and Budget 3299 Tamiami Trail East, Suite 201 Naples, FL 34112 239-252-8383 Grants Administration Handbook Internal Controls and Protocols Collier County, Florida Implemented 1.27.16 v.Update Page 2055 of 3896 2 TABLE OF CONTENTS INTRODUCTION ...................................................................................................................6 CONTACTS .........................................................................................................................19 ORGANIZATIONAL CHART ................................................................................................... 20 CMA 5330 – GRANTS COORDINATION ................................................................................. 21 GRANT APPLICATIONS ........................................................................................................ 24 GRANTS FILE MANAGMENT ................................................................................................. 24 GRANTS FILE MANAGEMENT – CLOSEOUT PROCEDURES ...................................................... 26 GRANTS FILE MANAGEMENT – ROLES ..................................................................................28 GRANTS FILE MANAGEMENT – SHAREPIONT VIEWS ............................................................. 30 BOARD APPROVALS ...................................................................... GRANTS MANAGEMENT SYSTEM (GMS) ................................................................................31 GRANT BUDGE REQUEST...................................................................................................34 GRANT FUND LIST .............................................................................................................. 44 SPONSOR AND CLASS SETUP/REVISION .............................................................................. 46 GRANT CONTRACT/AWARD SETUP ...................................................................................... 48 JOB AIDS ............................................................................................................................48 SAP REPORT INSTRUCTIONS ...............................................................................................50 ACTIVITIES ALLOWED/ UNALLOWED – ELIGIBLE COST ........................................................ 51 PRE-AWARD COST .............................................................................................................. 51 TREATMENT OF DIRECT/INDIRECT COSTS ...........................................................................53 PAYROLL – SALARIES AND BENEFITS ...................................................................................54 INTERNAL GOVERNMENT CHARGES (IGC) ............................................................................55 TRAVEL / TRAINING ............................................................................................................56 USE YOUR RADAR ............................................................................................................... 57 GRANT PROCUREMENT ....................................................................................................... 58 GRANT REQUISITIONS ........................................................................................................ 61 GRANT REQUISITION CHECKILIST .......................................................................................63 PROCUREMENT JOB AIDS AND FORMS ................................................................................ 64 Page 2056 of 3896 3 ETHICS AND STEWARDSHIP IN PROCUREMENT ................................................................... 65 CASH MANAGEMENT ........................................................................................................... 66 DRAW SUPPORT DOCUMENTATION ..................................................................................... 70 DRAW FORM .......................................................................................................................71 REPORTS............................................................................................................................72 REPORT SUPPORT DOCUMENTATION .................................................................................. 73 RECLASS OF EXPENDITURES ............................................................................................... 74 ASSET MANAGEMENT ..........................................................................................................76 DAVIS BACON ACT COMPLIANCE ......................................................................................... 78 GRANTOR MONITORING ..................................................................................................... 79 SUB RECIPIENT SINGLE AUDIT MONITORING ...................................................................... 81 SUB RECIPIENT PROGRAM MONITORING ............................................................................. 84 RISK ASSESSMENT ..............................................................................................................85 PERSONALLY IDENTIFIABLE INFORMATION (PII) ................................................................. 87 INFORMATION TECHNOLOGY .............................................................................................. 87 CONFLICTS OF INTEREST ................................................................................................... 90 FRAUD ...............................................................................................................................91 Page 2057 of 3896 4 TABLE OF CONTENTS – APPENDIX APPENDIX A – CMA 5330 .................................................................. A-1 APPENDIX D – JOB .......................................................................... A-2 APPENDIX E – FLEET COST ALLOCATION PLAN ................................. A-3 Page 2058 of 3896 5 TABLE OF CONTENTS – EXHIBITS EXHIBIT A – FORMS SAMPLE ............................................................ E-1 Page 2059 of 3896 6 INTRODUCTION The purpose of the Grants Compliance Office (GCO) (reorganized January 2012) is to collaboratively work with program and project managers to successfully administer grants with a primary focus on single audit compliance and financial accountability through the development of countywide (centralized) internal controls supported by written policies, protocols and procedures. Centralized Team Approach Today’s environment is at unprecedented levels of transparency and accountability of taxpayer’s dollars generated by the American Recovery and Reinvestment Act (ARRA) of 2009. One measure of successful grants management is through the annual single audit. Each single audit evaluates a grantee’s ability to manage grants effectively through review of financial statements, compliance testing and internal controls. Through the development, monitoring, and implementation of countywide protocols and internal controls, the project management plan for grants within will; create an environment and culture that is compliance focused, clarify roles of programmatic versus administrative responsibilities, achieve, mitigate and maintain compliance, maintain a core set of knowledgeable staff to advise to direct and assist Division staff in administration of grant programs, identify compliance changes, impacts, risks and deficiencies to senior management, act as the liaison between the Collier County Clerk of Courts Finance Department (Clerk’s Finance) and County Managers Agency’s in coordination of the single audit, Program (Project) Management Single Audit Compliance Financial Management Page 2060 of 3896 7 assist Division to the level necessary to manage administrative requirements and achieve compliance, determine impacts of changing or new regulations to implement revised or new controls to maintain compliance and foster efficiency by consistent application of countywide practices. Internal controls are not defined within grant contracts. Internal controls are practices designed by the grantee to provide reasonable assurance that compliance is met, prevent and detect fraud, protect County resources, support efficient operations, and promote financial accountability. Internal controls for grants administration will be developed and managed by the GCO – a separate independent office – under the Office of Management and Budget (OMB) that program managers will follow in order to carry out day to day grant activities. Countywide protocols and procedures including standardized forms will be developed to cover each of the 14 key attributes tested during single audit as defined within OMB Single Audit Circular 133/2 CFR 200 following best practices in grants management. The 14 single audit areas are outlined below. 1.Activities Allowed or Unallowed 2.Allowable Costs 3.Cash Management 4.Davis Bacon 5.Eligibility 6.Asset Management 7.Matching, Level of Effort, Earmarking 8.Period of Availability 9.Procurement 10.Program Income 11.Real Prop Acq / Relocation Asst 12.Reporting 13.Subrecipient Monitoring 14.Other Special Tests Page 2061 of 3896 Protocols will develop core controls that can be applied to any federal, state, or internal grant program while procedures will detail practices unique to each grantor program as needed so that County departments are not constrained by a one size fits all procedure. Crucial control activities or points that are essential to successful grants management are identified as: -Initial budget setup within the financial system (review of grant contract) -Procurement and Requisition of Grant Funds -Monitoring These control points will vet – “audit” – actions against the grant contract requirements prior to execution thereby increasing compliance success, reducing the level of risk for an audit finding as well as ensuring corrective action plan (CAP) for existing findings are carried out. Each one of the control points directly or indirectly review the key areas tested during single audit. Key control activities not required of every grant due to the grant program scope such as time and effort, Davis Bacon, subrecipient monitoring are customized to the individual Division needs and determined at the point of grant contract application and/or award. Proper application of internal controls will encourage program managers to comply with Collier’s established protocols, comply with applicable grantor requirements, conduct grant activity operations ethically, and foster communication with GCO staff thereby building working relationships to promote a compliance-focused culture. In addition to the development of internal controls, successful grants management can only be properly managed through an organized and systematic approach to file management. The majority of the single audit revolves around review of support documentation. Preparation of this documentation, or what is known as the audit trail, will be maintained in a concise format that conveys to auditors the sense that the County is well organized and in control of managing grants successfully. The file system will have a dual function to be used as a day to day monitoring tool for GCO staff to ensure single audit compliance. Department staff and the GCO will share access to files which in effect will promote staff efficiencies throughout the County. The share file system is also available to Clerk Finance staff. Audit file preparation will be initiated no later than the point an executed award is brought forth via Board approval in Minute Traq. At this time proper budget setup will also be reviewed, a crucial control point to ensure proper financial accountability. For new grant programs, a written compliance assessment will take place by GGO in the form of a “Quick Compliance Guide” to outline roles, responsibilities, risk areas, and identify key control activities. This guide will be distributed to key staff directly managing the grant program. Organization The Grants Compliance Office is housed under the Office of Management and Budget to provide the maximum authority. 8 Page 2062 of 3896 9 At least one key staff member will be identified in each Division to assist GCO in managing the administrative functions with program managers. This position will be administrative and generally a fiscal position such as a Fiscal Technician, Accountant or Budget Analyst, but may be an operations position such as an Operations Coordinator dependent on Division size and composition of staff. This identified position is involved in crucial control points, implementing protocols and is the primary point of contact with program/project managers. Activities may also include but are not limited to the performance of draws, report preparation, drafting budget amendments and or entering goods receipts. It is at these points of control that administrative functions for the single audit can be audited to ensure compliance is either met or on target. This position acts as a “controller” or termed as a fiscal buddy. Background Controls developed for countywide implementation were originally developed within the Growth Management Division (GMD). Within GMD, fiscal buddies supervised by the Division Financial & Operations Support Manager coordinate with a designated GCO Grants Accountants to carry out administrative and financial related grant activities to meet compliance requirements. The GCO Grants Accountant acts as quality control and ensures compliance through review, monitoring and approval of crucial control activity. This ensures segregation of duties. The GCO Grants Accountant is responsible to evaluate audit risk through monitoring, research and impose best practices that promote compliance or mitigate audit findings and educate staff to ensure internal controls and administrative compliance is understood. Page 2063 of 3896 10 Centralized Grants Compliance Approach The GCO will predominantly be a staff of accountants that oversee single audit and financial related administration functions of all grant contracts countywide with a primary focus on post-award activity. While Divisions will be the lead to develop and apply for grant funding, the GCO will review all grant applications and be available to assist in budgets, assess compliance, human resources and adherence to Board approvals to apply. The GCO serves to assist the Division in administrative functions to allow Divisions to increase focus on program compliance requirements The GGO Grant Accountant(s) will be assigned Departments, Divisions, Grant Programs, or a combination thereof to become experts in assigned area of grant oversight in coordination with the Grants Compliance Manager. GCO staff may take on major administrative tasks as needed such as reporting and draws based on Divisions needs and staffing abilities. Segregation of duties will be maintained at minimum over draws and required reporting through documented review by GCO prior to submission to the grantor agency. Division Fiscal Buddy Legal OMB GrantsCompliance Office Purchasing Division Program /Project Manager Page 2064 of 3896 11 A Grants Assistant or individual Grant Accountants will be integral to monitor, maintain, and setup file system structure, convey the internal coordination between Division and GCO as well as answer or direct incoming inquiries of grants life cycle. Identified Division Fiscal Buddy’s will be trained in application of internal controls to support the GCO. Each Division with active grants managed will be assessed for appropriate staff to be designated. Administrative grant compliance duties assigned Fiscal Buddy’s will be commensurate to their abilities. Un-assignable duties will be managed within the GCO. Finally, other integral County departments who indirectly assist to carryout grant activities will have established coordination with the GCO. Required Skill Sets Grants Compliance Manager: Lead, direct, develop and mentor staff Serve as liaison between Clerk’s Finance/External Auditors and Departments Lead coordination and responses to single audit requests Draft Corrective Action Plans to audit findings and management letters Develop grants procurement strategies, procedures and protocols with Procurement Division Direct assigned Procurement Strategist to grant procurements Review formal and informal grant solicitations Monitor grantor compliance changes and develop proactive strategies to mitigate audit risk Extensive knowledge in federal and state grant funding In depth knowledge of federal and state single audit process Ability to develop, implement and enforce internal controls Develop policies and procedures handbook Ability to effectively communicate policies and procedures to all staff levels and foster a compliance focused approach to grants management Interpret, research and assess federal and state grant contracts and regulations Assess audit risk, apprise leadership of high risk concerns and mitigate risks through corrective or proactive measures Drafts federal and state clause provision packages Develop file management systems for maintaining source documentation for audit reviews Proficient or expert in use of the County’s financial systems (SAP - System Application Project) (GMS – Grants Management System), Microsoft Excel, Minute Traq and other required software Ability to work in an electronic environment Draft and review grant and non-grant budget amendments Setup budgets in a manner that assists in monitoring grant activity in relation to the grant contract budget scope and limits Prepare journal entries Draft financial reports on cash or accrued basis Draft, maintain and monitor an audit trail Page 2065 of 3896 12 Ability to pay close attention to detail Ability to meet required and audited deadlines without fail Ability to follow-up and implement follow-up processes Ability to analyze complex situations and make recommendations which promote the County Manager’s short and long term goals Foster good working relationships with Divisions, Collier Clerks Finance, grantor agencies and external auditors Ability to meet, manage and coordinate timely submission of all assigned grantor program reports and draws Grants Accountant: Reconcile general ledgers for each grant contract Ability to review and assure grant budget adhere to GMS standard protocols and grant contract requirements Ensure County Departments follows CMA 5330 policy and internal controls and protocols set by GCO Understand single audit requirements for grant programs as well as familiarity with program requirements Direct and train County division staff in maintaining compliance Proficient or expert in use of the County’s financial systems, Microsoft Excel and any other software as assigned. Proficient in use of Adobe to manage grant files Understands purpose of Grants Management System (GMS) and how to use it effectively Ability to work in an standardized and electronic environment Ability to implement new or revised internal controls by Grants Compliance Manager Ability to act as an auditor to review compliance Inform Grants Compliance Manager of potential audit risks and concerns Prepare journal entries Draft financial reports on cash or accrued basis Draft, maintain and monitor an audit trail Draft and/or review federal and state provisional language for formal and informal grant solicitations Interpret, research and analyze federal and state regulations, grants contracts and make compliance recommendations Ability to pay close attention to detail Ability to follow-up Ability to meet required and audited deadlines without fail Ability to analyze complex situations and make recommendations which promote the County Manager’s short and long term goals Foster good working relationships with Clerk, Auditors, and Division staff Page 2066 of 3896 13 Ability to meet, manage and monitor timely submission of all assigned grantor reports and reimbursements Ability to monitor and manage the grant contract extensions to prevent funding shortfalls Determine allowability and eligibility of expenditures in relation to grant award contract budget and scopes Ability to interpret and apply grantor requirements to maintain compliance Identified Division Controller/Fiscal Buddy: Daily user of SAP to perform job duties Audit invoices and accurately good receipt invoices Audit subrecipient draw requests (if applicable) Open requisitions (QC procurement is compliant with grantor conditions and administrative requirements) Act as lead communicator with program manager (and with GCO staff as needed) Ability to learn new skill sets Able to draft budget amendments within Grants Management System (GMS) and use GMS effectively Ability to take direction from GCO staff Proactively use new knowledge to manage job duties Ability to understand grant program regulations and single audit compliance Prepares or coordinates draws and grantor reports including source documentation Ability to reconcile general ledger Ability to work in an electronic environment Ability to identify compliance risk and inform GCO staff of such risk including fraud Proactively foster working relationships with program management staff Actively monitor grant program deadlines Review and approve grant related SIRE agenda items Prefer accounting degree Grants Support Specialist: Knowledgeable in grant application practices and County grant policies, practices and internal controls related to grants management Maintain eCivis subscriptions and assist users Ability to work in an electronic environment Ability to independently oversee File Management Drafts GMS and non-GMS budget amendments Prepare journal entries Act as Grants Accountant as GCO Manager assigns Update general ledger reconciliations reports Page 2067 of 3896 14 Provide Grants Management System training as needed Direct or advise on general calls to the Grants Compliance Office Provide countywide grant application support and review Ensure compliance with CMA 5330 through education to Division staff Maintain designed tracking systems and logs as assigned Monitor Minute Traq for grant related actions Ability to learn duties of Grants Accountant for career path growth User of SAP and GMS to perform job duties Familiar with grant program regulations Grants Procurement/Contract Specialist: Ensures compliance with 2 CFR Parts 200.318 - 200.326 Coordinates and maintains working relationships with the Procurement Service Division and all County Divisions procuring goods and services with federal/state grant funding Develops and implements training for County staff procuring goods and service with federal/state funding Determines appropriate federal and state administrative clauses for all grant funded solicitations and contracts Drafts federal and state administrative provisions and required certifications of third-party vendors Ensures special grant contract conditions regarding procurement are met such as but not limited to grantor concurrency or approval of third-party vendor awards Ensures debarment certification and validations via SAM.gov are carried out timely and are on file Develops grant procurement strategies, procedures and protocols to maintain federal compliance with Local County Procurement Policies Advises assigned Procurement Strategist and Division grant managers on grant funded procurements to mitigate or eliminate noncompliance Reviews all grant funded requisition for procurement compliance with applicable grantor agencies Provides an appropriate level of technical assistance to County staff Conducts noncompliance risk as part of day to day oversight and reports all significant risk that could result in a negative audit outcome to the GCO Manager Attend pre-bid and pre-construction meetings as necessary Reviews executive summaries for presentation to Board of County Commissioners Maintain supplemental grant procurement files Page 2068 of 3896 15 CONTROLS Point of Control Internal Controls CMA 5330 County Managers Agency 5330 Grant Coordination Policy requires all Divisions to obtain Board approval for any grant application or award. It also defines what grant documentation must be provided to the established Grants Office. Minute Traq The software system used to manage Board actions through written Executive Summaries. Any grant related items including grant procurements are required to have a Level 2 grants review. Level 2 is approved by the GCO staff and workflows to Level 3 for the GCO Managers approval. Level workflows to upper management of OMB and the County Manager for final review and approval. GMS Budget Setup The SAP Grants Management System module is used to budget and track all revenues including any program income, interest and local match; expenditures and transfers. GMS uses a unique set of Funds and Fund Centers. GMS allows for a Sponsor to be created that identifies Sponsor Classes. Sponsor Classes are linked to a specific commitment item or range of commitment items already established in the SAP Chart of Accounts. Sponsor Classes also align to the grant contract budget categories. GCO staff complete Sponsor setups or revisions through a Sponsor Form for the GCO Managers review before submitting to Clerks Finance for processing. A Grant Setup Form completed by the Division assigned a unique grant project number to the grant contract. For those grants with more complex budgetary needs, a WBS (Work Breakdown Structure) is used as a project number subset to further track revenues and/or expenditures. Budgets are appropriated through Board action at the time of award unless a set of special circumstances exist approved by the Grant Compliance Manager to request budget appropriation before award. After Board approval, GMS budget amendments are routed for review and approval by appropriate OMB management staff before submittal to the Clerks Finance for processing. Exceptions to budgeting grants outside GMS are on a case by case basis approved by OMB for extenuating circumstances such but not limited to FEMA Public Assistance. Grant Solicitations Written Procurement Policy and Procedures exist. Procurement has a designated grants procurement strategist to become an extension of GCO established protocols maintain grantor compliance (provisions, debarment, etc.) and act as a liaison between GCO and Divisions. GCO reviews all formal solicitations support by grant funding to assure required provisional language is included. GCO or the Procurement liaison will draft provisional language, certifications and solicitation packages as necessary. GCO and Procurement will develop forms to document independent cost estimates, Page 2069 of 3896 16 procurement decisions, price/cost analysis and any other required actions. Documents will be kept in a central location. SAP stores procurement files and reviews at established control points ensure support documentation is complete. Grant Requisitions A special workflow has been established for grant funded purchase orders. This workflow requires GCO approval of the requisition. Each Division assigns up to two staff members to approve requisitions outside of the person who enters the requisition. Procurement is the last approver before a requisition to a purchase order. A GCO review ensures grantor compliance has been met and the grant file is up to date. A requisition compliance checklist is maintained and periodically updated to include but not limited to items such as non-debarment verification, inclusion of required provisions, executed certifications, activity is allowable, funding is available, activity is eligible per scope, cash or inkind match is addressed and falls within the period of availability. Any missing compliance is grounds for withholding approval of the grant requisition until compliance is met. IT related requisitions have a secondary review by IT. Division staff good receipts invoicing through the use of Dolphin (SAP Module). The Clerk’s Finance processes all payments and receipts. Clerks Finance The Clerk of the Circuit Court of Collier County is an independently elected Constitutional Officer and Public Trustee whose responsibilities include Accountant, Auditor, Keeper of Court and Public Records and "Watchdog" of all Public Funds. The Clerk's role is defined by the Florida Constitution of 1838 and Florida Statutes to ensure a critical system of “checks and balances” to protect and serve the citizens and taxpayers of Collier County by making sure that all taxpayer dollars are spent lawfully. https://www.collierclerk.com/clerks-office/roles Monitoring - File Grant Files are maintained by GCO in Sharepoint by each Management Department, Division, Grant Program and Grant Contract. Sharepoint is read only to any CMA employee and Clerk Finance staff working with grants. Edit rights are provided by the GCO Manager to Division staff identified as a Fiscal Buddy. A written nomenclature is used to organize files and folders to allow grants to be monitored for required support documentation, grant status, deadlines and more. Monitoring- General Ledger Reconciliation A GL Reconciliation Report template has been established via Microsoft Excel workbook. A workbook is setup for each grant contract or series of recurring grant programs. Raw general ledger is imported and remains un-manipulated. Raw Data is summarized in a Pivot table to monitor budget to actual line items per the grant Page 2070 of 3896 17 contract. Expenses and revenues are reconciled no less than Page 2071 of 3896 18 quarterly, during each draw request, financial report approval or as determined to assist Divisions in advisements. GL Recon Reports are setup at the time of award and include additional worksheets to monitor key compliance areas such as but limited to cash management, report deadlines, program income, special provisions, inventory, amendments as well as any special internal processes to manage internal deadlines or unique attributes. Cash Management GCO staff review all draw requests and require and auditable Reporting reports. Segregation of Duties are maintained. A written internal control exist within Handbook. Time and Effort Documentation GCO assists Divisions in developing written procedures. GCO has a timesheet template to track actual hours worked on a grant(s) with or without multiple funding sources. Payroll and automated benefits charged each pay period (FICA, retirements, may only be charged to a grant through the SAP payroll system including any revisions. Other benefit charges (health, disability, dental, etc) not processed each pay period that must be allocated through a journal entry may only be done so by the GCO and is based on proportional share of actual benefit cost to the individual employee. Payroll documentation must include an attestation signed by staff performing grant related activity and the supervisor. DBE, M/WBE, Standard forms are used to capture and monitor third party Section 3, Veterans participation and report participation to grantor agencies when required. Federal agencies requiring goal setting is carried out by Division staff. EEO Management & Davis Bacon For large federal programs such as HUD and FHWA/FDOT, grantor handbooks specific to Davis Bacon are heavily relied as a resource for compliance. Standard protocols have been developed to manage Davis Bacon from inclusion of provisions and the DOL Wage Determination within the solicitation and contract, review of compliance at the pre-con meeting, use of forms for sublet and pay period identification, certified payroll reviews, noncompliance corrective action requests as well as labor interview in the field. Match Requirements Ensure accurate budget setup to track cash match requirements and actual match is properly coded per regular general ledger reconciliation monitoring and review. Assess and advise Corporation Financial and Management Services Director of impacts in use of General Fund match commitments. Program Income Ensure program income is properly reported, applied against draws, and recognized on a regular basis, no less than annually. Page 2072 of 3896 19 Travel Grant funded travel must complete a travel request form before procurement. Travel allowability will be determined by the grant contract and supporting Federal or State regulations. Support Page 2073 of 3896 18 documentation such as but not limited to traveler information, an agenda, hotel receipt, Federal or State standard per diem rates (whichever is applicable), mode of transportation including parking fee receipts, airline tickets receipts and time of travel and location. Asset Management An asset module within SAP is used to identify capital assets at the point of requisitions and through designated commitment items. At the point of award, Grant Setup, and budget appropriation, capital items are also identified to ensure equipment and assets purchased with grant funds are properly accounted for, including disposal. Grant funded assets are maintained in a Grant Fund and unique project number to assist in tracking. Asset records contain all required inventory elements. Clerk’s Finance conducts an annual inventory in coordination with CMA Divisions. An Asset Form exists to document acquisition, disposal and transfers. CMA 5809 Subrecipients Currently – only the Community and Housing Services Division (CHS) award subrecipient. CHS has robust monitoring program to ensure compliance is net as well as pre-assessment tools to ensure subrecipients have the wherewithal to comply without conflict of interest. Reimbursement requests are audited properly prior to submission to Clerk’s Finance for payment. GCO assist the Division in single audit OMB 133/2 CFR 200 monitoring. Page 2074 of 3896 19 OFFICE OF GRANTS COMPLIANCE County Manager’s Agency Collier County Board of County Commissioners W. Harmon Turner Building, 2nd Floor 3299 East Tamiami Trail Naples, FL 34112 Main Telephone: 252-8973 Staff: Mark Isackson, Director of Corporate Financial & Management Services 252-8717 Therese Stanley, Grants Compliance Manager 252-2959 Valerie Fleming, Grants Accountant 252-2040 Erica Robinson, Grants Accountant Sr. 252-2044 Vacant, Grants Accountant Sr. 252-8189 Carrie Kurutz, Grants Procurement Specialist 252-8189 Page 2075 of 3896 20 ORGANIZATIONAL CHART Page 2076 of 3896 21 GRANTS COORDINATION CMA 5330 outlines the County Divisions responsibility to coordinate grant application and awards efforts through the Grants Compliance Office as well as required Board approvals for both application and award. Page 2077 of 3896 22 GRANT APPLICATIONS GRANT APPLICATIONS Pursuant CMA 5330 all grant applications will be reviewed by the Grant Compliance Office and presented to the Board for approval prior to submittal to the grantor agency. The County Manger may make exceptions in certain circumstances as described within CMA 5330. Divisions shall work with their assigned GCO staff to complete an After the Fact Request Form (ATF) for consideration and authorization by the Grants Compliance Manager. The most frequent circumstance an ATF would be authorized for is due to the timing difference between when an application submittal deadline and when the application can be presented to the Board for approval. All ATF Board approved applications are reviewed by the OMB Grants Compliance Office and approved by the County Manager PRIOR to submittal to the grantor agency. A division’s first action to apply for any grant is to determine whether or not Board approval can be garnered before the submittal deadline. If Board approval cannot be garnered, an ATF is to be completed prior to the development of the application. WHO HAS AUTHORIZATION TO SUBMIT FUNDING APPLICATIONS? The Board of County Commissioners and in certain circumstances per CMA 5330, the County Manager. WHAT IF MY GRANTOR REQUIRES THE GRANT APPLICATION TO BE SUBMITTED ELECTRONICALLY BY AN AUTHORIZED REPRESENTATIVE? More grantor agencies are doing business electronically and do not expect the entity’s elected official to log in and perform administrative actions. In these cases, grantors require an “authorized representative” to be designated. This designation can be done only by the action of the Board. Contact the Grants Compliance Office to assist in this designation and appointment. Divisions will still be required to obtain standard Board approvals of grant applications regardless of how the application is submitted and the Board designates approvals. BOARD APPROVAL - AFTER THE FACT PROCESS (ATF) Division completes an ATF request form and forwards it to GCO with a copy of the Notification of Funding Opportunity (NOFO). ATF form is available on Sharepoint. The GCO Accountant reviews the request and NOFO to verify compliance with CMA 5330, sets up a grant file and forwards the request to the GCO Manager for approval. A County Manager Approval Memo is drafted by GCO with Division input to formally authorize the ATF Board action. The Division prepares a draft Executive Summary concurrently with the grant application. Page 2078 of 3896 23 The Division provides the full grant application package as will be submitted to the grantor agency, with the draft Execute Summary (ES) no less than three (3) business days before the grant submittal deadline. GCO reviews the application package for accuracy, verifies the ES is in a draft form and finalizes the County Manager Approval Memo. GCO presents the application package and memo to the County Manager for approval including signature. GCO notifies Division when the package is ready for pickup/submittal. Division submits application to grantor as presented to GCO, County Manger and subsequent Board approval. Division prepares Board action and requests a grant review within the agenda system. Agenda item support will include entire application package as submitted to the grantor agency verbatim and the County Manager Approval Memo. The ATF request is an internal form to obtain GCO authorization to proceed with the grant application and is not required to be attached as support to the Board approval action. SUBMITTAL VIA GRANTS.GOV Collier maintains one grants.gov registration (including the County’s annual SAM registration) through the OMB Grant Compliance Office. The Grant Compliance Manager position submits all grant applications mandated to be submitted through grants.gov to ensure CMA 5330 is upheld. GRANTS.GOV WORKSPACE SETUP As of December 2017, Grants.gov application submittals require use of an online “workspace” to develop and submit applications. Any County employee may create a user account to initiate a workspace. All user account are approved by the GCO Manager. APPLICATION CONSIDERATIONS The following areas are known to create post award management risk. GCO staff will troubleshoot and offer options with Division staff to mitigate risk during application development. Adequate support document to prove time and effort spent on Staff Inkind Compliance Area Concern Pre Award Costs Detailed in Application to comply with Period of Performance Cash Match Period of Performance, Scope of Work, Full Amount Available at time of Award Acceptance, Proper Calculation Budget Detail / Line Items Budget control at each individual line item has a direct affect on administrative burden to the number of line items Equipment Defining equipment versus supplies, Inventory disposal permissions, Title Holder Page 2079 of 3896 24 APPLICATION ROUTING FOR LEGAL REVIEW Each Divisions project or program manager is responsible for routing the grant application to the County’s Attorney’s Office, signed by the Board of County Commissioners. It is the responsibility of the department to ensure the following: 1. All documentation needed for signature is obtained and uploaded into the SIRE agenda system prior to the corresponding BCC meeting deadlines 2. Notification is given to the County Attorney’s Office that a “time sensitive” item is needed for BCC signature (provide grant application due date) 3. The signed application is picked up from Minutes and Records and is submitted to the appropriate grantor agency ECIVIS The County maintains a subscription service with ECIVIS to provide County Divisions and nonprofits within Collier County a way to research grant opportunities from a single database as well as provide overviews of federal compliance requirements. Contact GCO for account access. the grant projects requires time keeping documentation even if HR Policy does not require timesheets. Consider the administrative burden tracking all hours worked and paid leave each pay period. Sized at fair market value with valid proof Time keeping of all hours (grant and non grant) is required even if not required by County policy and procedures. Direct cost of benefit only. Funding source may have more restrictive thresholds, no Local Vendor Preference eliminates use of County contracts, additional record keeping is required throughout the process Federal requirements include Davis Bacon (certified payrolls) and EEO field compliance. Federal rule must be followed even when $1 dollar of federal funding is used in any program or project Catalog number, knowing what it is and how to use it to find out what compliance areas will be reviewed Other Inkind Personnel Procurement Construction Dual Federal and State Funding CFDA/CSFA Page 2080 of 3896 25 GRANTS FILE MANAGEMENT Internal Control: Maintain a standardized file system for grant applications and awards to support the audit trail, promote successful single audit review and serve as a monitoring tool. Purpose: File management is a key control activity that maintains source documentation in preparation of the audit trail to support single audit review. The audit trail will be developed in a consistent format to provide for a successful review. The audit trail will be developed in a manner that a reviewer has few to no questions to understand the transaction and support. The file system will also serve to assist GCO staff in regular monitoring of administrative compliance. The GCO will maintain electronic grant files in a central location through the use of Sharepoint. All BCC County staff will have read access as well as designated Clerk of Courts Finance staff members for single audit coordination. Only designated staff will be given edit access by the GCO Manager or designee. Pursuant CMA #5330, the Collier Board of County Commissioners (BCC) approval is required for all grant applications, awards and amendments. Any necessary BCC approvals for procurement are pursuant Procurement Policy. BCC approvals are managed through Minute Traq. GCO staff will review all grant related agenda items through required Minute Traq workflow approvals. For those Departments significantly funded by grants, GCO may request review of all agenda items (grant and non-grant) in order to monitor, assess and advise on grant funding impacts. Methods: folder setup by awarding agency, program, grant contract standardized file names, standardized file components, defined points for file setup and review, and regular review to eliminate duplicates and unexecuted copies. Access: All County staff have view access as well as Clerk’s Finance. Only GCO and the identified Grant Controllers will have edits rights. Timeline: Setup will begin no later than at the point of application or SIRE activity. Location: http://sp16/sites/Grants/PostAwardGrantDocs/Forms/AllItems.aspx Page 2081 of 3896 26 GRANTS FILE MANAGEMENT File management Nomenclatures will be maintained in separate document – Job Aid – OMB – FILE MANAGEMENT NOMENCALTURES and covers the following areas file management. Sharepoint Single Audit File Procurement Files Master Calendar – Tracking Grantor deadlines and submittals County Division and Department Abbreviations Page 2082 of 3896 27 GRANTS FILE MANAGEMENT – CLOSEOUT PROCEDURES Ensure all executed documents are on file Confirm Grant is complete and met program objective Grantor Closeout forms/reports (if any) completed and on file Request all Purchase Orders are closed (if necessary) Update REPORT GL with final review and revenue postings Prepare Closeout BA (Division or OMB) - Target 60 days of final revenue posting Confirm Closeout BA is processed Update MASTERLIST (GCO Manager) Move to COMPLETE file (GCO Manager) GCO Manager will QC all actions have been taken before moving to the complete file. Page 2083 of 3896 28 GRANTS FILE MANAGEMENT – ROLES OMB GRANTS ASSISTANT REVIEW CHECKLIST Add Executive Summaries each BCC meeting and agreements, applications (Update day of BCC meeting) Outstanding agreements: collect executed – delete unexecuted Grant File folder has expiration date within title or within folder Rename files not in appropriate format Delete duplicate files Merge stand alone documents when appropriate and delete duplicate Reports – all on file, named correctly (date is report period end) Expiring within 90 days – any action needed? For completed grants, all grantor closeout documents are on file, file is complete, final revenue has been collected and a closeout budget amendment is executed and processed. OMB GRANTS ACCOUNTANT REVIEW CHECKLIST Ensure grants files are up to standards outlined under OMB Grants Assistance and make all revisions as necessary including adding files and amending file names as appropriate. GL Reconciliation Perform or review no less the quarterly unless otherwise required and prior to Reimbursement Request or Draw Approval Report Approval Staff Advisement as needed Ensure Files have complete audit trail Reimbursement Requests are made timely per established protocol Revenue has been received on prior Reimbursement Request Reconciling items are posted from prior period Each draw is tied out to expenditure Expenditures appear to be eligible and allowable based on current program status Expenditures appear to be properly coded Discrepancies are vetted and if necessary disclosed to pertinent staff Grantor budget limits and earmarks are compliant Program Income or any other revenue is factored Reports On file Appropriate approvals to demonstrate segregation of duties Reconcile to GMS Submitted on time Draws On file Follow OMB protocols Demonstrate segregation of duties Submitted timely Documentation is the standard format Page 2084 of 3896 29 GRANTS FILE MANAGEMENT – ROLES Expiration Date Assess if actions are needed to extend Ensure Division staff are taking appropriate actions for extension no less than 30 days prior to expiration Copy GCO Manager on extension reminders DIVISION FISCAL BUDDY’S AND PROGRAM/PROJECT MANAGERS REVIEW CHECKLIST Assist GCO in maintenance of files Provide copies of executed agreements, amendments, and any correspondence that supports the audit trail May use Grant Files on a day to day basis to manage compliance Ensure Monitoring Notices, Reponses and Reports are provided to GCO within (3) business days Ensure Internal Controls and Protocols established by GCO are carried out Communicate compliance issues and changes to GCO to collaborating resolve or mitigate audit risk ACCESS (MAINTAINED SEPARATELY) GCO staff will have full access and edits. Only Division staff (IE - Fiscal Buddies) approved by the GCO Manager may be provided full access to Sharepoint with edit rights. The Clerks Finance Department will also be offered access in coordination for single audit. Page 2085 of 3896 30 GRANTS FILE MANAGEMENT – SHAREPIONT VIEWS Find your Division and Department. Note compliance aid documents applicable to all federal grants are available here as a resource. To view in an explorer setting to work in a regular drive and file folder structure, select the library tab. The Library Tab has a option to “Open With Explorer” Page 2086 of 3896 31 AGENDA MANAGEMENT BOARD APPROVALS The County’s IT Division maintains Agenda Software User Guides. All grant actions requiring Board approval are subject to a grants review. A grants review provides the item to the GCO staff for approval at Level 2. Once GCO staff approves the item at Level 2, the GCO Manager with the Office of Management & Budget will review and approve the item at Level 3. Divisions heavily funded by grant funding may be asked to submit all agenda items to a level 2 grants review to remain informed about all activities that could impact current or future grant funding and/or compliance. Page 2087 of 3896 32 GRANTS MANAGEMENT SYSTEM (GMS) SAP BUDGET AMENDMENTS REQUIRED APPROVALS (Updated 4/13/11) BUDGET AMENDMENT TYPES APPROVAL AUTHORITY CODE Administrative Authority Budget amendments of $50,000 or less within the same fund and division and not impacting reserves or recognizing revenue CM Grants & Project Close-outs ADMIN Budget Amendment Report Decrease to reserves of $25,000 or less Budget amendments of $50,000 or less within the same fund, but different division REPORT Executive Summary Decrease to reserves in excess of $25,000 Budget amendments greater than $50,000 (including increases to capital projects) New positions and/or new services Appropriate revenue from grants, donation, contributions, unanticipated revenue (enterprise/proprietary funds) or insurance proceeds – Resolution (RESO) Increase of a fund total by recognizing carry forward or a transfer from another fund – Public Hearing (PH) NO FURTHER ACTION (NFA) Board of County Commissioners via Executive Summary RESO is processed at the subsequent BCC meeting. PH is processed once per month. Page 2088 of 3896 33 GRANTS MANAGEMENT SYSTEM (GMS) SAP BUDGET AMENDMENTS SCENARIOS Budget Amendment type Increase/decrease – Scenario 1 Increase/decrease – Scenario 2 Revenues (IE-Carryforward) Expense (IE – Transfer To) If revenues increase… Expenses must increase If Revenues are decreased… Expenses must decrease Revenue account Revenue account If one revenue acc’t increases The other revenue acc’t must decrease If one revenue acc’t decreases; The other revenue acc’t must increase Expenditure account Expenditure account If one exp acc’t increases The other exp acc’t or Reserves must decrease If one exp acc’t decreases; The other exp acc’t or Reserves must increase RESERVES Carryforward is a Revenue account (use Fund Center 919010) Reserves is an Expenditure account (use Fund Center 919010) TRANFERS Transfer To or Transfer From use Fund Center 929010 Transfer To is an Expense (Commitment 91XXX0) Transfer From is a Revenue (Commitment 481XXX) When making multiple transfers out of a fund to match a grant, note under “why are funds needed” please note the project number and amount needed. It helps the auditors and anyone else who has to do research, to explain where the money went / to which project. Page 2089 of 3896 34 GRANTS MANAGEMENT SYSTEM (GMS) ZFI_GRANT_BUDGET GRANT BUDGET REQUEST The application highlights: Creates Grant Budget request thru SAP ECC transaction. No portal is required. Data entry is validated in SAP data base. Intuitive navigation. Data entry can be saved so it could be restored later. Grant Budget request is Interactive PDF form. The form can be used for: o Further data entry. o Uploading form data into SAP after request is approved (future development). Important notes and hints: Data entry screen: Red asterisk indicates required field. White colored field indicates open for entry field. Yellow colored row indicates Selected for Remove. Clicking on Remove button will delete yellow colored row form the corresponding table. It is necessary to hit Enter key after entering a new value into a field. This will ensure the application response. For ex. percent/ total will be calculated after amount is entered and Enter key hit. Another example - commitment description will be populated after commitment is entered and Enter key hit. Annoying scrolling can be avoided by reducing the Screen working area. Click Collapse Tray buttons for that. PDF form: Blue colored field indicates open for entry field. Both Data entry screen and PDF form: To tab thru open for entry fields in clockwise direction - use TAB key. To tab thru open for entry fields in counterclockwise direction - use TAB+SHIFT key. Page 2090 of 3896 35 GRANTS MANAGEMENT SYSTEM (GMS) ZFI_GRANT_BUDGET GRANT BUDGET REQUEST STEPS 1.Enter transaction ZFI_GRANT_BUDGET. Initial screen will be displayed: 2.Enter Grant number. Grant data will be displayed: Page 2091 of 3896 36 GRANTS MANAGEMENT SYSTEM (GMS) ZFI_GRANT_BUDGET GRANT BUDGET REQUEST 3.Select Fund Center from dropdowns and enter amounts. For example: Page 2092 of 3896 37 GRANTS MANAGEMENT SYSTEM (GMS) ZFI_GRANT_BUDGET GRANT BUDGET REQUEST 4.Once Revenue Total is equal Expense total - the corresponding PDF button will become enabled. In this case Revenue Grant amount = Expense Grant amount = $5,000.00. Page 2093 of 3896 38 GRANTS MANAGEMENT SYSTEM (GMS) ZFI_GRANT_BUDGET GRANT BUDGET REQUEST 5.Commitments and Sponsored classes can be added for both Revenue and Expenses. Click accordingly “Add Rev Commitment” or “Add Exp Commitment” button. When you select Add, a blank line opens. Sponsored class and commitment item can be selected from the dropdown menu. Page 2094 of 3896 39 Page 2095 of 3896 40 GRANTS MANAGEMENT SYSTEM (GMS) ZFI_GRANT_BUDGET GRANT BUDGET REQUEST 6.If for some reasons you can’t complete the Request now but wish to save it so you could finish later, click button. A prompt will be displayed: Then click Save. Another prompt will be displayed: File name will be prompted -in this case “GrantBud-33062-20121002-132537.xml”.Select the desired location and click Save. The generated file name has <grant number>-<date>-<time> which is helpful when you come back to complete the Request. Page 2096 of 3896 41 GRANTS MANAGEMENT SYSTEM (GMS) ZFI_GRANT_BUDGET GRANT BUDGET REQUEST After returning back - you may want to restore previously saved data rather than repeating data entry . Enter the grant number and fiscal year. Then click . Then select your file and click OPEN. The Browse will become populated with the file Path/name: Click Restore button . Page 2097 of 3896 42 GRANTS MANAGEMENT SYSTEM (GMS) ZFI_GRANT_BUDGET GRANT BUDGET REQUEST The screen will display previously entered data and you can continue your Request. Once data entry is completed and Revenue/Expense balance reach zero, the buttons will become enabled. Click the corresponding button to View/Update/Print/Save your request in Acrobat Reader. 7.The fields open for data entry In Acrobat Reader are: Agenda Item Agenda Date. Public Hearing Item. Public Hearing Item Date. Prepared By (this field is prepopulated but can be overwritten). Prepared Date (this field is prepopulated but can be overwritten). Why Funds Are Needed. Where Funds Are Available. Page 2098 of 3896 43 Six Reviewed By fields. GRANTS MANAGEMENT SYSTEM (GMS) ZFI_GRANT_BUDGET GRANT BUDGET REQUEST Page 2099 of 3896 44 GRANTS MANAGEMENT SYSTEM (GMS) GRANT FUND LIST DEPT FUND FUND CENTER FUND CENTER NAME ASD 493 144616 EMS GRANTS ASD 494 144617 EMS MATCHING FUNDS ASD 701 144391 SPECIALIZE GRANTS ASD 703 122293 FAC MGT GRANTS ASD 704 122294 FAC MGT MATCH ASD 703 144223 EM GRANTS ASD 704 144224 EM MATCH CMO 713 100113 COUNTY MGR GRANTS CMO 714 100114 COUNTY MGR MATCH CMO 713 138765 ECON DEV GRANTS CMO 714 138766 ECON DEV MATCH CMO 715 138315 IMM CRA GRANT CMO 716 138316 IMM CRA MATCH CMO 717 138341 BAYSHORE CRA GRANT CMO 718 138342 BAYSHORE CRA MATCH GMD 498 192346 MARCO AIRPORT GRANTS GMD 498 192348 EVRGLADES ARPRT GRAN GMD 498 192344 IMMOKALEE ARPRT GRAN GMD 499 192347 MARCO AIRPORT MATCH GMD 499 192349 EVERGLADES ARPRT MAT GMD 499 192345 IMMOKALEE ARPRT MATC GMD 711 138338 MPO GRANTS GMD 711 163625 TRAFFIC OPS GRANTS GMD 711 172911 STORMWATER GRANTS GMD 711 110403 COASTAL ZONE GRANT GMD 711 163622 TECM GRANTS GMD 711 163631 PLANNING GRANTS GMD 711 163637 ROAD MAINTENANCE GRT GMD 711 163661 LANDSCAPE GRANTS GMD 712 138339 MPO MATCH GMD 712 163623 TECM MATCH GMD 712 163626 TRAFFIC OPS MATCH GMD 712 163632 PLANNING MATCH GMD 712 163638 ROAD MAINT MATCH GMD 712 163662 LANDSCAPE MATCH GMD 712 172912 STORMWATER MATCH GMD 712 110404 COASTAL ZONE MATCH Page 2100 of 3896 45 GRANTS MANAGEMENT SYSTEM (GMS) GRANT FUND LIST DEPT FUND FUND CENTER FUND CENTER NAME PSD 424 138424 CATT GRANTS PSD 425 138425 CATT MATCH PSD 428 138428 TRANS DISADV GRANTS PSD 429 138429 TRANS DISADV MATCH PSD 705 138705 HOUSING GRANTS PSD 706 138706 HOUSING MATCHING FDS PSD 707 155970 HUMAN SVS GRANTS PSD 708 155971 HUMAN SVS MATCH FD PSD 709 155415 ANIMAL SVS GRANT PSD 709 156115 LIBRARY GRANTS PSD 709 156318 PARKS GRANTS PSD 709 157115 EXTENSION SVS GRANTS PSD 710 155416 ANIMAL SVS MATCH PSD 710 156116 LIBRARY MATCHING FDS PSD 710 156319 PARKS MATCHING FUNDS PSD 710 157116 EXTENSION SVS MATCH PSD 711 163633 ATM GRANTS PSD 712 163634 ATM MATCH PSD 791 138791 SHIP GRANT PUD 416 263418 WATER USER GRANTS PUD 416 273416 WASTE WATER IMP GRT PUD 416 273418 WASTE WATER USER GRT PUD 416 263416 WATER IMPACT GRANTS PUD 417 263419 WATER USER MATCH PUD 417 273417 WASTE WATER IMP MATC PUD 417 273419 WASTE WATER USER MAT PUD 417 263417 WATER IMPACT MATCH PUD 475 173424 SOLID WASTE GRANTS PUD 476 173425 SOLID WASTE MATCH FD LEGEND ASD ADMINISTRATIVE SERVICES DEPARTMENT CMO COUNTY MANAGERS OFFICE GMD GROWTH MANAGEMENT DEPARTMENT PSD PUBLIC SERVICES DEPARTMENT PUD PUBLIC UTITILIES DEPARTMENT Page 2101 of 3896 46 GRANTS MANAGEMENT SYSTEM (GMS) SPONSOR AND CLASS SETUP/REVISION SPONSORS AND SPONSOR CLASSES Draft grant agreement on file Sponsor is always setup by GCO Staff Multiple Sponsors may be setup for a single grant program o Grant Program managed in more than one Department/Division o Dept/Division are segregated by fund centers – permissions cannot be shared CFDA/CSFA has been identified in writing from the grantor agency either as a citation within draft agreement or via an email advisement from grantor even to disclose a catalog number is not applicable. o It is the grantor’s responsibility to either provide a catalog number or advise a catalog number is not applicable. o CFDA/CSFA’s will be reviewed by GCO staff in preparation of the Sponsor Form SPONSOR CLASS NAME Ties to the draft grant agreement budget categories or draw categories. Grantor contracts with unique draw categories will drive the sponsor class. Complex funding will use the WBS to supplement tracking. Coordinate with OMB Grants Compliance Manager to determine best setup. (Finance may be coordinated with.) o WBS incurring payroll charges must be identified. Sponsor Class is not the name of the commitment except for Transfers, Carryforward Strategy: Core principles are used to setup each grant contract within the SAP Grants Management System (GMS). Unique Funds track revenues and expenditures and segregate by grantor, required match and any additional local share. Due to the number of unique attributes that individual grant programs have, customized setup for each program will be considered and waivers may be given in unique circumstances such as but not limited to awards granted post expenditure, reimbursed on a unit basis, unique reporting requirements and/or the Division’s current operating budget. Page 2102 of 3896 47 GRANTS MANAGEMENT SYSTEM (GMS) SPONSOR AND CLASS SETUP/REVISION SPONSOR MATCH FUND Match (Cash) o Required by the grantor agency o Auditable attribute described within CSFA/CFDA o Sponsor Match Fund always used unless unique circumstances determines otherwise o Noncash Match (Inkind) to be reviewed and discussed with GCO Manager Local Contribution/Share o Not required o Not an auditable attribute per CFDA/CSFA o Additional funds required to complete project o Local/Capital Fund will be used for local contribution (same project number) except with GCO Manager approval in one or more circumstances: Sponsor requires comprehensive reporting Local contribution is budgeted within a non-project Fund Local contribution is cited in grant award COMMUNICATIONS Completed Sponsor forms will be maintained in a designated file location assigned by the GCO Manager and numbered sequentially each fiscal year. Numbering will start at SYY-001 each fiscal year. o SYY-XXX SPONSOR NEW (ABBREVIATED DESCRIPTION) o SYY-XXX SPONSOR UPDATE (SPONSOR NUMBER) (ABBREVIATED DESCRIPTION) o Abbreviated description is the grant program name o Sponsor Number assigned to a NEW sponsor will be added to file name after assignment. The GCO Manager will be noticed by GCO staff when a Sponsor Form is ready for review via email. o Attachment of the Sponsor Form is unnecessary. o Subject line must contain “SYY-XXX ready for review" o GCO Manager will review, vet and make any necessary changes GCO Manager will submit Sponsor Form to Finance for processing and copy all pertinent GCO Staff. Page 2103 of 3896 48 GRANTS MANAGEMENT SYSTEM (GMS) GRANT CONTRACT/AWARD SETUP GRANT PROJECT # May prefill with an existing capital project number or grant project that has multiple phases, contracts or sponsors. SPONSOR NUMBER Use SAP BUP3 to ensure correct sponsor has been designated. TIP: Multiple sponsors may have been setup if more than one County Division or Department receives funding. (Unique cost centers). SPONSOR NAME Sponsor name shall be verbatim of what is in SAP BUP3. NAME OF GRANT This is what will display is SAP Budget to Actual Reports. Review the appropriate SAP Fund and create a name that is consistent with current names and spacing. GRANT CONTRACT START AND END Dates reflect the period of availability. An estimate may be used for the Contract Start date if contingent upon the date of execution/signature. GRANT VALID TO DATE This should reflect the date the final invoice is due or 90 days after the Grant Contract End date, whichever is later. CFDA/CSFA Review the contract and ensure a catalog number has been provided. If the draft grant contract is silent, contact the grantor agency to obtain the correct catalog number in writing. It is the grantor agency’s responsibility to provide this information. Cite the specifics of the contract such as the agreement number in the request to the grantor agency. Even if no catalog number is assigned, obtain written concurrency if it is not clear within the contract. WBS STRUCTURE Use to supplement financial monitoring in addition to Sponsor Classes. IE – use to mirror grant contract budget categories, report categories as defined by grantor agency or enhance subrecipient monitoring. May be setup at a later time in order to review the grant agreement. TIP: The WBS description name is generic to fit either an expense or revenue category. If only a single WBS is used, it is generally the Name of Grant. Page 2104 of 3896 49 JOB AIDS Additional specific grant program Job Aids are maintained under APPENDIX D of this handbook. The most current version is maintained on Sharepoint. Page 2105 of 3896 50 SAP REPORT INSTRUCTIONS SAP stands for System Application Products and is the County’s financial management and accounting software. SAP has numerous reports available to assist in tracking grant expenditures and revenues including reports from the Grants Management System. The Job Aid – SAP REPORTS AND OTHER LOOKUPS provides instructions on the tools and reports available to users. Job Aids can be found on the GCO Sharepoint as well as IT Sharepoint. Use of SAP requires a username and password. Please work within your Division management team and IT Division for access. Page 2106 of 3896 51 ACTIVITIES ALLOWED/ UNALLOWED – ELIGIBLE COST In addition to use of 2 CFR Part 200 (Subpart E Cost Principles), always refer to the grant contract scope and budget line items to determine eligible costs and allowed activities. Larger federal and state grantor agencies often have additional resources available on their website. A copy of 2 CFR 200 is maintained in a searchable format on Sharepoint. When in doubt, contact the GCO for advisement. In may be necessary to garner grantor clarification in writing before committing to expenditure. Pursuant 2 CFR Part 200.403 Factors affecting allowability of costs Except where otherwise authorized by statute, costs must meet the following general criteria in order to be allowable under Federal awards: (a)Be necessary and reasonable for the performance of the Federal award and be allocable thereto under these principles. (b)Conform to any limitations or exclusions set forth in these principles or in the Federal award as to types or amount of cost items. (c)Be consistent with policies and procedures that apply uniformly to both federally-financed and other activities of the non-Federal entity. (d)Be accorded consistent treatment. A cost may not be assigned to a Federal award as a direct cost if any other cost incurred for the same purpose in like circumstances has been allocated to the Federal award as an indirect cost. (e)Be determined in accordance with generally accepted accounting principles (GAAP), except, for state and local governments and Indian tribes only, as otherwise provided for in this part. (f)Not be included as a cost or used to meet cost sharing or matching requirements of any other federally-financed program in either the current or a prior period. See also § 200.306 Cost sharing or matching paragraph (b). (g)Be adequately documented. See also §§ 200.300 Statutory and national policy requirements through 200.309 Period of performance of this part. Period of Performance The period of performance are the effective dates of the grant award or start and end dates that your grant contract may incur expenditures. Generally, the start date is an explicit date cited within the contract or the date of execution. When the start date relies on the date of execution, it is often the date of last signature to fully execute the grant contract. Each contract must be read to understand the period of performance. Note that expenditures are incurred when goods or services are received, not when payment is issued to a vendor. Be mindful of the services or goods that must be rendered by expiration date of the grant contract. Grantor agencies often require a request for extension 30 days or more prior to expiration. Page 2107 of 3896 52 PRE-AWARD COST Under certain circumstances, grantor agencies may allow for expenditures to be outside of the period of performance or before the effective date of the grant award. Generally, pre award costs are allowable only to the extend that they would have been allowable if incurred after the date of award and only with the written approval of the grantor agency. Any written grantor approvals of pre-award are to be forwarded to the GCO. Page 2108 of 3896 53 TREATMENT OF DIRECT/INDIRECT COSTS Administrative Administrative costs may be direct or indirect. Direct costs are readily identifiable to a specific grant program or activity with a high degree of accuracy and are not recovered as an indirect cost. Direct administrative costs – if eligible per the grant contract – will follow appropriate protocols consistent with support and documentation of such costs. Indirect Costs Indirect costs fall into two categories. Either administration or facilities and are incurred for a common or joint purpose benefitting more than one cost objective. These costs are not easily identifiable and require either an approved Cost Allocation Plan or an Indirect Cost Rate Proposal. At present time, Collier County only has an approved Central Service Cost Allocation Plan for centralized Fleet Services. As such, no other indirect costs shall be charged to any grant program without the review of the OMB Grants Compliance Manager to ensure appropriate federal support or approvals are garnered to comply with requirements as defined within 2 CFR Part 200.416. If compliance cannot be met, local sources of funding will be used. Collier County Fleet Management Division uses a third-party consultant to assist in preparation of the countywide Fleet Cost Allocation Plan. This plan is drafted annually during rate setting for the upcoming fiscal year budget cycle. Direct Costs Direct costs charged to federal awards will be compliant with 2 CFR Part 200.413. Direct costs may benefit two or more grant activities or projects. When the benefit is easily determined without undue effort or cost, expenses will be allocated based on the proportional share of benefit. In cases where the proportional share is more difficult to be determined because of interrelationship of the work involved, costs may be allocated on a reasonable documented basis. In any circumstance, benefitting grant awards may not be charged based on reasons to overcome fund deficiencies or avoid restrictions imposed by statutes, terms or conditions of an award. The GCO will either prepare cost allocation methodologies with supporting documentation or at minimum review methodologies proposed by Divisions prior to implementation. Overall, both direct costs and administrative costs are tracked through SAP, customarily within the GMS module unless an exception has been made. All grant award maintains a General Ledger report to monitor actual expenditures to grantor approved budget categories. Page 2109 of 3896 54 PAYROLL – SALARIES AND BENEFITS Payroll (Salaries and Benefits) Salaries and benefits of administrative and clerical staff may be treated as direct cost (2 CFR 200.414) if all of the following are met: (1 positions are integral to a project or activity, 2)individuals are specifically identified within the project or grant activity, 3)costs are explicitly included in the grant contract budget or have prior written approval of the grantor agency, and 4)the costs are not recovered as indirect costs. Salaries and benefits of program staff that work direct hours on a grant project or activity will use the following protocols document actual hours on a grant compliant timesheet in accordance with the current fiscal year Payroll Calendar set by the Human Resources Division will use a compliant timesheet but either using a GCO template or a Division template reviewed by the GCO prior to use, any deviation presented by the Division will be vetted by GCO for an exception should applicable regulations allow timesheets will include all hours worked regardless of funding source to generate an equitable time distribution follow all County Human Resource policies and procedures regarding timekeeping will coordinate grant timekeeping efforts with GCO/HR as needed or advised will provide timesheets for data entry based on the Payroll Calendar to the Human Resources Division when more than two funding sources are used to fund a position adhere to any special grantor requirements in support documentation (IE project delivery) benefits charged will be based on actual cost benefits not directly charged at the point of payroll processing such but not limited to health, dental,disability and life will be processed by journal entry by GCO. Division staff will be responsible for drafting and maintaining detailed written processes for grant timekeeping procedures. Page 2110 of 3896 55 INTERNAL GOVERNMENT CHARGES (IGC) Internal Governmental Charges (IGC) are billings between County Divisions. Divisions funding such charges with grant awards are responsible to review the charges, approve the expenditures as an eligible cost and assign the appropriate account string. It should be noted not all IGC costs are eligible for reimbursement especially those not based on direct cost. Contact the GCO to vet if the billing Division cost setting methodology is eligible to be charged to a grant award. Recurring monthly IGCs are sent to Divisions for review by the billing division and are provided a grace period to review and dispute charges prior to the expense posting. To ensure that grants are charged accurately with adequate review time and grants are not charged inadvertently past the period of performance or budgetary limits, the following best practices are outlined below. Assign the Divisions operating cost center/funded program to initially charge the IGC to a local funding source. Use the grace period to review and dispute charges and reassign the expenditure to the appropriate grant funded account string through coordination with the billing divisions. It is the managing Division responsibility to review charges and ensure the amount eligible, allowable and that the account string charged is accurate. The Division that prepares the recurring IGC will use the last account string provided until such a time the Division billed requests a change in the account string. The Division billed is responsible to contact the billing Division to change the account string as grant contracts expire and/or change. It recommended this communication is done by email and the appropriate GCO Grants Accountant is copied. Always contact the GCO as necessary to vet expenditure allowability and eligibility when in doubt. Page 2111 of 3896 56 TRAVEL / TRAINING Travel reimbursed by the grantor agency will follow the County’s CMA 5310 as well as any other applicable grantor federal, state and/or local regulations. Support Documentation Typically Includes County Request for Travel - Approved prior to making travel arrangements Grantor Approval – if applicable Training or Conference Agenda Proof of Registration (Email Confirmation/Registration Form) Hotel Receipt (Hotel Confirmation is not a receipt) Applicable Page(s) of Per Diem Table Airline Ticket Other Costs That Need Receipts o Parking o Tolls o Cab / Bus / Rental Car o Baggage Fees Consideration For Eligible Expenses Grant contract allows for training and position attended. Some grant budget travel line items are specific. Will the travel meet the scope the budget scope? Correct Per Diem Rate Per Diem adjustment for Hotel Accommodations and Event serving meals Mileage claimed is supported by a Mileage Calculator FLORIDA: http://fdotewp1.dot.state.fl.us/CityToCityMileage/viewer.aspx Per Diem adjustment for Hotel Accommodations and Event serving meals Travel Re Cap Summarizing your entire travel on summary travel form provides a clear audit trail and assists a reviewer to understand what has occurred. This form is best completed immediately after travel has been completed. The State of Florida administering state or federal grant fund generally require a summary travel form be completed by County staff as well as separate travel form to be completed by any third-party vendor. GCO strongly encourages the use of such a form regardless of grantor agency requirements and may require it to be completed when reviewing a Division’s request for reimbursement. The State of Florida Department of Transportation Travel Form (300-00-01) is the suggested form to summarize travel. It is updated on a regulation basis to capture Florida Statute regarding travel. This summary form is not be confused with the internal County’s Travel Reimbursement Form used by an employee to be reimbursed out-of-pocket expenses. Page 2112 of 3896 57 USE YOUR RADAR RADAR is an acronym used by Federal OMB to determine if costs are necessary and reimbursable. This quick guide assumes the cost is for an eligible activity pursuant the grant program requirements and contract terms. REASONABLE Is this the price a prudent person would pay in the market place? Is the cost ordinary? Is the cost necessary to carry out the grant activity? There must be comparatives and a process to make a determination. What is the cost benefit to what is being provided? (Some grantor agencies set minimums) A cost is reasonable if, in its nature and amount, it does not exceed that which would be incurred by a prudent person in the conduct of competitive business. What is reasonable depends upon a variety of considerations and circumstances, including— (1)Whether it is the type of cost generally recognized as ordinary and necessary to carry out contract performance; (2)Generally accepted sound business practices, arm's length bargaining, and Federal and State laws and regulations; (3)The grantee’s responsibilities (4)Any significant deviations from established practices. ALLOWABLE Does the OMB Circular list the cost as allowable? Can I make the determination that it is allowable? Can I tie the cost to the eligible participant(s)? (human service) Can I tie the cost to the eligible activity as stated in the budget narrative and/or award contract? (project) DOCUMENTED Can the cost be documented? Is there source documentation available that tie to the cost charged to the grant? ALLOCABLE Is the cost directly allocable to the appropriate funding source? Can the allocation methodology be documented? Is it consistent? Predictable? Repeatable? A cost is allocable if it is assignable or chargeable to one or more cost objectives on the basis of relative benefits received or other equitable relationship. REIMBURSABLE If any one of the above is missed, this cost is not reimburseable. Documentation is the #1 reason why a cost becomes unallowable! Set up the audit trail successfully. Page 2113 of 3896 58 GRANT PROCUREMENT Operating Divisions, Procurement and OMB Grants Compliance The Procurement Services Division (Procurement) and Grants Compliance Office (GCO) work together collaboratively to assist Divisions in the acquisition of goods and services funded by Federal and State grant programs as well as maintain compliance as rulemaking and regulations change. Procurement staff coordinate with Division and the dedicated GCO Procurement Specialist to ensure all grant solicitations and contract meet 2 CFR Parts 200.318 - 200.326 procurement standards. The County’s Procurement Policy and Procedures (PPP) and Ordinance 2017-08 conform with State of Florida Statutes and Federal requirements (2 CFR 200.318-200.326) of full and open competition. The County’s PPP are followed unless State or Federal grantor requirements are more restrictive. The PPP documents may be found on the Procurement Division website. P-Card purchases should only be utilized when no other method is reasonable and follows CMA 5808. County Manager Agency (CMA) 5808 may be found at the Human Resources intranet. Compliance also requires the grantee to maintain records sufficient to detail the significant history of a procurement including but not necessarily limited to cost estimates, the rationale for the method of procurement, selection of contract type, contractor selection or rejection, the basis for the contract price and an analysis of price or cost. Through the collaborate relationship between the Procurement and the Grant Compliance Office, compliance is met through current practices and a series of additional grant recordkeeping procurement forms. Division Grant Manager OMB Grants Compliance Procurement Page 2114 of 3896 GRANT PROCUREMENT Procurements are considered either formal or informal. Formal solicitations are generally in the form of but not limited to an Invitation for Bid (IFB) or Request for Proposal (RFP) when the documented cost of a good or service cost is estimated to be $50,000 or more. Procurement under $50,000 are considered informal. Formal Solicitations Division staff initiates contact with Procurement when ready to formally solicit goods or services and develop a scope of work. Either a construction or non-construction solicitation checklist is completed. Procurement reviews the checklist to identify if the solicitation will be funded by a grant source and requires the Divisions to coordination with GCO to complete the appropriate grant recordkeeping procurement forms. Procurement or the Division forwards the solicitation package to GCO for review and approval. The GCO Grants Procurement Specialist prepares the federal clause provisions package and certifications. The solicitation is not advertised until the GCO Manager signs off on the Authorization to Advertise routed with the final Solicitation. The GCO ensures Inclusion (as applicable) of the most current grantor provisions as required by 2 CFR § 200.326 and further described within Appendix II to 2 CFR Part 200 – Contract Provisions for Non-Federal Entity Contracts under Federal Awards. Such provisions include but are not limited to: Lobbying Buy America Davis Bacon Act and DOL Wage Decision Contract Work Hours and Safety Standards Act Rights to Inventions Clean Air Act Bonding requirements (2 CFR Part 200.325) EEO Debarment Environmental Standards Solid Waste Disposal Act, section 6002 General Provisions (Termination) Recovered Materials (2 CFR Part 200.322) Inclusion of contractor certifications Lobbying Certification Debarment Buy America(n) Any required grantor checklists, concurrencies or approvals are on file Unallowed procurement actions are excluded Cost Plus Contract are prohibited Time and Material Constracts - used only after a determination that no other contract is suitable and if the contract includes a ceiling price that the contractor exceeds at its own risk. Brand Names - When it is impractical or uneconomical to make a clear and accurate description of the technical requirements, a “brand name or equivalent” may be used as a means to define the performance or other salient requirements. The specific features of the named brand which must be met by offeror must be clearly stated.” prohibits the use of statutorily or administratively imposed state or local geographic 59preferences in the evaluation of bids or proposals, except in those cases where applicable Federal statutes expressly mandate or encourage geographic preference. Page 2115 of 3896 GRANT PROCUREMENT 60 Once the solicitation is advertised and a contractor is recommendation, a contract is drafted by Procurement for review by GCO and the County Attorney. GCO review verifies Federal clauses are included Contractor certifications and attestations are executed Debarment verification via sam.gov is on file Lobbying Disclosure requires any further action Lobbying Disclosure (2 CFR Part 200.450) All procurement contracts, sub contracts and sub recipient agreements over $100,000 include a Federal Lobbying Certification that requires the prospective vendor to disclose if they engage in lobbying activities. In the event the vendor or subrecipient discloses lobbying activities, the vendor or subrecipient will be required to fill out the Standard Form LLL. If the vendor or applicant has a successful bid or proposal, the LLL form will then be sent to the appropriate federal agency (as required) promptly after receipt and prior to letting or executing any agreements. Informal Solicitations Divisions will procure goods or services under $50,000 or less through either micro-purchase or quotes as prescribed by the PPP. Informal quotations are packaged as a Request for Quote (RFQ) allow the appropriate federal and/or state clauses and certifications to be distributed and addressed. This action is especially important for small construction and repair project subject to the Davis Bacon Act. GCO ensures the same level of review over the elements describe under formal solicitations on page 59. Page 2116 of 3896 61 GRANT REQUISITIONS Divisions will follow PPP to open a requisition. Requisitions using Federal or State grant funds will be workflowed as a Grant Requisition in order for the GCO to perform a review. If a Division does not have an established Grant Requisition Workflow, GCO will work with both the Division and Procurement to implement the workflow. Requisitions with a Formal Solicited Contract For procurements solicited by formal means, required support documentation should already be on file within the SAP procurement record. The Fiscal Buddy or designee who opens the requisition is encouraged to review the SAP record to ensure all support is on file to expedite review and approval. At this point, an Anticipated DBE/MBE/WBE Form may need to be updated by the vendor (IE - work orders). Piggyback contracting is allowed to the extent the agency letting the contract did so in full compliance with grantor procurement requirements and all support documentation is obtained and vetted. It should be noted that County contracts that do not include the required federal or state grantor clauses and proof of debarment check prior to contract execution are considered noncompliant and cannot be used for grant-funded purchases. Requisitions without a Formal Solicited Contract All Grant Requisitions must have the following forms from the Division unless otherwise waived (IE - micro-purchase). ICE – Independent Cost Estimate MOP - Method of Procurement Documentation Sole Source (as applicable) Cost Reasonableness Anticipated DBE Statement (contractor) Conflict of Interest E-Verify (State) Written Grantor Concurrency (as applicable per award conditions) Unallowed procurement actions are excluded as cited in under Formal Solicitations (Page 59) Debarment Check (sam.gov)* o SAM must be conducted by DUNS # on Subrecipients prior to sub-award. o Conduct Vendor verification by DUNS (as possible) to obtain a print friendly version. o Encourage contractors to register for a DUNS; however, non-registration will not prevent contract award. o Verification resulting in a debarred result will be immediately report to GCO, Procurement, and the Federal awarding agency for further action. Page 2117 of 3896 62 GRANT REQUISITIONS The Fiscal Buddy or designee by Division will Verify the above forms are complete prior to processing the requisition Perform as much of the review GCO conducts as possible to assure compliance and expedite processing Enter the Grant Requisition thereby routing the requisition to GCO for review and approval within the SAP established workflow. Notify the assigned GCO Grants Accountant the requisition is ready for review by email. Simply place “REQ 45-XXXXXX Ready for Review” in the subject line Review by GCO staff will vet grant requisitions against grantor contracts to ensure single audit areas of compliance are met that are appropriate to verify at this control point. Reviews will include but are not limited to: Allowed Activity Allowable Cost Account String is appropriate Matching component factored (if required) Within the Period of Performance Required grantor provisions (Federal clauses required within Appendix II to 2 CFR Part 200— Contract Provisions for Non-Federal Entity Contracts under Federal Awards) are included by either o developing a provisions package or Certification of Acceptance of Federal Clauses with the Request for Quotes or o adding required provisions to the “text” field of the Purchase Order Required certifications are successfully completed and on file Non-debarment verification complete (Certification or SAM) Verify SAP procurement record is complete to pass single audit Verify the grant funding is utilized to the maximum availability Verify any special grant requirements have been met, such as NEPA, time and materials has ceiling for expenses, piggyback contract is compliant, etc. Any noncompliance of documentation will result in a rejected requisition for further corrections, documentation and/or analysis. GCO will contact the Division for resolution. Once all documentation is received, the approval process will resume. Page 2118 of 3896 63 GRANT REQUISITION CHECKILIST Item Verification of Audit Trail Formal Soliciation: Soliciation on file SAPPR - Soliciation Soliciation includes Grantor Provisions Exhibit SAPPR - Separate file if not within Solicitation Required Certs on file - see Cert list SAPPR - within Proposal and executed/signed Non Debarment Verification (located at sam.gov) SAPPR - performed by Purchasing Debarment Provision or Grantor Certification SAPPR - Lang in Sol and/or Signed Cert on file Soliciation Results - Bid Tab or Ranking SAPPR - Exeucted Everify SAPPR - Purchasing SOP within proposal/executed Method of Procurement Decision SAPPR - Purchasing to Collect at time of Soliciation ICE - Independent Cost Estimate SAPPR - Purchasing to Collect at time of Soliciation Price/Cost Analysis SAPPR - Purchasing to Collect at time of Soliciation Informal Soliciation: Required Certs on file Certs are executed ICE - Independent Cost Estimate REQ - Collier Form Price/Cost Analysis REQ - Collier Form Sole Source REQ - Collier Form as applicable Grantor Provisions - Construction or nontypical Provided to contract during quote process Grantor Provisions - NonConstruction REQ - GCO copy and paste in "item note" field Debarment Provision or Grantor Certification REQ - Performed by Dept Non Debarment Verification (located at sam.gov) SAPPR - performed by Division Everify (STATE) REQ - Dept to obtain when required Micro: Open and free competition not circumvented Research purchases to date if needed Davis Bacon (Include DOL Wage Determination) Verify Davis Bacon does not apply Price/Cost Analysis REQ - Collier Form Sole Source: Meets grantor definition(s) REQ - Documented to auditable level Change Orders Sole Source - Noncompetitive Form REQ - Documented to auditable level FEDERAL: Price/Cost Analysis on File REQ - Documented to auditable level Other Auditable Checks All Grant Awards / Amendments on Sharepoint Fully Executed Account String Accurate Activity Allowable Sponsor Budget Available Per grantor contract / application Within Period of Availability Executed Grant Contract on file Work Order does not exceed contract expiration Department verifies General Do's and Don'ts No Local Vendor Preference T&M is capped Brand names are not used DBE/Sm Business Anticipated DBE Statement Bidders/Proposals List Small Business Cert (10/1/13) Section Three - Over $200K and Construction Section Three Cert Construction Environmentals (NEPA) documented/performed Grant file has copy Davis Bacon Provision Within soliciation pacakge DOL Wage Determination (Davis Bacon) Must be in soliciation (quote) pacakge EEO Meeting Scheduled or Completed Unique to Program Notice to Proceed from Grantor FHWA (LAP) Letter of Concurrency (Vendor Selected) FDOT (Transit) 11/13/2013 - This a general list of key areas of compliance and is not exclusive. SAPPR - SAP Procurement Record - source documentation maintained within SAP Page 2119 of 3896 64 PROCUREMENT JOB AIDS AND FORMS Several job aids and forms have been developed to ensure compliance is not only met but documented when acquiring goods and/or services with Federal or State grant funding. Job Aids can be found in Appendix D and Forms are provided within Exhibit A. All Current Forms and Job Aids are Maintained on SharePoint Job Aids Grant Procurement Steps – Quick Reference Guide Grant Procurement By Threshold What is an Independent Cost Estimate? Price versus Cost Analysis Forms (In Order of Use) ICE - Independent Cost Estimate MOP – Method of Procurement Sole Source (Grant) Single Response Analysis Cost Reasonableness Price Analysis Cost Analysis Grant Procurement By Threshold Page 2120 of 3896 65 ETHICS AND STEWARDSHIP IN PROCUREMENT The community we do business with is not always ethical. Remember, grant dollars are not your $$$$. YOU need to be a good steward of taxpayer dollars and prove to anyone (the public, the commissioners, your peers, your boss, the newspaper, the taxpayer, Procurement, the grantor agency) that you are a good steward. HOW? By performing an Independent Cost Estimate (ICE) BEFORE you procure and a Cost/Price Analysis AFTER you select your vendor. While Procurement policy does not require obtaining three quotes for purchases under a specific threshold, one way to prove a purchase is reasonable at any dollar threshold is by way of three quotes. This is one best practice to prove price reasonableness. Page 2121 of 3896 66 CASH MANAGEMENT Internal Control: Approval or preparation of all grant draws (reimbursement requests) by the Grants Compliance Office of OMB prior to submittal by the County Division or OMB. Purpose: To provide an additional layer of oversight to ensure draw requests meet grantor compliance and internal control requirements of cash management, segregation of duties and frequency. Methods: Use of standardized draw form when none is provided by grantor General Ledger Reconciliation Report and Checklist SAP ZFI_EXPEN Master Calendar identifies Draws Standardized file format on Sharepoint (Grant File Management Internal Control) Roles: Division: Location: OMB: Grant Compliance Office (GCO) verif amount has factored program income, credits any federal debt expenditures have been paid. Grants Controller to prepare and submit reimbursement request, ensure expenditures are eligible, program income, credits or debt has been applied or factored, expenditures have been paid and segregation of duties is maintained and documented. Sharepoint program income, Page 2122 of 3896 67 CASH MANAGEMENT Draw (Request for Reimbursement) Overview The County draws are executed on a reimbursement basis (unless the grantor has advanced funds) after payment has been processed for goods, services or force labor. Subrecipient pay application requests are also processed reimbursement basis determined by verifying proof of payment support. This process ensures drawdowns of Federal cash are only for immediate needs. Grant agreement conditions are reviewed to ensure compliance with any Treasury agreements. A GL Detail Report is maintained on each grant contract that captures project to date financial activity imported from the County’s Financial System SAP. The report captures all general ledger postings to date. The report also includes the grantors budget as stated in the grantor agreement (including amendments). Pre-award costs that are eligible for reimbursement generally cannot be drawn until an executed agreement is in place. Draws are processed after execution of the grant agreement no later than after the first quarter or the grantors draw schedule, whichever comes first, for pre-ward costs. The GL Detail Reports main function is to serve as an internal control to reconcile or tie expenditures postings to revenues postings. This tool will be used to audit proposed draw amounts. GCO staff will also review all expenditures proposed to be drawn have checks or wires processed to prevent advance reimbursements from occurring. The GCO review also factors any program income earned as defined by the grantor agency as well asany credits or debt owed to the federal agency prior to approving the draw amount and execution. Debts (payback) determined through monitoring by grantor agencies, monitoring of subrecipients or by self-discovery are required to be communicated to the GCO to assist Divisions to properly return grant funds as instructed by the grantor agency and to comply with 2 CFR Part 200.345. A log is maintained to monitor the return funds in the appropriate manner within the required timeframe. After the draw is prepared, Divisions will route the draw request with all support to GCO to approve via email. It is recommended this is done prior to routing to appropriate Divisions staff for review and approval. Segregation of Duties Standard protocol will ensure that the preparer of a draw is not the same person who completes the draw unless there is a documented review and approval by a separate person. In addition, any grantor agency’s draw system requirements for a third person to create and submit a voucher will also be adhered to. GCO ensures segregation of duties is maintained through review, approval, advisements, training and monitoring. Page 2123 of 3896 68 CASH MANAGEMENT Segregation of Duties (Reviews / Approvals) Role Description Division or OMB Preparer May be the submitter with documented review unless otherwise required by grantor. Preparation may be demonstrated by email distribution of the draw package. Division Reviewer At least one Division reviewer is required. Recommend Program or Project Manager of Grant. *If absent, include who you’ve assigned your signature authority to. Authorized Official Approver As required by grantor agency OMB Approver Grants Compliance Office Staff Approval Required. If GCO drafts the draw – another GCO staff member will review. Establish Frequency Draw will be performed at regular intervals and targeted to cover the last day of the established period as posted in SAP and account for any reconciling items posted or to be posted in future periods. Intervals will be established pursuant the binding grant contract and comply with any established grantor deadlines. Grant contracts silent draw deadlines will target draws 30-60 days after quarter end based on staffing availability and workloads. During certain times of year, budget cycles and major annual reporting deadlines create additional workloads. As a result, additional time may become necessary to complete a draw. Grants with timeliness as a condition of award may incur a higher frequency of draws and/or established period adjustment as needed. To the extent possible, draws should coincide to established reporting period data and be completed within 30-60 days after quarter end. A clear-cut off limits risk of drawing on expenditures that have not yet been released for payment. A memorandum to file may be drafted to document draws not completed within the intended timeframe. Collier Fiscal Year Period of Draw Target Completion Date of Draw 10/01 – 12/31 02/15 – 2/28 01/01 – 03/31 04/15 – 4/30 04/01 – 06/30 07/15 – 7/31 07/30 – 9/30 11/15 – 11/30 File Management and Monitoring GCO will monitor that draws are completed timely through review of the Single Audit Grant Files on Sharepoint. The standardized naming file (See IC – Grant File Management) format is conducive and an integral step to performing GCO reviews in the most efficient manner. OMB will assist Divisions staff by sending periodic reminders when draws are due. Page 2124 of 3896 69 CASH MANAGEMENT Remittance Address Collier County Clerk of the Circuit Court Finance Department 3299 Tamami Trail East, Suite 700 Naples, FL 34112-5749 Snapshot Procedure for Divisions 1. Prepare Draw 2. Email draw request to assigned GCO personnel to approve via email. 3. Receive GCO email approval. 4. Route and obtain appropriate Division approvals. 5. Submit draw request to grantor 6. Send executed draw to assigned GCO Accountant or as advised a. GCO Files to Sharepoint or as advised b. GCO logs into Draw Tracking Log (checks full package is on Sharepoint) Page 2125 of 3896 70 DRAW SUPPORT DOCUMENTATION ITEM DESCRIPTION Draw Request Fully Executed Approvals OMB email approval at minimum plus any Division approvals and/or grantor mandated Division approvals GL Report Snap shot of recon detailing expenditure line items SAP Screen Shot Optional if it adds value Formal Grantor Draw System Funds “Status” Screen Shot (if available) (ensure drawn to date balances ties to internal draw requests balances) Screen Shot of Draw Completed – (IE: approved voucher) STANDARDS Single package per draw in the above order. File Name (Complete) REIMB YYYY MM-DD (Abbreviated Grant or Contract Number) DRAW XX File Name (Incomplete) (Draft) REIMB YYYY MM-XX (Abbreviated Grant or Contract Number) DRAW XX Use X’s in the date (2014 11-XX) to indicate draw is incomplete or in draft. Draws are considered incomplete if any part of source documentation is missing. YYYY MM-DD equates to the date draw was executed or submitted. Record draw within Draw Tracking Log and ensure appropriate revenue account string tying to where expenditures are posted. Advise Depts of outstanding source documentation at time of approval (if necessary). Suggested language: Your draw is approved. Please cc me at the time you submit your draw to your grantor agency. If your draw is performed via a federal draw system, provide 1) screen shot(s) of the draw execution and 2) any department approvals within one (1) business day of execution. Page 2126 of 3896 71 DRAW FORM If the grantor agency has not provided a draw request form, Divisions may use the draw request form established by GCO. COLLIERCOUNTY (DEPARTMENTNAME) REQUESTFORDRAWDOWN OFFEDERALFUNDS PROGRAM: Section I GRANTEE INFORMATION: GranteeName: Collier County Person to contact: Phone: (239) 252 2959 Federal TIN No.:59 6000558 Grant Number:Amt. Approved:$0.00 Fiscal Year: Collier 2013 Section II DRAWDOWN INFORMATION: All draw requests must be submitted with supporting documentation. Drawdown RequestNo.: Draw Period: SAP WBSProject No.:Request Type: DRAW OR REVISEDDRAW A. GRANTOR Award/Activity Number B. Award Amount C. Budget Adjustments D. Budget Revised E. Amount Drawn To Date F. Balance Available for Drawdown G. Amount of Drawndown Requested H. Balance Remaining After this Draw $$$$ $$$$ $$$$ $$$$ $$$$ $$$$ $$$$ $$$$ $$$$ $$$$ $$$$ $$$$ $$$$ $$$$ $$$$ $$$$$ TOTAL $$$$$$$ Section III PROGRAM INCOME: Amountof Program Income(PI) received since thedate of the last drawdown: $ Leaving this blank certifies that no Program Income has been received. Section IV EXPENDITURE OF PROGRAM INCOME ON ACTIVITIES ASSOCIATED WITH THIS GRANT: (1) Activity Name (2) GRANTOR Activity No. (3) Budgeted Amount (4) Previously Reported (5) Expended thi s Peri od (6) Total Expenditures (Col. $ Section V GRANTEE APPROVAL: Grantee Certification: I certify to the best of my knowledge that the data above is correct, that the reported amounts agree with the official accounting reports, that all disbursements have been made for the purposes of this grant and that the amount requested is not in excess of current needs. Created by: Typed Name: Date: Authorizing Official Approved by: TypedName: Date: Dept.: Verified/ Approved by: Typed Name:Date: OMB: Verified / Approved by: VIA EMAIL ON FILE Typed Name:Date: Page 2127 of 3896 72 Objective REPORTS The Grants Compliance Office (GCO) will provide an additional layer of oversight (quality control) when Division’s prepare reports required by the grantor by performing a review of the report prior to submission to the grantor agency. Overview All reports (financial and performance) will be submitted by the deadline required of the awarding agency. GCO may advise divisions to obtain written clarification when the first report is due. Pursuant 2 CFR Part 200.238, interim reporting is required for significant developments to federal award agencies. No later than the point of award, reporting requirements are identified and documented within the grant file and GL Detail Report. This determination ensures both fixed and interim reporting occurs as required. The Master Calendar will be updated and a Job Aid or reporting form may be drafted to assist Divisions to maintain compliance. Divisions are expected to communicate significant developments in administering grant programs pursuant CMA 5330 which allows the GCO to assist in monitoring interim reporting requirements. The GCO will reconcile financial data for all financial reports including SF-425 to verify accuracy prior to submittal. The reconciliation process will update and review the General Ledger (GL) Detail Report maintained on each grant contract to reconcile the SAP general ledger against the reported financial amounts. The GL Detail Report is a spreadsheet that captures project to date financial activity from the County’s financial system (SAP) in the same format that Finance provides to the auditors for their review and testing. The report includes all expenditures and revenues posted to date. The report also includes the grantor budget as stated in the grantor agreement budget (including amendments). Any discrepancies are resolved and as necessary documented prior to approval by the GCO Grants Accountant and/or Manager and submittal. In some cases, complex financial reports may be prepared directly by GCO staff. In this case, if the Grants Accountant prepared the report, the Grant Compliance Manager will approve the report or vice versa. Division staff also review the report. Notable Federal Reports The Annual Federal Status Real Property (2 CFR Part 200.329) and Federal Financial Report SF-425 will follow the above procedures. Internal Control – Segregation of Duties The internal control of GCO’s documented review ensures a separate individual other than the preparer has reviewed and approved the report. The GCO ensures roles and responsibilities are segregated during review for preparation and review, as well as submission as grantor electronic submittal systems enforce and as roles or staff changes occur. Page 2128 of 3896 73 REPORT SUPPORT DOCUMENTATION ITEM DESCRIPTION Report Fully Executed Approvals OMB email approval at minimum plus any Division approvals and/or grantor mandated Division approvals GL Report Snap shot of recon detailing expenditure line items for any financial portion of the report SAP Screen Shot Optional if it adds value to financial portion of report – summarize totals by WBS or report category Formal Grantor Submittal System Screen Shot (if available or applicable) for proof of submittal STANDARDS Single package per report in the above order. File Name (Complete) REPORT YYYY MM-DD (Report Name) (Award #) or as established Date YYYY MM-DD equates to the period end date of report period. Use X’s in the date (2014 11-XX) to indicate report is incomplete or in draft. Reports are considered incomplete if any part of source documentation is missing. File report package on Sharepoint within appropriate REPORT folder and change REPORT folder Due Date. Page 2129 of 3896 74 RECLASS OF EXPENDTIURES Objective Maintain the general ledger for each grant contract to accurately reflect allowable and eligible expenditures throughout the life of the grant program or project. Cause During management of grant programs and projects, it may be necessary to reclass expenditures based on grantor amendments, advisements, changes in program/project status or inadvertently errors in account string coding. Process The Grants Compliance Office or Division may prepare journal entries to maintain the accuracy of the general ledger through the use of the JE Request Form. The form requires a short explanation for the request and will include any support such as a screen shot from the financial system (SAP) of the original entry to be amended. For any payroll expenditures, a revised timesheet shall be required to be processed through Human Resources unless the reclass is between funds within the same project number or otherwise approved in special circumstances. In cases where a journal entry is allowed, the GCO office will prepare and submit the request. All journal entries will be submitted by GCO to the Clerk of Courts Finance Department for posting. The Clerk of Courts Finance Department may prepare and post journal entries (statistical or otherwise) as deemed necessary for preparation of financial statements to maintain compliance with GAAP, GASB, any other applicable regulations, Florida Statute or as recommended by the independent auditor. These entries are considered customary and not reviewed by GCO prior to posting. These types of entries will be reviewed through regular monitoring of the general ledger. Page 2130 of 3896 75 ASSET MANAGEMENT Capital Asset Overview: Collier County owned tangible or intangible assets with a value over $,000 and a useful life of more than one year unless the item is used to repair or maintain existing property. If repair or maintenance expands capacity or increases the value of the old property, the repair is considered an improvement and is treated as a capital asset. Capital assets include land, buildings, water and sewer systems, equipment, vehicles, roads and library books. Shipping and freight related to assets should be added to the value of the asset in the appropriate capital commitment item. What do we NOT capitalize? Maintenance Repairs Carpet or tile replacement, “off the shelf” software Training Warranties maintenance agreements Licenses Consumables Grant Funded State and Federal Thresholds may be different than Collier County local policy. Coordinate with the GCO how to handle in grant applications budgets and appropriation once awarded. Acquisitions Make sure to use account assignment A (or W for IT equipment) on cost center asset requisitions. Those requisitions route to our (Clerk’s Finance) asset team for review. These requisitions must be set up to purchase “Quantity at Unit Price”. For example: 2 @ $,500.00 instead of ,000 @ $1.00. For assets acquired in a project, the (Clerk’s Finance) asset accountants will create the asset record upon receipt of an asset form and verification of transaction in SAP. ible assets with a value over $,000 Page 2131 of 3896 76 ASSET MANAGEMENT Capital Commitment Items The list of commitment items for capital budgeting/assets has been revised and limited. Any capital item to be budgeted will use one of the following commitment items. OMB Budget Instruction Handbook is a resource for additional detail about commitment items and estimating budgets. 761100 LAND, EASEMENTS AND RIGHT OF WAY 762200 BUILDING IMPROVEMENTS Improvements that extend the useful life of a building or increases the value of the building such as storm shutters and structural changes. 762500 INFRASTRUCTURE Items such as roads, bridges, sewers, street lights, drainage systems and sidewalks. 762600 BEACH RENOURISHMENT 763100 IMPROVEMENTS GENERAL Items such as fences, parking lots, median landscaping and irrigation systems. 764110 AUTOS AND TRUCKS 764220 RADIOS AND RADIO EQUIPMENT 764400 MARINE EQUIPMENT AND BOATS 764700 HISTORICAL ARTIFACTS 764900 DATA PROCESSING EQUIPMENT 764950 SOFTWARE GENERAL 764990 OTHER MACHINERY AND EQUIPMENT 766100 BOOKS PUBLICATIONS – LIBRARY 766200 BOOKS AV AND NON-BOOK – LIBRARY Good Receipts Goods receipts must be done at the time the goods are received by the department. The date of the goods receipt becomes the date the asset is placed in service and will impact when depreciation begins. Donations to Collier County Be sure to submit an asset form for any item donated. This includes land, equipment, historical artifacts and assets received via developer contributions. Supporting documentation for the value of the donated item must also be sent to Finance. Page 2132 of 3896 77 ASSET MANAGEMENT Transfers Transfers of assets from one cost center to another require approval of both the donating and receiving cost center. Dispositions Disposing of any asset must be approved in advance by the property custodi`an and County Procurement. This includes donating property to another agency. If property is stolen, a police report must be filed. A copy of the report is to be submitted to Procurement with a completed asset form. Procurement will send the documentation to Finance once approved. Assets purchased with grant funding may not be disposed of without approval from the grantor agency required 2 CFR Part 200.313 isposition instructions must be garnered from the Federal awarding agency prior to disposition. The managing Division will GCO staff prior to disposition of grant funded assets to determine federal compliance with disposition. Grantor agencies that provide more restrictive disposition provisions will be followed. Specifically, funds purchased with Florida Department of Transportation funding including pass-through federal funding for transit vehicles and/or equipment will follow the Useful Life Process as outlined in the 2019 State Management Plan (or most recently published version) under the Vehicle Inventory Release and Transfer Process Section. Useful life standards are outlined at http://www.tripsflorida.org/contracts.html. In addition, residual inventories of unused supplies with a value greater than $5,000 funded by federal grant funding must be reported and compensated to the Federal government for its share of unused inventory. or receive written instruction of how to handle such inventories (2 CFR Part 200.314). The managing Division will coordinate with GCO staff to further assist meeting compliance as necessary. Physical Inventory Physical inventory is conducted once each fiscal year by the Clerk of Courts Finance Office. Instructions for completing inventory are sent to asset custodians at least once during the year. Asset Information in SAP ZFI_ASSET_LIST - Main asset report that shows asset, fund, cost center or WBS, description, physical location, custodian, acquisition date, acquisition amount, accumulated depreciation and net book value. This report can be run by custodian name, fund, cost center or WBS. ZFI_AS02 - Main asset record display transaction used to lookup information for a specific asset number. This is also the transaction used to update the condition and physical location fields. ZFI_ASSET_RET - Report for assets that have been disposed for the selected date range. AW01N - This transaction sows the detailed transactions for asset values. Actual and projected depreciation amounts are also shown. Assets purchased with grant funding may not be disposed of without approval from the grantor agencyAssets purchased with grant funding may not be disposed of without approval from the grantor agency required 2 CFR Part 200.313 isposition instructions must be garnered required sposition instructions must be garnered from the Federal awarding agency prior to disposition.The managing Division will of grant funded assets to Federal awarding agency prior to disposition The managing Division will GCO staff prior to disposition determine federal compliance with disposition. grantpriordisposition compliance disposition. Page 2133 of 3896 78 DAVIS BACON ACT COMPLIANCE General Protocols The Grants Compliance Office assists Divisions to understand and carry out monitoring of construction activities with over $2,000 of labor to ensure the Davis Bacon Act requirements are met. The following key controls point may be developed for individual grant programs. Appendix X identifies the key control points and procedures for individual grant programs. GCO reviews the solicitation prior to advertisement to verify inclusion of DBA provisions and the correct DOL Wage Determination GCO reviews the contract prior to execution to verify inclusion of DBA provisions and the correct DOL Wage Determination A Pre Con meeting is held with the Grants Compliance Office in attendance to set expectations for the third party vendor to meet compliance. A Pre Con Script may be developed to provide DBA compliance guidelines. The Pre Con identifies points of contact for the Prime and Collier County regarding certified payroll submittals. A EEO/DBA Tracking Summary workbook is developed to monitor timely submittal, compliance issues and corrective actions of certified payrolls. A Payroll Tab is maintained for the Prime and each Subcontractor. A State of Pay Record form is utilized to be filled out by the Prime and each Subcontractor to determine when certified payrolls may be due. A Sublet form is used to identify all Subcontractors and required to be revised by the Prime when additional Subcontractors are added or removed from the project. Grantor DBA Handbook are used as resource to manage compliance. Certified payrolls are date stamped to prove time of receipt. Certified payrolls are reviewed for compliance against the applicable DOL Wage Determination. Designated staff are assigned to perform periodic Labor Interviews. Files are created in a consistent format and a shared access point for both the Division and GCO to review and maintain support. Any noncompliance communicated in a written format is maintained. Third Party pay applications may be rejected if for substantial noncompliance. Final retainage is not released until the Prime and its Subcontractors are in compliance with Davis Bacon requirements. Staff attend available DBA trainings as available or if required by the granting agency. Page 2134 of 3896 79 GRANTOR MONITORING (External Agency Reviews of BCC Grant Awards) Internal Control: The GCO Manager will review all monitoring reviews to evaluate risk, inform upper management of concerns and develop or oversee and monitor corrective action plans. Purpose: To reduce risk of noncompliance and address problematic areas timely. Methods:Periodic Reminder Monitoring Internal Control Timeline: Target within three (3)business days of receipt Roles: Divisions retain the lead with grantor agencies except in development and responses to single audit reviews. Location: Sharepoint Overview Division staff will remain the lead point of contact to coordinate any external monitoring outside of the annual single audit. All monitoring activities shall be noticed by the Division to the Grants Compliance Office Manager with a target of three (3) business days. Monitoring activities may be in the form of a formal (on site team of monitors) or informal (desk monitoring, project site walk through) review; occur before, during or after a grant award; and entail reviews of administration, programmatic, financial or a specific compliance area. Monitoring activities can occur as part of a formal closeout of a grant award or even as a risk assessment. Reviews may also be performed by the Clerk’s Internal Audit Department. Documents to be forwarded but not limited to: Notice Entrance and Exit Interview Times and Dates Draft Results Report/Results Responses (if required) Final Closeout (if any) The GCO manager will assess reviews including noncompliance risk of any recommendation and findings and may direct staff in resolution, amend current protocols, and create new protocols to remedy noncompliance or strengthen current practices to reduce risk. The GCO Manager will inform upper management of compliance impacts such as changes in funding including local commitments, human resource and training needs, and internal controls. Page 2135 of 3896 80 GRANTOR MONITORING Response Responses and corrective action plans will generally be developed by the Division for review by the GCO Manager before submittal to the review agency. GCO may develop responses in whole or in part especially in administrative or financial areas. The final response as submitted to the agency will be provided to GCO. It is recommended the GCO Manager be copied on the submittal. In the case of the annual single audit report, GCO will be the lead to develop responses and review all responses with appropriate Division management prior to submittal. Post Corrective Action Plan Monitoring (if applicable) GCO will monitor Division’s carry out corrective actions as stated in monitoring responses through request of support documentation and/or status updates. Communication Monitoring’s are required to be shared with the independent audit firm hired to complete the annual single audit. Clerk of Courts Finance (Finance) is the point of contact with the hired firm. The GCO Manager will share source documents through Sharepoint. Upon receipt of documents or notices, the Monitoring Log will be updated, and any support placed on file within the Monitoring folder and a notice sent to via email to Finance. The GCO Manager meets on a regular basis throughout the year with the County Manager, Deputy County Manager and OMB Director to share monitoring. Internal evaluations of the County’s compliance environment are reviewed to assess risk due to human resource changes, local, state and federal policy changes, report of fraud and potential fraud, as well as the ratio of grant applications/awards to staffing. Page 2136 of 3896 81 SUB RECIPIENT SINGLE AUDIT MONITORING 2 CFR Part 200 Subpart F) Internal Control: Implement use of the Annual Audit Monitoring Report Form process to ensure subrecipients comply with OMB Circular 133/2 CFR Part 200 Subpart F and Florida Single Audit Act (Section 215.47) requirements. Purpose: To ensure and document Subrecipients comply with single audit compliance through monitoring. Methods: External Annual Audit Monitoring Report Form Internal Annual Audit Review Form Written Internal Control and Procedure Monitoring Schedule of Subrecipients Standardized file format and shared location on Sharepoint Timeline: Monitoring is completed annually by the Department. Roles: Establish Department point of contract (POC) to obtain required information, and to maintain Monitoring Schedule and file documentation in designated location and format. First Review: CHS Division Final Review: OMB Grants Compliance Manager OR OMB Grants Accountant Location: Sharepoint – Monitoring OMB 133 Folder http://sp16/sites/Grants/PostAwardGrantDocs/Forms/AllItems.aspx?RootFolder=%2Fsit es%2FGrants%2FPostAwardGrantDocs%2FPublic%20Services%2FCHS%20Housing%20Co mm%20Services%2FSUBRECIPIENTS%2FMONITORING%202%20CFR%20Part%20200%20 %2D%20Subpart%20F&FolderCTID=0x012000C2341C22D1EFDE4CA0A0762D1933818D& View=%7BF562CA65%2D7133%2D451A%2DA38B%2D4CF8CC718D81%7D Page 2137 of 3896 82 SUB RECIPIENT SINGLE AUDIT MONITORING 2 CFR 200 Subpart F Process The Division POC will maintain a Monitoring Schedule of Subrecipients to track active subrecipient agreements, contact information, fiscal year life cycles and documentation of compliance with single audit requirements. OMB will develop forms, an internal control and a written process for OMB 133 Subrecipient Monitoring. Two forms have been developed. An External Annual Audit Monitoring Report Form for the subrecipient to complete for the Division to ascertain whether or not a single audit was required. The External form will be an exhibit to each Subrecipient award executed after October 1, 2012. The External form is required to be filled out on an annual basis. If the subrecipient fails to submit an External Form with their annual documentation submittals or the External Form is completed incorrectly, this will not delay, hinder or preclude the Internal Review Form completion to maintain compliance. An Internal Annual Audit Review Form will be completed by OMB. The Internal form will serve as documentation of monitoring and review of the Subrecipients required submission and compliance. OMB will provide training as requested by the Department POC and/or Department management in use of the External and Internal forms and overall process. File Setup and Structure Division POC will create a folder for each Sub Recipient. The folder name will be based on the date the monitoring documentation was collected and the Sub Recipients name. Each folder will hold the External Form, the audit and/or financial statements, and the Internal Form. Individual Subrecipient >MONITORING OMB 133>YYYY MM-DD (SR Name) The OMB Manager or assigned OMB Grants Accountant will review the documentation, approve and make a final determination of further action required (FAR) or no further action (NFA). The individual subrecipient (SR) folder file name will be revised with FAR or NFA as the last three letters of the file name. NFA Determination The folder will be placed in the appropriate FY END MM-DD folder. Only SR folders that reach a NFA status will be placed in the FY END folder and considered complete. FAR Determination The individual folder will not be moved in the FY END folder, and the Division will review and perform the recommendation actions. Page 2138 of 3896 83 SUB RECIPIENT SINGLE AUDIT MONITORING 2 CFR 200 Subpart F Both the Division and OMB will periodically review files and take actions outlined above as necessary. OMB will complete a final determination to ascertain if a single audit was required and compliance was met, review the subrecipients required document submittals to ascertain if material weaknesses or deficiencies were found, and if any material noncompliance requires further action. Further action will either be developed by the Division or OMB with final approval by OMB. Page 2139 of 3896 84 SUB RECIPIENT PROGRAM MONITORING County Divisions will be responsible for developing detailed written procedures to meet the requirements of 2 CFR Part 200.331 when subawarding Federal grant funds and acting as pass-through entity. Written procedures will be in place prior to execution of a subaward. At minimum the following elements will be addressed in each sub award and subsequent modification: 1.Sub Award Information a)Subrecipient name b)(Subrecipient's unique entity identifier; c)Federal Award Identification Number (FAIN); d)Federal Award Date of award to the recipient by the Federal agency; e)Subaward Period of Performance Start and End Date; f)Amount of Federal Funds Obligated by this action by the pass-through entity to the subrecipient; g)Total Amount of Federal Funds Obligated to the subrecipient by the pass-through entity including the current obligation; h)Total Amount of the Federal Award committed to the subrecipient by the pass-through entity; i)Federal award project description, j)Name of Federal awarding agency, pass-through entity, and contact information for awarding official of the Pass-through entity; k)CFDA Number and Name; l)Identification of whether the award is R&D; and m)Determination if an Indirect cost rate is applicable 2.All applicable Federal statutes, regulations and terms and conditions of the Federal award 3.Any additional requirements of Collier County including any financial and performance reports 4.An Indirect Cost Rate (if applicable) 5.Terms to allow access to the sub recipient records by auditors and the County 6.Closeout terms and conditions The County’s Community and Housing Services Division is the County leader in sub-awards with written processes supporting monitoring plans, subrecipient applications and grievance procedures. Page 2140 of 3896 85 RISK ASSESSMENT The Grant Compliance Office assesses risk in management of individual Federal and State grant programs awarded to the County through a tool called the Quick Compliance Guide. Individual Divisions managing Federal pass-thru funds have written risk assessment tools for subrecipients. Overall, GCO relies on the Committee of Sponsoring Organizations of the Treadway Commission (COSO) as a guide to assess the County’s internal control systems including the assessment of risk. The COSO framework defines internal control as a process, effected by an entity’s board of directors, management and other personnel, designed to provide "reasonable assurance" regarding the achievement of objectives in the following categories: •Effectiveness and efficiency of operations •Reliability of financial reporting •Compliance with applicable laws and regulations. The COSO internal control framework consists of five interrelated components derived from the way management runs a business. According to COSO, these components provide an effective framework for describing and analyzing the internal control system implemented in an organization as required by financial regulations. The five components as follows describe the County’s administrative management of Federal and State grants. Control Environment Collier County’s Office of Management and Budget (OMB) has a dedicated staff under the Office of Grant Compliance (GCO) which oversees the administrative compliance of the Federal and State grant funding. GCO work with Divisions managing grants to ensure both County policies and procedures and grantors administrative requirements are met. Grant awards and related grant required actions are submitted to the Collier County Board of County Commissioners (BCC) for approval through the agenda software requiring reviews by appropriate Division staff, Department leadership, the County Attorney and Procurement Services-as applicable.Budgets are appropriated at the time of award within the SAP Grants Management System unless otherwise waived. OMB staff have been assigned to the Division and/or Department to provide grant administrative compliance functions and assistance. Individual Divisions assign both fiscal and program staff to manage the fiscal and program components of grant programs. Division staff report to Division Managers/Directors/Administrators. Divisions are responsible for operations, capital project oversight and implementation of grant programs or projects. All Divisions staff are expected to understand grantor requirements and use available grantor and County resources. GCO provides day to day administration and monitoring at a customized level of assistance as necessary dependent upon Division size.GCO is sought for advisement to mitigate compliance risks and/or develop corrective actions. The County maintains a written Code of Conduct. Grant agreements, federal circulars, Uniform Grants Guidance (2 CFR Part 200), federal registers and circulars, grantor handbooks provide guidelines of the eligible activities and identifies what types of expenditures are reasonable or not. The Compliance Supplement and grant agreement provides for major compliance areas. Expenditures are approved Page 2141 of 3896 86 Risk Assessment Control Activities The County has a written Grant Administrative Handbook and may develop job aids as necessary to support compliance. Divisions may maintain written procedures for larger grant programs that require nonstandard program and/or administrative requirements. GCO reviews Divisions procedures as requested. The GCO Manager, GCO staff and Division staff monitor changes in grantor requirements. Segregation of duties is maintained by written internal controls and financial system accesses and workflows. Physical inventories are conducted annually and facilitated by the Clerk. The BCC generally meets twice per month and approves all grant applications, awards, appropriations, major amendments and any other documents as required by the grantor agency. Information and Communication by Division staff per the guidelines stated in the Control Activities of the Allowable Costs Section. SAP financial system workflow allows for the Managing Division, Purchasing and GCO to review/approve requisitions. The County Clerk is responsible for processing and releasing disbursements. GCO has written procedures and internal controls established in the County’s Grants Administrative Handbook. The County’s GCO establishes relationships with Division personnel managing grant programs. The County has a dedicated Grants Compliance Office to support Departments in administrative management of grants by the establishment of countywide protocols, identification and mitigation of noncompliance (potential or otherwise) and the cultivation of environment focused on successful compliance throughout the organization. The County’s financial system has a grants management module that allows project accounting for each grant award. Grant personnel have an understanding of allowable and unallowable activities per the OMB Circulars/UGG, Code of Federal Regulations and grant contract. Division personnel are dedicated to attend grantor trainings, follow established County procedures and coordinate with GCO to maintain grant compliance. GCO prepares Compliance Guides on grant programs to identify major compliance areas and assess County resources required to manage grant program successfully. The Guide is reviewed with pertinent staff and used to assign staff responsibilities, identify key compliance areas and deadlines. The guide also ensures segregation of duties, County protocols and internal controls as well as grantor requirements are understood. GCO offers individualized training as well. All County staff and the Clerk of Courts have access to grant agreements, amendments, support documentation, federal circulars, UGG and regulations via Sharepoint. The GCO Manager or assigned staff regularly meet with Divisions to monitor grant programs progress and activities to mitigate risk and ensure administrative requirements are met, as well as monitor that program compliance is on target. The County Manager Agency (CMA 5330) Grant Coordination procedure requires Divisions to communicate grant actions to the GCO as well as defines required Board approvals in grants management. The County Manager Agency (CMA 5311) Code of Ethics has an anti-fraud procedure. The County has implemented a web-based platform called Collier University to provide training and obtain employee attestations of CMA's.GCO reviews all grantor reports and draws by established means and monitors that deadlines are met.Divisions notify GCO of any Page 2142 of 3896 87 Monitoring The County’s GCO SharePoint site allows monitoring of grant contracts.A masterlist or log is maintained of grant awards, grant setups, draws, budget amendments, and external monitoring. GCO maintains a reconciliation of expenditures to revenues for each grant contract and uses this to review draws, financial reports, approve requisitions and advise Divisions as needed. The Clerk of the Court performs an audit of submitted expenditures before payment is made. The Clerk employs an Internal Audit Department. GCO personnel perform reviews and oversight through approval of applications and awards through Agenda software system, draw requests, reports, general ledger reconciliations, grant funded procurement solicitations and requisitions. Division staff monitors financial and grant activities through review of requisitions, grant scope, grant budgets, change orders, to ensure costs are allowed before processing/approving expenditures. Grantor monitoring’s are required to be communicated to GCO through both the CMA 5330 and Grants Administrative Handbook. Grantor monitoring’s are communicated to GCO and results are shared with upper management. Required corrective actions are developed, monitored and implemented. Divisions which pass through sub awards have written procedures to monitor subrecipient up to and including specialized monitoring units. monitoring performed by grantor agencies, as well as results and plan corrective actions (if necessary) with GCO. GCO conveys monitoring results to upper management and the Clerk who coordinates the Single Audit. Page 2143 of 3896 88 PERSONALLY IDETNIFIABLE INFORMATION (PII) The County maintains compliance with personally identifiable information (2 CFR Parts 200.79 and 200.82) requirements through CMA 5405 Computer Technology Use under the Section I Regulated Data. Divisions managing grants with PII shall ensure compliance and may contact either GCO or IT to determine appropriate actions to safeguard Protected PII. §200.79 Personally Identifiable Information §200.82 Protected Personally Identifiable (PII) Information (Protected PII) means information that can be used to distinguish or trace an individual’s identity, either alone or when combined with other personal or identifying information that is linked or linkable to a specific individual. Some information that is considered to be PII is available in public sources such as telephone books, public Web sites, and university listings. This type of information is considered to be Public PII and includes, for example, first and last name, address, work telephone number, email address, home telephone number, and general educational credentials. The definition of PII is not anchored to any single category of information or technology. Rather, it requires a case-by-case assessment of the specific risk that an individual can be identified. Non-PII can become PII whenever additional information is made publicly available, in any medium and from any source, that, when combined with other available information, could be used to identify an individual. means an individual’s first name or first initial and last name in combination with any one or more of types of information, including, but not limited to, social security number, passport number, credit card numbers, clearances, bank numbers, biometrics, date and place of birth, mother’s maiden name, criminal, medical and financial records, educational transcripts. This does not include PII that is required by law to be disclosed. (See also § 200.79 Personally Identifiable Information (PII)). Page 2144 of 3896 89 INFORMATION TECHNOLOGY The County’s CMA 5405 Computer/Technology Use applies to federal awards and outlines the County’s procedures to safeguard against improper modification or destruction of IT systems as well as maintaining controls to continually evaluate for internal and external threats to the system. Section G – Data Management addresses the safeguarding against the alteration of data records which includes any data related to Federal awards as required by 2 CFR §200.335. Page 2145 of 3896 90 CONFLICTS OF INTEREST The County’s CMA 5311 Code of Ethics and Anti-Fraud outlines the County’ conflicts of interest policy. The managing Division of the grant award will disclose any potential or actual conflicts of interest in writing to the Federal awarding agency or pass through entity as well as notice the Grants Compliance Office to maintain compliance with 2 CFR Part 200.112. In addition, the Collier Procurement Manual Sections 7 and 27 addresses Conflict of Interest with Third Party Vendors and applies when procuring goods and service with federal awards. Page 2146 of 3896 91 FRAUD The County’s CMA 5311 Code of Ethics and Anti-Fraud outlines the County’s procedures involving fraud, bribery or gratuity violations and are applicable to federal and state grant awards. The managing Division of the grant award will disclose any potential or actual fraud in writing to the Federal awarding agency or pass through entity as well as notice the Grants Compliance Office to maintain compliance with 2 CFR Part 200.113. The Corporate Compliance and Internal Review Divisions (CCI) under the County Manager’s Office has implemented a Fraud Hotline and Fraud Risk Assessment in conjunction with COSO Principle 8, and a Process Improvement Valuation Pilot Program. Additionally, staff has provided consulting services throughout the Agency to support mitigation of risk to critical business functions. Background CCI collaboratively facilitates the design, development, implementation, monitoring, and management of the Internal Controls Program throughout Collier County Government. The internal controls framework was adopted by the Agency in alignment with the Federal Government and the Committee of Sponsoring Organizations (COSO). The Division continues to leverage Comensure, a cloud-based software, to actively manage the internal controls program. The staff facilitates certification of internal controls and provides ongoing communication through quarterly reviews to directors and department heads. Quarterly reviews provide leadership with the timeliness of certification, quality of testing, analysis of controls, new process improvements, and remediation actions for the division. Page 2147 of 3896 CMA 5330 GRANT ADMINISTRATION Page 1 of 5 [Effective Date: February 18, 2004 (Revised: April 1, 2006; Revised: September 1, 2017; Revised August 26, 2021)] § 5330-1. Purpose. The purpose of this procedure is to ensure that County Divisions coordinate grant acquisition efforts; to provide a mechanism for assisting Divisions in grant application, submission and award acceptance; to review all1 acquisitions for compliance, consistency and appropriateness prior to submittal to the grantor; to track and monitor grants for single audit and budget compliance; and to provide oversight through Countywide internal controls to support administrative grants management requirements. § 5330-2. Concept. Collier County continually strives to increase and enhance the quality and quantit y of public services, facilities and infrastructure by maximizing the use of federal, state and local grants. The role of the Grants Compliance Manager is to coordinate and assist departments in these grant efforts, to monitor and track existing and future grants; lead the annual audit; and mitigate compliance risk. Advisements made by the Grants Management Office under the Office of Management and Budget provide opportunities to mitigate or eliminate potential or identified risks of noncompliance that could impact the results of a successful audit or sponsor peer review. Staff are expected to implement advisements in order for the County to promote a compliance-minded environment and good standing with its sponsors to secure future funding. The County’s Grant Administration Handbook guides all County Divisions through the grant process focusing on post award compliance. Check the grants Sharepoint site regularly for updates. These procedures are not subject to nor to be amended by any current or future contradictory resolutions with the exception of specific resolutions delegating specific authority at the request or requirement of the grantor. § 5330-3. Procedure. A. Preparation of Grant Applications: The Grants Compliance Manager is available to help provide resources in grant preparation, including locating, researching, writing, assembling, and submittal. Each division acquiring grant funding must assign adequate staff resources that are trained and/or experienced relative to the complexity of the grant program requirements. Staff will work closely with the Grants Compliance Office to coordinate administration, provide required support and project information throughout the grant application, approval and management process. B. Grant Review Process: The Grants Compliance Manager, or designee, will review all grant applications prior to submission to the grantor. A copy of the application, with required review sheet and all grant guidelines, must be forwarded to the Grants Compliance Manager prior to the grant being added to the automated agenda system for approval by the Board of County Commissioners. (1) If a grantor limits the number of applications that can be submitted at one time or requires that multiple applications be prioritized, it is the responsibility of the Department Heads of the respective divisions, with assistance from the County Manager and Grants Compliance 1. The portions of this procedure related to preparation, review, submittal and approval and agreement processes do not apply to Constitutional Officers with the exception of grant programs whereby the Board is required to be the grantee for eligibility. Page 2148 of 3896 CMA 5330 GRANT ADMINISTRATION Page 2 of 5 Manager if necessary, to select the proposal to be submitted or to prioritize the proposals. If, however, the grantor specifically requires such decision to be made by the elected body, the Board of County Commissioners will make that decision. (2) If a division has specialized experience in a grant program in which multiple County divisions apply, the County Manager and Grants Compliance Manger may designate a lead division to manage administrative and program compliance. C. Approval and Submittal: (1) The Board of County Commissioners must approve all grant applications, including applications that do not require a signature, are submitted online or allow an individual other than the Chairman of the Board to sign. (2) The Grants Compliance Manager, or designee, will approve each Executive Summary in the automated agenda system. Guidelines for preparation of the executive summary and example executive summaries are available on the grants Sharepoint site. (3) All grant applications that require signature of the Chairman of the Board of County Commissioners also require review by the County Attorney's office. (4) In the event that the grant deadline is prior to the deadline for items to be submitted for a scheduled Board of County Commissioners meeting or the deadline is prior to the next Board of County Commissioners meeting, the project manager must contact the Grants Compliance Manager to discuss options for emergency submittals or after-the-fact approval. Division will apply using the established after-the-fact Board approval request form. If emergency submittal is not possible, these policies, to the greatest extent then allowed by law, rule or regulation, delegate to the County Manager, or designee, authority to sign the grant application; however, the project manager must submit an executive summary for the next Board of County Commissioners meeting for the required after-the-fact approval. Internal department deadlines used to manage agenda items will not supersede the meeting date the OMB Grants Management Office assigns to obtain Board approval. (5) Only the following reasons constitute justification for the after-the-fact process: (a) The grant is announced, and the application is due within one month or less and the deadline has been missed for the next available Board of County Commissioners meeting; or (b) Division commitments to emergency situations or events beyond n ormal operations prohibit staff from having time to develop application in coordination with Grant Coordinator; or (c) The Board of County Commissioners is not in session for a few weeks at a time (e.g. summer break). (6) Over usage or unjustifiable reliance on the after-the-fact process is not acceptable and the County Manager has the right at any point to disapprove the submittal of an application. (7) The only exception to the requirement that the Board of County Commissioners sign a grant application is when a grantor provides specific authority and requires that the Board of County Commissioners delegate the authority to another individual or if the application is to be Page 2149 of 3896 CMA 5330 GRANT ADMINISTRATION Page 3 of 5 submitted online. In these instances, however, the Board of County Commissioners must by executive summary and, if appropriate, resolution or other form of approval, delegate authority to that individual for that specific grant application and such approval must be granted for each and every application submitted. (7) Separate actions will be taken before the Board for application and award unless an exception is granted by the Grants Compliance Manager. D. Notice of Grant Awards: Notice of a grant award may come in a variety of forms, including an award letter, an agreement, an e-mail or even a phone call. Regardless of the form of notice, the Grants Compliance Manager must be notified of all awards upon receipt. E. Grant Award Documents. (1) Most grants require execution of an agreement, contract or other document for formal acceptance. (2) The Grants Compliance Manager, or designee, will approve each executive summary in the automated agenda system. Guidelines for preparation of the executive summary and example Executive summaries are available on the grants Sharepoint site. (3) The Board of County Commissioners must approve acceptance of the grant, unless the Board delegated this specific authority to the Department Head during any stage of the application approval process (if required by the grantor). Acceptance of each grant may require signature on an acceptance letter, grant agreement/contract, certifications or other acceptance documents. (4) As is the case with the application process, in the event that the grant agreement deadline is prior to the deadline for items to be submitted for a scheduled Board of County Commissioners meeting or the deadline is prior to the next Board of County Commissioners meeting, the project manager must contact the Grants Compliance Manager to discuss options for emergency submittals or after-the-fact approval. If emergency submittal is not possible, these policies, to the greatest extent then allowed by law, rule or regulation, delegate to the County Manager, or designee, authority to sign the grant award document; however, the project manager must submit an executive summary at the next available Board of County Commissioners meeting for the required after-the-fact approval. This process is only permitted if the grantor agrees that it is acceptable in order to meet their deadline; however, most grant ors will allow additional time for the regular Board of County Commissioners approval. Always forward a copy of the executive summary verifying after-the-fact approval to the grantor. (5) Only the following reasons constitute justification for the after-the-fact process: (a) The grantor requires execution of the agreement or contract within one month or less and the deadline has been missed for the next available Board of County Commissioners meeting; or (b) The Board of County Commissioners is not in sessi on for a few weeks at a time (e.g. summer break). (6) Over usage or unjustifiable reliance on the after-the-fact process is not acceptable and the County Manager has the right at any point to require that approval be postponed until the next available Board of County Commissioners meeting for approval of an agreement. Page 2150 of 3896 CMA 5330 GRANT ADMINISTRATION Page 4 of 5 F. Amendments: (1) Minor Amendments: Amendments to grant agreements, such as time extensions, movement of grant funds from line item to line item within the approved grant agreement budget, an d other changes that do not increase the County's obligations, require additional staffing, resources or negatively impact another planned or programmed project may be signed by the respective Department Head unless prohibited by the grantor, grant agreement or any applicable federal, state, or local laws, rule or regulation. The underlying grant contract conditions must also allow such signature authority. All such amendments must be reported to the Grants Compliance Manager and consulted with prior to execution with a copy of the amendment forwarded for the Central Grants File. (2) Major/Significant Amendments: Amendments that increase or decrease grant funds, change the scope of the program or otherwise obligate the County to expend additional funds or resources are not considered minor. All major amendments must be reviewed and approved by the Grants Compliance Manager in the automated agenda system and approved by the Board of County Commissioners. The funding source for any increase in County funds or personnel, such as the local match requirement, must be identified and included in the backup documentation to the Board. (3) Budget Amendments: In accordance with the Office of Management and Budget current procedures, the Board of County Commissioners must approve, via executive summary, all budget amendments to recognize and appropriate new revenue from grants. The amount and source of match must be disclosed in the Execute Summary, identified and available no later than at the time award or per the application requirements whichever is more restrictive . G. Documents Required in the Central Grants File: (1) Prior to adding any document to the automated agenda system for Board of County Commissioners approval, staff will submit documents to the Grants Compliance Office for review. Documents that should be included for reference are: (a) Notice of funding availability. (b) Draft application. (c) Grant program guidance. (2) Following submittal of the grant application to the grantor, the project manager must forward copies of the complete and signed application to the Grants Management Office for filing in the Central Grants File. H. Upon successful award of any grant, the project manager must forward copies of the following documents to the Grants Management Office for review prior to adding them into the automated agenda system for Board of County Commissioners approval and for filing in the Central Grants File: (1) Award/rejection letter. (2) Draft agreement prior to adding it to the automated agenda system. (3) Executed agreement. Page 2151 of 3896 CMA 5330 GRANT ADMINISTRATION Page 5 of 5 I. Post Award Throughout the term of the grant, the project manager will coordinate with the Grants Management Office to ensure adherence with Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (2 CFR Part 200) and the County Grants Administration Handbook. The project manager must forward copies of the following documents to the Grants Management Office for review and filing in the Central Grants File: (1) Correspondence related to time extensions. (2) All amendments to the grant agreement including informal advisories via email. (3) All financial, project status, interim and final close out reports prior to submittal (4) All reimbursement requests prior to submittal. (5) Procurement solicitations prior to advertising and vendor contracts prior to execution. (5) All special conditions requests for grantor approval. (6) Any pertinent grantor notifications that may impact compliance. J. Monitoring: All notices, draft reports and final results will be forwarded to the Grants Compliance Manager upon receipt. Monitoring may be in a variety of formats including an informal desktop review to a formal onsite visit. Responses will be developed in coordination with the Grants Compliance Manager and at minimum reviewed prior to submittal. K. Coordination with Collier County Clerk of Courts Finance Department: The Grants Management Office will file copies of all award letters, agreements and any other required documents in the Central File which the Finance Department has access to in order to carry out the annual audit. L. Repetitive non-adherence to this policy may require the division to submit a corrective action plan should non-compliant actions cause potential or actual audit risk that could result in adverse findings or comments from any audit or review. § 5330-4. Currency. The Grants Management Office is responsible for maintaining the currency of this Instruction. Page 2152 of 3896 Page 2153 of 3896 Page 2154 of 3896 Page 2155 of 3896 Page 2156 of 3896 Page 2157 of 3896 Page 2158 of 3896 Page 2159 of 3896 Page 2160 of 3896 Page 2161 of 3896 Page 2162 of 3896 Page 2163 of 3896 Page 2164 of 3896 Page 2165 of 3896 Page 2166 of 3896 Page 2167 of 3896 Page 2168 of 3896 Page 2169 of 3896 Page 2170 of 3896 Page 2171 of 3896 Page 2172 of 3896 Page 2173 of 3896 Page 2174 of 3896 Page 2175 of 3896 Page 2176 of 3896 Page 2177 of 3896 Page 2178 of 3896 Page 2179 of 3896 Page 2180 of 3896 Page 2181 of 3896 Page 2182 of 3896 Page 2183 of 3896 Page 2184 of 3896 Page 2185 of 3896 Page 2186 of 3896 Page 2187 of 3896 Page 2188 of 3896 Page 2189 of 3896 Page 2190 of 3896 Page 2191 of 3896 Page 2192 of 3896 Page 2193 of 3896 Page 2194 of 3896 Page 2195 of 3896 Page 2196 of 3896 Page 2197 of 3896 Page 2198 of 3896 CMA # 5809 MANAGING PERSONAL PROPERTY AND CONSUMABLE SUPPLIES Page 1 of 7 [Effective Date: October 10, 2006; (Revised: October 1, 2008; Revised: December 15, 2014; Revised: December 1, 2020)] § 5809-1. Purpose. The purpose of this Instruction is to establish a property and supply management system authorized by the County Manager. § 5809-2. Concept. Each operating division is responsible for the proper and prudent acquisition, safeguarding, utilization, maintenance and transfer of all assets, tangibles and consumables acquired by or assigned to that division. This Instruction clarifies and sets forth the expectations of the County Manager in this regard. § 5809-3. Definitions. As used in this CMA, the following terms shall have the meanings indicated: ASSET— Tangible personal property of a non-consumable nature that has a normal useful life of one year or more and an acquisition value of $5,000. For the purpose of this Instruction, this shall include, but not limited to, the purchase or donation of equipment, furniture, personal computers (including laptops), vehicles and other rolling stock. CONSUMABLE SUPPLIES or CONSUMABLES— Any tangible personal property of a consumable nature in normal business use that has a useful life of less than one year or an acquisition value of less than $1,000. Examples would include office supplies and other similar items that are typically consumed or utilized over a short period of time. CUSTODIAN— The Director of the division to which the asset or consumable item is assigned (including those items purchased by or furnished to the department for use). DONATION— Property gifted to a County division from any organization, agency or person, with a normal useful life of one year or more and an acquisition value of $5,000 shall be treated as an asset. MINOR TANGIBLE ITEMS or TANGIBLES— Any minor tangible personal property that has a useful life of less than one year or an acquisition value of less than $5,000 on an itemized basis. Examples would include, but not be limited to, minor office equipment, furniture, furnishings, tools, minor field equipment and clothing. PROPERTY OFFICER— The person(s)/position(s) assigned (by the custodian) the responsibility of ensuring the proper care and use (inventory, track and maintain) of assets, tangibles and consumables assigned to a given division, section or location, and ensuring that they witness the disposal if declared scrapped or destroyed. SCRAPPED or DESTROYED PROPERTY— Any asset that the assigned division deems to be Page 2199 of 3896 CMA # 5809 MANAGING PERSONAL PROPERTY AND CONSUMABLE SUPPLIES Page 2 of 7 obsolete, unrepairable (repair and/or maintenance costs exceed the price of a new item), or unsafe. SURPLUS PROPERTY— Any asset that the assigned division deems to be obsolete or has determined that the continued use of which is uneconomical or inefficient, or which serves no useful function to the assigned division. § 5809-4. Procedure. A. Roles and Responsibilities (1) The custodian is ultimately responsible for the proper care and use of all property assigned to or provided for use by the division. The property officer is directly responsible for the proper care and use of all property assigned to him/her by the custodian. (2) Each custodian shall appoint the property officer(s) responsible for the proper care and use of assets, tangibles and consumables assigned to the custodian's division. (3) Property officers may be appointed by person, position, location or whatever manner deemed reasonable by the custodian. (4) Property officers will be responsible for maintaining a perpetual inventory; however, where feasible, an alternative party will be required to perform a physical count at least annually. (5) Prior to disposition, property officers will be responsible for obtaining and understanding how the tangible(s), and / or asset(s), was obtained, all warranties associated with the property, and the net book value. B. Consumables (1) Each custodian shall designate the appropriate person(s) to be responsible for the receiving, inventorying and proper use of consumables. (2) Each custodian shall designate the appropriate persons to maintain an ongoing, up to date perpetual inventory (additions, deletions and changes to) of consumables items at whatever level deemed appropriate by the custodian. Transfers of consumables within or between divisions shall be tracked as additions or deletions to the respective inventories of consumables. The custodian shall have the discretion to request and obtain assistance from an employee outside of the division to periodically conduct an inventory of all consumable items with the division's possession. (3) Any consumable item deemed to be missing shall be searched for by the appropriate property officer and if not located within a reasonable time and with a reasonable effort (maximum 15 days), removed from the perpetual inventory. In the event of an apparent theft of a consumable item(s), the custodian shall immediately determine the level of investigation warranted into the matter and whether such theft must be reported to the appropriate law enforcement agencies. (4) Should a custodian determine that a consumable item(s) is no longer of use to their Page 2200 of 3896 CMA # 5809 MANAGING PERSONAL PROPERTY AND CONSUMABLE SUPPLIES Page 3 of 7 operation, the property officer, with the prior, written approval of the custodian, will submit a completed Surplus Property Pre-Requisite Information Form to the Procurement Division. C. Assets and Tangibles: (1) Receiving: (a) Upon receipt and acceptance of purchased asset by the Custodial Division, the custodian will provide a Capital Asset Transaction Form to the Capital Assets Office of the Clerk of Courts Finance Department, or designee, shall issue an asset tag or unique record number and forward it to the Custodial Division. The Custodial Division shall apply an asset tag to the front of the purchased asset and the tag shall not be removed without the prior approval of the Procurement Division and the Fixed Assets Section. The custodian shall designate a single point of accountability to receive the tag, record the tag number and ensure its adherence to the appropriate asset. This is meant to supplement the requirements of the County Finance Department Asset Inventory requirements. (b) Upon receipt and acceptance of a donated asset, the Custodial Division shall complete and forward a Capital Asset Transaction Form to the Clerk of Courts Finance Department with the following information: [1] Date the asset was received; [2] Fair market value of the donation at time of receipt; [3] Detailed description, including serial number or VIN, and year, make and model; [4] Fund and cost center; and [5] Copies of any documents regarding the donation. (c) The custodian shall designate the appropriate person(s) to be responsible for receiving and accepting the delivery of tangibles and recording such transactions in the division's inventory. (2) Proper Care and Reporting: (a) Each custodian shall designate the appropriate persons to maintain an ongoing, up-to-date perpetual inventory (additions, deletions and changes to) of assets and tangibles by division, section or location or at whatever level deemed appropriate by the custodian. The custodian shall also establish the method(s) and frequency of conducting a physical count of all inventoried items. The custodian shall have the discretion to request and obtain assistance from an employee outside of the division to periodically conduct an inventory of all assets or tangibles within the division's possession. (b) Each division shall establish internal procedures governing the proper care and Page 2201 of 3896 CMA # 5809 MANAGING PERSONAL PROPERTY AND CONSUMABLE SUPPLIES Page 4 of 7 use of assets and tangibles, and procedures for the exchange/trade-in or return of that property if not required. The procedures shall be based upon the size and functions of the division and shall include, but not be strictly limited to, who is authorized to use or consume the inventoried items, how usage or consumption is tracked and the accounting and return of assets for credit at the conclusion of a project. Minimum operating procedures have been attached. (c) Under Florida law, the Capital Assets Office of the Clerk of the Circuit Court Finance Department is responsible for maintaining the record of all assets owned by the Board of County Commissioners' Agency. Each year, the Capital Assets Staff will update the perpetual inventory of assets by distributing a copy of the current asset record to each custodian for their division. In turn, the custodian will direct the appropriate property officer(s) to conduct a physical count of all assets and submit their findings to the custodian, who will forward the results to the Capital Assets Office. (3) Transfers / Trade-ins: (a) When an asset or tangible item(s) is permanently transferred within a division (e.g.; from one physical location to another), the custodian shall formally reassign responsibility for the item(s) from the existing property officer to the receiving property officer. (b) When an asset is transferred between divisions (including the transfer of items deemed surplus), the releasing division shall complete a Capital Asset Transaction Form that fully describes the item(s) being transferred and clearly identifies the releasing and receiving divisions respectively. The form shall be signed by the releasing and receiving custodians and subsequently forwarded to the Capital Assets Office. (c) When a tangible is transferred between divisions the releasing division shall delete the item from its internal perpetual inventory record. Accordingly, the receiving division shall add the item(s) to its internal inventory record. (d) When an asset is exchanged as a trade-in to a supplier as payment (or part of payment) for equipment purchased through the Procurement Division, the custodian shall complete a Surplus Property Pre-Requisite Information Form and forward it to the Procurement Division for approval. (4) In the event that an asset or tangible is transferred to another division for a period of 90 days or less, the permanent custodian shall initiate correspondence to the temporary custodian setting for the terms and duration of the temporary reassignment. Both the permanent and temporary custodians shall sign the correspondence. (5) Disposal: (a) Should a property officer determine that an asset or tangible should be scrapped or destroyed because it is obsolete, unrepairable (repair and/or maintenance costs Page 2202 of 3896 CMA # 5809 MANAGING PERSONAL PROPERTY AND CONSUMABLE SUPPLIES Page 5 of 7 exceed the price of a new item), or unsafe, a Surplus Property Pre-Requisite Form must be completed. Property officers are responsible for obtaining information on how the tangible(s) and / or asset(s) was obtained, review all warranties associated with the property to ensure there is no manufacturer repair recourse, and review the net book value. The custodian and the Procurement Division must approve the disposal of the item(s). (b) Once approved by the Procurement Division, the Procurement Division will forward a copy to the department and the Capital Assets Office of the Clerk of the Circuit Court Finance Department. The Property Officer is responsible for ensuring that they witness the disposal if declared scrapped or destroyed property. (c) The division will forward a copy of the approved Capital Asset Form to the Capital Assets Office of the Clerk of the Circuit Court Finance Department who will record all disposed assets to the Board of County Commissioners' Agency. (6) Missing or Stolen Property: (a) If an asset or tangible is determined to be missing during the course of day-to- day business, the property officer directly responsible for the item(s) shall conduct a thorough search for the missing property, including circulating notice of the missing item(s) within the assigned department or, if warranted, within the County Manager's agency. Should the missing item(s) not be located within a reasonable amount of time (maximum 30 days), the property officer will notify the custodian accordingly, who, in turn will notify the Capital Assets Office. (b) In the event that the custodian and their property officer are not able to locate an item included in the annual inventory of assets listing, the custodial shall direct the property officer to conduct a thorough search for the item and to circulate notice of the missing item within the division and the County Manager agency. The custodian shall notify the Capital Assets Office of the discrepancy and shall complete the search process within 30 days of identifying the discrepancy. The custodian shall subsequently complete the Collier County Unaccounted for Property form and submit it to the Capital Assets Office with other inventory paperwork. (c) In the event of the presumed theft of an asset or tangible, the property officer shall report the incident to the appropriate law enforcement agency, shall internally investigate the theft and shall formally report their findings to the custodian. The report shall include a copy of the law enforcement agency's report. The custodian and property officer shall fully cooperate with law enforcement agencies to facilitate all investigative, prosecutorial and property recovery efforts. The custodian and property officer shall complete a Fixed Asset form, indicating disposal by theft, and submit both the form and a copy of the law enforcement report to Procurement for review and asset disposal approval. D. Disciplinary Action: Failure to comply with the requirements of this section shall be grounds for appropriate progressive discipline under the County Manager’s Agency Administrative Page 2203 of 3896 CMA # 5809 MANAGING PERSONAL PROPERTY AND CONSUMABLE SUPPLIES Page 6 of 7 Practices and Procedures. E. Disposition: Any division that deems an assigned asset to be surplus and no longer of beneficial use to that division shall complete a Surplus Property Pre-Requisite Form to be executed by the custodian and forwarded to the Procurement Division. § 5809-5. Reference. Chapter 274, Fla.Statute., the Rules of the Department of Financial services 69I-73, and the prevailing County purchasing policy. § 5809-6. Currency. The Procurement Division is responsible for maintaining the currency of this Instruction. Page 2204 of 3896 CMA # 5809 MANAGING PERSONAL PROPERTY AND CONSUMABLE SUPPLIES Page 7 of 7 **** SAMPLE ONLY **** COLLIER COUNTY INVENTORY CONTROL MINIMUM OPERATING PROCEDURES [OPERATING DEPARTMENT NAME] Procedure Name: Project Material Return Procedure Purpose: To define a process to determine the disposition of excess project material. Frequency: As needed at the completion of a County project. Documents Used During the Procedure: • Parts list from the project showing excess items • Purchase Order • Invoice • Packing Slip Operating Procedures: 1. Upon completion of a County project, the project manager will return any excess items to the vendor for a credit in compliance with the County’s contract documents prior to final close- out. Returning excess project parts to the vendor is the preferred option. 2. If the project manager, in coordination with the operating division director, deems certain excess project parts may be needed as a backup and estimates the excess parts (excluding special order items with long lead times) will be used within a nine (9) month period, the project manager will send the list of parts including the part description, quantity, unit cost and vendor to the inventory / fiscal staff. The parts will be transferred from the project cost center to the designated warehouse cost center via a journal entry and brought into asset inventory. 3. A journal entry will be executed to transfer the value of the parts from the project cost center and apply the value to the designated warehouse cost center. 4. If the excess project parts are not needed by the operating division and the vendor refuses to take the parts back and credit the division, the project manager will send a list of the excess parts including the part description, quantity, unit cost and vendor to the inventory / fiscal staff. The inventory / fiscal staff and the project manager will coordinate with the Procurement Services Division regarding the disposition of the excess parts. 5. All items being returned to the vendor, transferred from the project cost center to a warehouse cost center, or sent to surplus for disposal will be reviewed by the fiscal staff to ensure policy compliance with the CMA 5809 Managing Personal Property and Consumable Supplies. Page 2205 of 3896 CMA 5405 COMPUTER/TECHNOLOGY USE Page 1 of 11 Effective Date: June 10, 1999 (Revised: December 1, 2000; Revised: February 12, 2001; Revised: October 1, 2001; Revised: October 1, 2003; Revised: May 30, 2004; Revised: June 11, 2004; Revised: January 1, 2005; Revised: April 1, 2006; Revised: July 1, 2009; Revised: December 16, 2009; Revised: March 18, 2011; Revised July 11, 2018; Revised June 7, 2019; Revised: June 7, 2024) § 5405-1. Purpose. A. The goal of this instruction is to ensure the integrity, proper operation and security of the County’s technology resources by setting rules of conduct for use by all County employees, contract employees, and business partners. B. This instruction applies to the Collier County Board of Commissioners Agency’s internal business network and associated systems and resources. This instruction does not apply to the, the Transportation Signalization Network, the Public Utilities Plant Control and SCADA Networks, Emergency Management non-IP two-way communication systems and their associated systems and resources, except where they interface with the Agency’s internal business network. C. This instruction sets forth the Agency’s practices and procedures governing the utilization of technology resources and disciplinary recourse for violations. This instruction also sets forth guidance for compliance with applicable laws governing the handling of specific kinds of data created with or transmitted by network resources. § 5405-2. Definitions. A. AUTHORIZED ADMINISTRATIVE STAFF – IT staff and other staff authorized by the Director, Information Technology Division who have elevated privileges and access rights for maintaining network resources and services. B. BUSINESS PARTNERS – any person not directly employed by the Board of County Commissioners who is authorized to utilize County technology resources. Examples of business partners would include, but not be limited to: vendors, contractors, and advisory board members. C. DATA – Information stored by technology assets or transmitted from or through the network. D. DATA CUSTODIANS - Staff with the authority for acquiring, creating, and maintaining data within their assigned area of control. E. INAPPROPRIATE CONTENT - Content that is fraudulent, harassing, embarrassing, sexually explicit, profane, obscene, intimidating, defamatory, or contains sexual comments, obscenities, nudity, pornography, abusive or degrading language, antisocial behavior, or inappropriate comments concerning race, color, religion, sex, national origin, marit al status, or disability or is otherwise unlawful is inappropriate for the workplace and may not be sent by e-mail or other form of electronic communication or displayed on County computers or stored in the County's systems. F. LIMITED NON-BUSINESS USE – Use of the County’s technology assets that does not impact employee productivity and complies with all other aspects of this instruction. G. NETWORK – The data, voice, and multimedia communication system made up of devices Page 2206 of 3896 CMA 5405 COMPUTER/TECHNOLOGY USE Page 2 of 11 (switches / routers / firewalls and the like), wires, fiber optics, jacks, access points (physical and wireless), software and services. H. NETWORK RESOURCES – Any services which may be accessed through the Collier County network. Examples include, but are not limited to: software applications, e -mail, data, telecommunications, the Public Safety Radio System, and Internet resources accessed fr om or through the network. I. REGULATED DATA – data that requires special handling due to statutes, regulations or agency policies. At this time, regulated data includes, but not limited to: Protected Health Information (PHI) protected under HIPAA rules and statutes, Payment Card Industry (PCI) and other personal financial information (PFI) (e.g. credit card and bank account numbers) and personal identifying information (PII) (e.g. social security numbers), PII protected by the Florida Information Protection Act (FIPA), addresses and names of judges and law enforcement officials, and other data exempted from the State of Florida’s Public Records Laws by statute. J. SLATE – a form factor for a computing device that meets the following criteria: 1. Does not run Windows operating system as its base operating system, and 2. Uses “touch” as its primary mode of user interface. K. TECHNOLOGY ASSETS – any devices owned by Collier County that are part of or used for data or voice communications. Examples include, but are not limited to: computers, network switches and routers, servers, databases, smart phones, cellular air cards, printers, telephones, public safety radios, and associated software and accessories. L. TECHNOLOGY RESOURCES – includes all of the following: TECHNOLOGY ASSETS, information/data stored or in transit, the County’s private data network, NETWORK RESOURCES, and all resources and services associated with other networks accessed from or through the County network, including the Internet, Internet Services, and other agencies’ or corporate networks and services. M. USER – Inclusively, staff, elected / appointed officials, and/or business partners authorized to use County technology resources. § 5405-3. Concept. A. Compliance: 1) This instruction applies to all users of Collier County technology assets, network and/or network resources including authorized administrative staff except when utilizing properly authorized elevated privileges or access rights in the discharge of their duties. a. Authorized administrative staff’s use of elevated privileges is governed by IT Division instructions. b. Employee violations will be assessed, and disciplinary actions will be governed by CMA 5351 – Discipline, and CMA 5311.1 - Standards of Conduct. c. Business partner violations will be subject to loss of the use of technology assets, network and/or network resources and contractual sanctions. Page 2207 of 3896 CMA 5405 COMPUTER/TECHNOLOGY USE Page 3 of 11 2) Because of the interdependent nature of network and communications systems, interruptions of service can have a broad impact with the potential for large adverse financial consequences or impact to health and safety. Loss of technology resources and/or misuse of network resources can cause financial damage to the County, the taxpayers of Collier County, and those who depend on County services, therefore, these resources must be protected. As such, violations of this instruction may unduly expose the network to intended or unintended risks, which may or may not result in actual losses. a. The Director, Information Technology may disable network access for violations of this instruction. b. The severity of infractions will be assessed by the Director, Information Technology who will forward a risk / threat assessment to the supervising Division Director for use in making recommendations for disciplinary actions in accordance with CMA 5351 - Discipline. c. The Human Resources Division will advise Division Directors in order to ensure consistency in the handling of employee violations of this instruction. 3) Collier County, at its discretion, reserves the right to monitor any use of network resources, to monitor computer and internet usage, including, but not limited to: sites visited, searches conducted, information uploaded or downloaded and to access, retrieve and delete any data stored in, created, received, or sent over the network or using network resources for any reason and without the permission or prior knowledge of any user. Collier County may monitor the use of technology assets, content of electronic communications and the usage of network resources to support operational, maintenance, auditing, security, disc iplinary, and investigative activities. 4) County employees and authorized business partners using County owned technology or network resources have no right or expectation of personal privacy for any voice communications, e-mails, internet searches, internet sites visited, or data stored in, created by, received with, or transmitted using technology resources. Use of passwords or other security measures, whether mandatory or voluntary, does not in any way diminish Collier County's rights or create any privacy rights of users. Collier County has administrative tools that permit it to monitor all activities on the network and access all data stored within technology resources. 5) All Collier County employees and business partners who have access to technology assets and/or network resources must affirm that they have read and understood all applicable policies annually. B. User Responsibility: 1) Authorized network users are responsible to ensure that network resources are used only for their intended purposes. a. Except for services intended for use by the public (kiosks, terminals and public wireless services) technology assets, technology resources, network resources, the network and data are intended exclusively for the use of authorized employees and business partners only. b. Technology assets, technology resources, network resources, the network and data are the property of Collier County Government. Collier County provides these systems to be used for County business purposes, although limited non-business use is permitted. All communications and data transmitted by, received from, passed through, or stored in these systems are the exclusive property of Collier County. At all times, employees and authorized business partners have the responsibility to use these resources in a professional, ethical, and lawful manner. Page 2208 of 3896 CMA 5405 COMPUTER/TECHNOLOGY USE Page 4 of 11 c. Use of technology and network resources is a privilege that may be monitored, restricted or revoked at any time. Collier County reserves the right to revoke the privileges of any user at any time. d. Conduct that interferes with the normal and proper operation of Collier County's network or network resources, which adversely affects the performance of the network or the ability of others to use the network or network resources or, which is harmful or offensive to others will not be permitted. Such actions may subject employees to disciplinary action in accordance with CMA 5351 - Discipline. Such actions by business partners may result in the loss of network privileges and/or contractual sanctions. e. The Director, Information Technology can authorize actions to remediate network or application performance problems during an incident where network or application performance has been adversely affected. f. A user may not use the County network or technology assets to connect to or make use of other computer systems unless specifically authorized to do so by the operators of those systems. g. Because network and data security are dependent upon physical security, all Collier County employees have a responsibility to ensure that only authorized employees and/or business partners or properly escorted visitors have access to areas where network access is available and that only authorized employees have access to secure spaces where network resources are located. 2) After 90 days of account inactivity, the system automatically disables the account as a security measure to mitigate potential breaches. Disabled users will be unable to access their accounts and associated services until they take action to reactivate their accounts. Should an inactive account need to be reactivated, a Service Desk Request should be requested. After reactivation, users will be prompted to reset their passwords to maintain the integrity of their accounts and safeguard sensitive information. The Password Policy above will govern valid passwords. This policy helps ensure that dormant accounts do not become vulnerable entry points for unauthorized access. a. Staff and authorized business partners are issued credentials (user name and password) for accessing the network and network resources. Users are responsible for periodically changing their passwords every 90 days and safeguarding their passwords. Additionally, inactive users will be automatically locked out after 90 days of inactivity to enhance security. b. All users, where applicable, will be required to register a second approved device for MFA (Multifactor Authentication) to enhance authentication security. There may be exceptions in which a user has a legitimate need to utilize technology resources outsid e the scope of this policy. The Cybersecurity team may approve, in advance, exception requests based on balancing the benefit versus the risk for IT resources that cannot support MFA. c. For any staff member that will be taking a Leave of Absence (LOA) (i.e. FMLA, short term disability, extended time off, etc.), accounts will be put into a suspended state until their return to work. d. Users are responsible for all transactions made using their credentials. e. Users are responsible for protecting the confidentiality of their credentials and are prohibited from sharing their credentials with anyone. f. Users shall not leave their computers unattended while their account is logged in without first locking the computer, using the Windows “Lock Computer” functionality. Page 2209 of 3896 CMA 5405 COMPUTER/TECHNOLOGY USE Page 5 of 11 g. User passwords for County network accounts or passwords for County application /system access may not be printed or stored online in any file, database or Internet service. It is the user’s responsibility to safeguard their password. If a user suspects for any reason that their password may have been compromised, they must immediately change it. Passwords may be stored electronically in an IT Division encrypted removable USB drive. h. No user may access the network or network resources with another user’s credentials. If access to another user’s account is required, access can be granted by the IT Service Desk upon request from the user’s manager. i. All network access must be accomplished by user specific credentials, and as a normal course of business, generic or “shared” network accounts are not issued. In special cases the IT Director can authorize the use of shared accounts with proper authorization from the users’ management under circumstances where individual accounts can’t adequately meet business needs and their use will not compromise identity integrity and auditing. j. Misrepresenting, obscuring, suppressing, or replacing a user’s identity on the network is forbidden. The user name, e-mail address, County affiliation, and related information included with electronic messages or postings shall reflect the actual originator of all messages or postings. 3) Network Security a. Users shall report any suspicion of violations of any provision of this instruction to their supervisor or the Information Technology Division Service Desk. Users shall notify the Service Desk of any instances where they observe or have reason to believe that data is inappropriately accessible to employees, the public, or business partners. b. Users shall promptly report all information security alerts, warnings, suspected system vulnerabilities, etc. to the IT Service Desk. c. Users shall not exploit inadvertent rights or deficiencies in information systems security to damage systems or data, obtain resources beyond those to which they have been authorized, or to obtain or take resources away from other users or gain access to other systems for which proper authorization has not been granted. d. Users who receive malware alerts or notice unusual system behavior, such as missing files, frequent system crashes, misrouted messages, etc., should immediately notify the IT Service Desk. To prevent possible damage to Collier County data, technology assets and network resources, users are not permitted to remove malware on their own. If users believe they may have been the victim of malicious software, they must immediately inform the IT Service Desk. e. In order to ensure that malware signatures, patches and security software are up to date, any workstations or portable computers that have not been updated within 30 days will be removed from the network. Updates occur upon login. Action by the IT Service Desk will be required to restore connectivity. 4) Inappropriate Use a. Internet browsing on websites with inappropriate content is prohibited. Use of the Internet will be monitored, and corrective actions will be taken by the user’s division, in coordination with Human Resources and Information Technology. b. Collier County's technology assets, network and network resources may not be used for dissemination or storage of commercial or personal advertisements, solicitations, promotions, political material, inappropriate content or any unauthorized use deemed inappropriate. c. Users are not permitted to store, download or transmit copyrighted materials with network resources unless written permission has been granted. Examples of Page 2210 of 3896 CMA 5405 COMPUTER/TECHNOLOGY USE Page 6 of 11 copyrighted materials include, but are not limited to: commercial music, video, graphics, or other intellectual property. Collier County will not provide a defense for violators of copyrights. Collier County allows reproduction of copyrighted material only to the extent legally considered "fair use" or with the permission of the author/owner. All doubt about whether software or other material is copyrighted, proprietary, or otherwise inappropriate for duplication should be resolved in favor of not duplicating such information. d. Users are not permitted to make any defamatory statements using network resources. e. County Employees are not permitted to subscribe to information services without the approval of their supervisor. f. Users are not permitted to capture, store or create digitized images of signatures or digital signatures (other than their own) or attach or affix a digitized image of a signature or digital signatures (other than their own) to any document or e-mail or use such image of a signature or digital signatures in any way that could be interpreted as representing information as being originated, approved, or sanctioned by another person without the express permission of the signatory. C. Business Partners. 1) Employees are responsible to ensure that business partners requiring access to the network or network resources are properly authorized. Business partner accounts will be issued on a monthly basis and will expire each month. Employees are responsible for requesting extension of business partner accounts if required. Generic business partner accounts will not be issued. All business partner accounts must be issued in the nam e of the user. 2) Any business partner requiring access to the network or network resources must complete the Third-Party Use Agreements, file them with the IT Division and maintain compliance with the terms of that agreement. 3) Once granted access, business partners must comply with this instruction in its entirety. Business partner violations of this instruction may result in loss of access and purchasing sanctions. 4) Authorized business partners are issued credentials (user name and password) for accessing the network and network resources. Partners are responsible for periodically changing their passwords every 90 days and safeguarding their passwords. Additionally, inactive users will be automatically locked out after 90 days of inactivity to enhance security. D. E-mail 1) All e-mails entering or leaving the County’s e-mail system are duplicated and retained in an administrative mailbox in addition to each user’s mailbox. As such, users are free to delete e - mails from their mailbox when their usefulness to the user has ende d. However, if the user would like future access to such e-mails, they should retain them. At the designated time, all e- mail in Outlook will be archived. At this time, e-mails are never deleted from the archive. 2) BCC staff are required to use the county email system and only the county email system for county business. Use of external email systems compromise the Agency’s ability to execute complete public records requests. 3) Users shall not send unsolicited/non-business e-mail to persons without their consent. Chain letters or other non-business-related use of network resources is prohibited. 4) Mass e-mailing for business purposes must be coordinated with the IT Service Desk. Non - business-related mass e-mailing is prohibited. 5) The use of the “Subscribers” and “BCC-Agency” distribution lists are restricted to department Page 2211 of 3896 CMA 5405 COMPUTER/TECHNOLOGY USE Page 7 of 11 heads, division directors and the County Manager’s office. 6) Tampering, forging, or altering e-mail identity information is prohibited. Sending an e-mail which in any way appears as though it was sent by someone else (who did not send it) is prohibited. 7) Inappropriate content may not be sent by e-mail or other form of electronic communication or displayed on or stored in the County's computers. Any message received that contains intimidating, hostile, offensive or inappropriate content should be reported immediately to management so that appropriate measures can be taken. 8) Users must not originate or forward any e-mails with inappropriate content as defined in section 2(E) and 3(D)6. Reference CMA 5311.1 (Standards of Conduct). 9) Users receiving e-mail messages with inappropriate content as defined in section 2(E) or 3(D)6 must immediately notify their supervisor, manager, or division director. Reference CMA 5311.1 (Standards of Conduct). a. The following information must be provided: (1) the date and time the e -mail was sent/received; (2) the sender’s e-mail address (or, if unavailable, any identifying information); (3) and the subject line. b. Do not forward the e-mail. Once the information specified in Section D(9)a is passed on to a supervisor, the e-mail should be deleted. c. Supervisors, managers or directors receiving such reports from their employees shall provide these reports to the Human Resources Director. Additionally, if the user reports having received repetitive inappropriate or explicit e- mails from the same external sender, these reports and all supporting documentation should be provided to the IT Service Desk as well as Human Resources. 10) Signatures, tag lines, and background settings should be professional in nature and reflect positively on the County. a. Signatures may contain some or all of the following: Name, Agency Name, Department/Division, Title, Address, Telephone Number, Fax Number, Cell Phone Number, e-mail Address. Colors and fonts other than the default settings are acceptable. b. Tag lines conveying personal, inspirational, or political messages are subject to interpretation and are, therefore, prohibited. Tag lines may contain agency, department or division mottos, mission or vision statements, or logos. c. To portray a professional image, no backgrounds should be used in e-mail settings. E. Hardware/Equipment: 1) County technology assets, network and network resources are provided as a tool to enhance productivity and perform job duties. Access to County technology assets is a privilege. a. Only devices which are managed by the IT Division are permitted on the Agency’s business network. Exceptions may be authorized with written approval from the IT Director. b. The processes and procedures for purchasing technology are on the Agency’s Intranet and updated periodically. Improperly purchased technology items may be refused network access. c. The use of personally owned computing devices is permitted but such devices will be limited to publicly available websites and internet resources. Personal owned computing devices are not managed by the IT Division and are not permitted access to the Agency’s business network. d. SLATE computers may be approved for purchase by the IT Division. SLATE computers must be configured and managed by the IT Division. Page 2212 of 3896 CMA 5405 COMPUTER/TECHNOLOGY USE Page 8 of 11 2) Unauthorized Equipment. a. Users may not connect any device to County technology assets or the network. Only authorized administrative employees are permitted to add devices to the network. This prohibition includes, but is not limited to, personal network hubs, routers or switches, wireless access devices, USB hubs, portable computers, smart phones, and storage devices. IT Employees are required to disconnect and remove any such equipment upon discovery. b. Encrypted portable storage devices like USB “thumb” drives are permitted for the transport of non-executable (data) files as long as their use does not require any installable software or cause the installation of software. Executing programs stored on these devices is prohibited. These devices shall not be used as primary storage. Transporting regulated data files using unencrypted devices is prohibited. c. Employees and business partners may not use cameras, cell phone cameras, digital cameras, video camera, or other form of image -recording device in the workplace without the express permission of the supervising Division Director and of each person whose image is recorded. This provision does not apply to employees who must use such devices for business purposes in connection with their positions of employment. 3) Users shall not tamper with technology assets in any manner. All repairs must be coordinated through the IT Service Desk. a. Users shall not connect or disconnect any technology asset or network resource without prior coordination with and approval from the IT Service Desk. All hardware installations, repairs, moves, additions or changes must be coordinated through the IT Service Desk. b. Users shall not install, deactivate, uninstall or change any settings for any software provided by the County on any technology asset. Software provided includes, but is not limited to, malware detection and correction software, internet filtering software , monitoring software, power management settings, screen savers, and agents for software distribution. c. Users are prohibited from setting BIOS passwords. d. Settings in windows that are user accessible (e.g. desktop wallpaper, power management settings, color schemes, etc.) and application settings that are user accessible (e.g. browser favorites) are not covered under this instruction and may be set and personalized by the user, although they may be altered by operating system patches and may or may not be transported in machine replacements. 4) Supervisors have the discretion to allow Collier County computers to be used by employees at home for County-related work purposes. The restrictions pertaining to the use of County computers at home will be the same as if they were directly connected to the County network and all policies apply. Use of County technology assets and network resources are for the exclusive use of authorized users only. IT support for home use will be limited to telephone support, or users will be required to bring County equipment to the workplace and will be provided assistance during business hours. The IT Division does not provide on-site support for home use of computers. F. Operating System/Software 1) Users are prohibited from possessing or distributing computer viruses, spyware, or other malicious software development and/or distribution tools. Users found to be in possession of such software may be subject to disciplinary action, including discharge, and possible civil and/or criminal penalties. 2) Users are prohibited from possessing tools commonly used for gathering technical information Page 2213 of 3896 CMA 5405 COMPUTER/TECHNOLOGY USE Page 9 of 11 about the network or network resources useful for attempts to hack or breach security. Users found to be in possession of such software may be subject to disciplinary action, including discharge, and possible civil and/or criminal penalties. 3) Installing Software. a. Users are not permitted to download executable software. b. Users are not permitted to install executable software on IT Assets. The IT Service Desk will assist users with authorized software installs. c. Users with Windows Administrative Rights have been granted these rights solely to permit them to use software that requires these rights to run properly. Users with Windows Administrative Rights are not permitted to install executable software on IT Assets, unless they have an agreement authorized by the Director, Information Technology to do so. 4) License Compliance. a. The IT Division is responsible for the Agency’s compliance with certain software license agreements. Users are forbidden from making unauthorized copies of software. Collier County will not provide a defense for violations of licensing agreements. b. Collier County allows reproduction of copyrighted material only to the extent legally considered "fair use" or with the permission of the author/owner. All doubt about whether software is copyrighted, proprietary, or otherwise inappropriate for duplication should be resolved in favor of not duplicating such information. c. The IT Division provides license compliance services, however if the user prefers not to use IT’s compliance service, they shall be responsible for proper and adequate physical security and protection of software in their possession. A locked file cabinet or locked desk drawer should be used to safeguard software. d. Users shall not copy or use County owned software on their personally owned home computers, laptops, or other electronic devices. e. Users shall not provide copies of County owned software to any business partner, client, or third person, or perform any other action that would cause non -compliance with any licensing agreement. f. Unlicensed or unauthorized software will be removed immediately upon discovery by IT employees. Staff found to be in possession of unlicensed or unauthorized software may be subject to disciplinary action, including discharge, and possible civil and/or criminal penalties. Employees who become aware of any misuse of software or violation of copyright law should immediately report the incident to their immediate supervisor. G. Data Management: 1) Users should be aware that deletion of any data may not truly eliminate the information from systems. Most data are stored in a central back -up system in the normal course of data management. 2) In order to protect overall network performance, the County reserves the right to reprioritize and/or apply size limitations on data stored in or transmitted over the network. The County reserves the right to disconnect or otherwise manage circuits during incidents which jeopardize network performance. 3) Users may not access or alter in any manner data that is not involved in the execution of their job functions. a. Users are not permitted to access, modify, delete, and/or utilize data, which they may have access to, for any purpose except their job duties, Collier County business objectives, or business practices. Page 2214 of 3896 CMA 5405 COMPUTER/TECHNOLOGY USE Page 10 of 11 b. Users shall utilize information that they are authorized to access only for the specific purposes for which it is intended. c. Except for authorized public records searches and special investigations, data and communications (e.g. e-mail and voice communications) shall be treated as confidential and accessed only by the intended custodian/recipient(s). Users are strictly prohibited from accessing any data or communications to which they are not intended to have access or are not the intended recipient. 4) No user may encrypt data for transmission over or storage on network resources without written permission from the Director, Information Technology. The system and methods required to encrypt, and decrypt data must be approved by the Information Technology Division. If the encryption method relies on secret keys, the Information Technology Division must manage the storage and security of such encryption keys. The Information Technology Division has methods in place to store secret keys securely, assuring the secrecy of encryption keys and the ability to decrypt data. If encrypted data is discovered, the data owner must provide clear text/unencrypted data along with the encryption system and secret keys to the Director, Information Technology upon request. 5) Regulated Data. a. Generally, all data and records created, stored, sent, or received on the Collier County network and network resources are public records except those exempted in Chapter 119 and 435.09 of the Florida Statutes or in any other applicable laws. Protected Health Information (PHI) protected under HIPAA rules and statutes as well as Payment Card Industry (PCI) data, personal financial information (PFI) (e.g. credit card and bank account numbers) and personal identifying information (PII) as identified in the Florida Information Protection Act (FIPA) (e.g. social security numbers) are specifically excluded from the public record. b. Based on the content of data, statutes and/or agency policies may apply to the proper handling. It is the responsibility of the user to know the statutes/policies/rules that govern the handling of the regulated data to which they have access and to act in accordance with the applicable statutes/rules. Employees should consult with the County Attorney’s Office to resolve any questions regarding proper legal handling of data. The data custodian shall be responsible to inform the Director, Information Technology of any regulated data that is collected or stored in any network resources so that it may be handled appropriately. The County has taken measures to ensure the confidentiality, integrity and availability of sensitive information, including PHI, PFI, and PII and that access to sensitive information is restricted to authorized users. Users must take steps to minimize the possibility of unauthorized access including, but not limited to, making sure that the position of their monitor is not subject to unauthorized viewing, not leaving regulated data on an unattended computer screen, and proper custodianship of printouts. Regulated data shall not be stored on any computer’s local storage or any other type of portable storage device. Regulated data shall never be stored on a portable computer. Any inadvertent access of regulated data by users who should not have access must be reported to the Director, Information Technology. c. Users shall not make copies of regulated data, encryption keys, or secure (encrypted) data in its clear text (unencrypted) state. The approval of the Director, Information Technology is required if it becomes necessary to make a copy or replicate regulated or encrypted data. This includes storing such data in documents, data warehouses, secondary databases, portable computers, or portable storage devices. Page 2215 of 3896 CMA 5405 COMPUTER/TECHNOLOGY USE Page 11 of 11 H. Social Media Services: Internet based social media services (SMS) (e.g. Facebook, Twitter, MySpace) accounts may be authorized for agency or divisional promotion, outreach, or other public relations purposes and must be authorized by the Communications and Customer Relations Division. All use of social media must comply with the provisions set forth in CMA 1200, Media and Public Relations. Upon approval, a request for access must be submitted to IT by the Division Director. IT will provide approved site owners with the tools and instructions to archive their information for compliance with Public Records statutes and agency procedures. Each division is responsible for the proper archiving and retention of social media records. § 5405-4. Currency. The Information Technology Division is responsible for the currency of this instruction. Page 2216 of 3896 COLLIER COUNTY COMMUNITY & HUMAN SERVICES STAFF WHISTLEBLOWER PROTECTIONS &(57,),&$7,21 Employee Name: In accordance with 2 CFR 200.217 and 41 U.S.C. § 4712, Collier County Community and Human Services (CHS) may not discharge, demote, or otherwise discriminate against a regular or contracted employee in reprisal for disclosing to any of the list of persons or entities provided below, information that the regular or contracted employee reasonably believes is evidence of gross mismanagement of a federal contract or grant, a gross waste of federal funds, an abuse of authority relating to a federal contract or grants, a substantial and specific danger to public health or safety, or a violation of law, rule, or regulation related to a federal contract (including the competition for or negotiation of a contract) or grant. The list of persons and entities referenced in the paragraph above includes the following: x A member of Congress or a representative of a committee of Congress x An Inspector General x The Government Accountability Office x A Treasury employee responsible for contract or grant oversight or management x An authorized official of the Department of Justice or other law enforcement agency x A court or grand jury x A management official or other employee of SUBRECIPIENT, contractor, or subcontractor who has the responsibility to investigate, discover, or address misconduct CHS shall inform its employees in writing of whistleblower rights and remedies provided under section 41 U.S.C. § 4712, in the predominant native language of the workforce. By signing this IRUP, I certify that I have reviewed and understand my Whistleblower rights and remedies as provided above. Name: Signature: Title: Your typed name here represents your electronic signature Page 2217 of 3896 (REVISED 01/10/2025) COLLIER COUNTY SHERIFF'S OFFICE OPERATIONS MANUAL CHAPTER A-3, SECTION 10 SECTION TITLE: CRIMINAL JUSTICE INFORMATION SERVICES (CJIS) SECURITY POLICY ORIGINAL ISSUE: 1/11/2017 REVISED: 1/20;7/22;1/24;10/24;1/25 APPLICABILITY: ALL MEMBERS PURPOSE - The purpose of this directive is to establish CCSO guidelines for implementing CJIS Security Policy. systems and personnel to ensure the integrity, confidentially, and availability of its information. CCSO is fully committed to protecting the confidentially and integrity of criminal justice systems, facilities, and data as well as the availability of services in the CCSO by implementing adequate security controls. These policies are consistent with applicable state and federal laws, Executive Orders, directives, regulations, standards and guidance. The following applicable laws, directives, polices, regulations and standards were used as part of the development of this policy: A. The FBI CJIS Security Policy B. The FDLE User Agreement Requirements Document C. Federal Information Processing Standards (FIPS) D. NIST Special Publications The provisions of these polices pertain to all agency members, contractors, third parties, and others wh facilities. Compliance with these policies is mandatory. CCSO may augment or add to the CJIS Security Policy, but will not detract from those standards. 3.10.1 AGREEMENTS: A. Agency members may disseminate CJI to other agencies covered under a current information exchange agreement with CCSO, currently Marco Island PD (MIPD), th Judicial Circuit, Florida Highway Patrol (FHP), Florida Fish and Wildlife Conservation Commission (FWC), and Florida Southwestern State College Department of Public Safety (FSW Department of Public Safety), for authorized agency purposes only. Personnel must identify the agency and personnel requesting information prior to providing it. B. If there is a legitimate agency need to provide Criminal History Record Information (CHRI) to another authorized agency that is not covered under a current information exchange agreement with CCSO, dissemination shall be documented in the dissemination log including: requestor agency, operator, reason disseminated, and purpose code. Page 2218 of 3896 CCSO OPERATIONS MANUAL ______________ CHAPTER A-3, SECTION 10, PAGE 2 (REVISED 01/10/2025) C. Certain members of the Collier County School Board Threat Assessment Team may request Criminal History Information on students deemed to pose a threat of violence. Requests for Criminal History Information on a student by the Threat Assessment Team shall be forwarded to the Special Investigations Section for processing. In these only be shared with those at the school that are members of the Threat Assessment Team and have a need to know. Sharing will be documented in the dissemination log. Unless encrypted email is used, Criminal Histories should be hand carried. 3.10.2 TRAINING: A. The Director of ITD will be responsible to manage the development, documentation, and dissemination of awareness training. The Director will review the awareness training at least annually and following changes in the information system operating environments or when CJIS security policy changes . B. The Agency requires all agency personnel complete the required level CJIS Security Awareness Training/NexTest training upon hire and annually thereafter. Specific staff may be required to complete additional training depending on their particular job requirements. The agency will also provide security training when there are major changes to information systems, a breach of the network, within 30 days of any security incident, or when changes are to the FBI CJIS Security Policy. C. In order to increase security awareness, the Agency will generate periodic advisories and notices, and will provide security awareness training materials throughout the year. D. The Agency will also conduct periodic simulated social engineering exercises, including, but not limited to, phishing (email), USB testing, and physical assessments. ITD will conduct these tests at random locations throughout the year with no set schedule or frequency. Based on the results of these activities, the Director of ITD will implement appropriate remedial actions. E. Security Awareness training must be completed prior to personnel receiving unescorted access to a physically secure location and access to any CJI information or systems that access CJI. Security Awareness training must be completed annually to retain access. These requirements apply to all personnel, vendors, contractors, volunteers, consultants and all agency staff. F. The Director of ITD and the FAC (FCIC Agency Coordinator) will monitor the Security Awareness Training to assure compliance with these procedures, and maintain training records for 3 years. 3.10.3 INCIDENT RESPONSE: A. The Director of ITD will manage the development, documentation, and dissemination of the identification and authentication policy and procedures. The Director will review Page 2219 of 3896 CCSO OPERATIONS MANUAL ______________ CHAPTER A-3, SECTION 10, PAGE 3 (REVISED 01/10/2025) the policy and procedures at least annually and following any security incident involving unauthorized access to CJI or systems used to process, store or transmit CJI. The Director will ensure that the Agency has an Incident Response Plan and that the plan is tested annually using a tabletop or walk-through exercise; simulation; or other agency-appropriate test. B. All members of the agency are responsible for reporting known or suspected information security incidents to the Help Desk immediately but not to exceed one (1) hour after discovery. If a suspected incident occurs on shall not turn off the device. The user will leave the device on and report the incident. A member of IT will exam the device and determine if the incident is contained to the one device or if it is on the CCSO system. C. Should an incident occur involving any device (workstations, smart phones, laptops, network be reported to the Help Desk they shall urity Officer). If it is deemed by the LASO to be a security breach of CJI or PII, a Security Incident Response Form will be filled out and submitted to FDLE ISO at fdlecjisiso@flcjn.net. D. Incident response will be managed based on the level of severity of the incident. The level is a measure of its impact or threat on the operation or integrity or the Agency information) Medium (potential to impact one system or non-critical system) Low Level (has little or no risk of infecting a criminal justice system). E. For confirmed ransomware incidents or any confirmed incidents of severity level 3, 4 ns) the LASO will report the necessary information to the Cybersecurity Operations Center and the Cyber crime Office of the Department of Law Enforcement as soon as possible, but not later than forty-eight (48) hours after discovery or the incident and not later than twelve (12) hours after discovery of a ransomware incident. F. The LASO will take the following actions: 1. Confirm the discovery of a compromised resource(s). 2. Evaluate the security incident. 3. Identify the system(s) and/or information affected. 4. Review all preliminary details 5. Characterize the impact on the agency as: minimal, serious, or critical. 6. Determine where and how the breach occurred. a. Identify the source of compromise and the time frame involved. b. Review the network to identify all compromised or affected systems. 7. Examine appropriate system and audit logs for further irregularities; document all internet protocol (IP) addresses, operating systems, domain system names and other pertinent system information. 8. Initiate measures to contain and control the incident to prevent further unauthorized access. Page 2220 of 3896 CCSO OPERATIONS MANUAL ______________ CHAPTER A-3, SECTION 10, PAGE 4 (REVISED 01/10/2025) 9. Document actions throughout the process from initial detection to final resolution. G. In addition to the requirements of the Incident Response Policy, these additional enhanced incident reporting and handling procedures will be followed when handling CCSO owned Limited Feature Operating System devices. These devices include iPads, tablets, cell phones, PDA devices, etc.. Rapid response to mobile device related incidents can significantly mitigate the risks associated with illicit data access either on the device itself or within online data resources associated with the device through an application or specialized interface. This includes rooting, jail breaking or malicious application installation on the device during a loss of device control scenario or inappropriate user action in the installation of applications to the device (compromise can occur from intentional actions or accidental user actions). The user should be mindful of the lock state of the device, how long the device has been missing, and approximate loss of CJI stored on the device. All of this will help ITD determine the capability to remote wipe the device or to track the location of the device. ITD will use the capabilities of the MDM, Airwatch, to determine device tampering as well as deactivating the device if necessary. H. ecurity Response Plan. 3.10.4 AUDIT AND ACCOUNTABILITY: A. The Director of ITD will manage the development, documentation, and dissemination of audit and accountability policy and procedures. The Director will review the policy and procedures at least annually and following any security incident involving unauthorized access to CJI or systems used to process, store or transmit CJI and following any security incident involving unauthorized access to CJI or CJI systems. B. CCSO will ensure that each CJI information system has the ability and is enabled to audit all events required by CJISSECPOL and that the audit records contain the minimum information required. This will include time stamps that can be mapped to UTC and meet the requirement of one hundredths of a second interval time measurement. C. ITD will maintain audit logs required by CJISSECPOL on all CJIS systems for one year and CCSO will ensure that there is adequate storage capacity allocated for this purpose. It will use Splunk to consolidate all system logs and provide automatic alerting on any anomalous system behavior. Alerts will be reviewed promptly by ITD security personnel, responded to as necessary and raised to other members of the agency as appropriate. D. Splunk will alert ITD security personnel within one (1) hour of a logging process failure. Once notified ITD security personnel will restart all audit logging processes and verify that the systems are logging properly. Only ITD security personnel will have access to Splunk. Splunk will be backed up at least weekly. Page 2221 of 3896 CCSO OPERATIONS MANUAL ______________ CHAPTER A-3, SECTION 10, PAGE 5 (REVISED 01/10/2025) 3.10.5 ACCESS CONTROL: A. The Director of ITD will manage the development, documentation, and dissemination of access control policy and procedures. The Director will review the policy and procedures at least annually and following any security incident involving unauthorized access to CJI or systems used to process, store or transmit CJI and following any security incident involving unauthorized access to CJI or CJI systems. B. It is the responsibility of the Director of ITD to ensure the integrity of CCSO computer networks. No one will be provided access to any agency network without the prior approval of the Director of ITD or his designee. Application access is provided on an as needed basis with multiple levels of checks and balances to insure that the level, based on least privilege concept. The management of all CJI system accounts shall be in accordance with all CJIS Security Policy requirements. New members may be granted access to CJI systems upon start date, if they meet background clearance requirements, but will lose access to CJI systems if training courses are not completed or passed as required. All user accounts of retired, terminated or otherwise former and non-working members shall be disabled and revoked immediately or as soon as practicable. User accounts suspected of compromise shall be immediately disabled upon first discovery of compromise. A yearly review of accounts shall be performed and the validation process documented and retained for three (3) years. C. Upon completion of appropriate state and national fingerprint-based records check and required security awareness training, the ITD Help Desk will be notified about a new Agency user and they will create and establish a Windows Domain account for the member. Each account is uniquely identified by a user name derived from their member ID number. All accounts are created to ensure a unique user name for every individual. D. CCSO will use the following types of accounts: 1. Internal System accounts - Are used to run system services and processes. These accounts have elevated access privileges to access system resources but are not used for interactive login. 2. Service accounts - An account assigned to an application, software or service to interact with the system. Service accounts have a broad range of permissions needed to operate the service. They do not belong to any single user. 3. Domain Administrator accounts - Have full access permissions in Active Directory to make changes to the system. They are used to install software, configure settings, add or remove user accounts, and perform other administrative tasks. These accounts are limited to a few select members of IT. 4. Local Administrator accounts - Grants permission to the local system and provides access only to that system. Used by PC Technicians to install software. 5. Application Administrator accounts - Have access permissions to make changes to the application. They are used to configure application settings, add or remove user accounts, and perform other administrative tasks. Page 2222 of 3896 CCSO OPERATIONS MANUAL ______________ CHAPTER A-3, SECTION 10, PAGE 6 (REVISED 01/10/2025) 6. Standard/Individual User accounts - Have basic access permissions to normal system resources and are used by a single person to login and perform routine ta responsibilities. 7. Vendor accounts - Allow users/vendor to login to the system they support from a remote location over a VPN.Extra security measures are implemented for remote access to safeguard systems and data. 8. Generic accounts - Generic accounts exist at locations where work stations are shared with multiple persons and the logging on and off of workstations would hinder business processes. Example: Jail LCCs E. operations, or information systems, as necessary, to mitigate risk to CJI. 1. System administrator vs. application administrator: Separating the responsibility of managing the underlying operating system from managing specific applications within that system. 2. Database administrator vs. application developer: Preventing the database administrator from directly modifying application code and vice versa, ensuring data integrity and security. 3. Security administrator vs. network administrator: Distributing the responsibility of managing security policies from managing network infrastructure. 4. User access control: Assigning different levels of access to data and systems based on job roles, preventing individuals from accessing information beyond their needs. 5. Audit log review: Designating a separate team to review system audit logs, ensuring that the person responsible for system actions is not the same person reviewing the logs. 6. Change management process: Requiring multiple approvals for significant system changes, preventing a single person from making unauthorized modifications. F. The Domain account will be assigned a temporary password and will be set up to require the user to create a new password upon activating the first session. The password must adhere to the Agency password requirements. G. ers need access to in order to carry out their duties and access will be role based. Only minimum access necessary to carry duties will be requested. The Help Desk will forward requests to the appropriate ITD member or Systems Account Manager assigned to provide access to the application requested. The ITD member/Account Manager responsible for the application shall have an in-depth knowledge of the application thus providing another level of assurance that appropriate access is being provided to the user. H. Each CJIS System will have an Account Manager designated who will be responsible for setting up and managing user accounts and reviewing system access. Accounts will be role based and employ least privilege concept. Page 2223 of 3896 CCSO OPERATIONS MANUAL ______________ CHAPTER A-3, SECTION 10, PAGE 7 (REVISED 01/10/2025) I. The ITD Help Desk will notify CJIS Account Managers and the Network Active Directory Manager using the automated email system within: 1. One day when accounts are no longer required, 2. One day when users are terminated or transferred, and 3. One day when users no longer need access. J. Based on the automated email notifications, CJIS Account Managers and the Network Active Directory Manager will disable accounts within one (1) week when the accounts: 1. Have expired, 2. Are no longer needed, 3. Are in violation of agency policy, or 4. Have been inactive for 90 calendar days. (This includes members who are on leave for any reason that lasts 90 calendar days or more, including FMLA.) K. CJIS Account Managers will disable user accounts within 30 minutes of discovery of direct threats to the confidentiality, integrity, or availability of CJI. L. Privileged accounts on systems within CCSO are limited and restricted. Individuals with access to privileged accounts are required to use non-privileged accounts when performing non-privileged functions. At least annually, the Director of ITD will review all privileged accounts to validate the need for them. M. Users are limited to five (5) consecutive invalid log-in attempts during a fifteen (15) minute period. If the user exceeds that maximum number of unsuccessful log-in attempts, their account will be automatically locked until released by the Help Desk. N. Agency devices will lock after 30 minutes of inactivity. Upon activation of the device lock, a screen saver will be displayed which conceals information previously visible on the display with a publicly viewable image. The system retains the lock until the user re-establishes access using their agency approved authentication process. O. Users are required to initiate a device lock before leaving a system unattended. P. Users are required to log out of their device at the end of their shift. Q. CCSO information systems are configures to display a system use notification to users before granting access to the system consistent with the requirements of the CJIS Secur screen until it is explicitly acknowledged and action is taken to log on to or further access the system. R. Concurrent logon to CJIS systems is not allowed unless fully justified by operational business needs. At this time, concurrent logon has only been authorized for: 1) Communications supervisors so they can log into CAD provisioning to reset passwords and unlock devices without logging out of CAD, 2) IT/CAD Admin roles for testing and provisioning purposes without having to log out of CAD or CAD Page 2224 of 3896 CCSO OPERATIONS MANUAL ______________ CHAPTER A-3, SECTION 10, PAGE 8 (REVISED 01/10/2025) mobile, 3) CAD Mobile users who also use CAD Hand Held on their phone, 4) users of WinGS who move between a desktop PC and laptop PC, because WinGS saves to the server every 5 minutes to allow the deputies to transition from their laptop in the car to their desktop in the office while doing a report . S. Remote Access Controls: 1. The need for remote access by agency members is only for official use and will have to be justified to and approved by the Director of ITD or designee. Remote access for agency members will only be granted using agency owned and managed equipment. The connection to the network will be established through the use of a Netmotion IPSec based VPN utilizing FIPS 140-2 compliant encryption. The users Windows credentials will be utilized for accessing the agency device and initiating the remote connection. Authentication method will be utilized for authentication to the network. 2. ITD personnel updates, patch requirements, and technical support as necessary to ensure that personnel will be via connections through further authenticated via an approved MFA using agency approved devices. 3. Contractors and vendors who request access to the internal CCSO network or designated CJIS system must demonstrate a business need for access, be approved by the Director of ITD or designee, and meet all of the personnel screening requirements. All contractor personnel must use an Agency approved Multi-Factor Authentication method when accessing the information system/network. 4. Access will be granted to individual members of the contractors staff with unique accounts for each user, even if the vendor has multiple individuals requiring access. Individuals must pass an FCIC/NCIC based background check completed by Human Resources, completed CJIS Security Training, and sign the CCSO Remote Form and FBI CJIS Security Addendum. 5. For contractor personnel requiring one-time access, escorted access may be granted to non-CJIS systems using monitored software. External users granted access in this fashion shall be monitored at all times by the CCSO member and direct access and/or observation to CJI, or law enforcement sensitive information shall be prevented. 6. Any unauthorized remote access connections to CCSO systems will be disconnected immediately upon discovery. T. Personally owned devices, including cell phones, tablets and other devices, are not internal network and are not allowed to be used to process, store, access or transmit CJI. This is also true for public devices such as public kiosks, public library computers, school computers, etc. Therefore, a device that is not owned by CCSO, shall not process, store, access or transmit CJI. Under no circumstances are CCSO members allowed to connect a personal device of any kind to t Page 2225 of 3896 CCSO OPERATIONS MANUAL ______________ CHAPTER A-3, SECTION 10, PAGE 9 (REVISED 01/10/2025) U. Users are prohibited to use non-agency portable storage devices. If a user has a need for a storage device, the user should contact ITD and request an Agency provided device. V. The Agency permits authorized individuals to use external information systems to access CJI Systems to process, store or transmit Agency-controlled information only when implementation of the required security can be verified on the external system, rity policy and plan. These connections are secured via TLS encryption and VPN access to systems housed within an external system (ELVIS, TraCS, FINDER, IRIS, JJIS, Vigilant, etc.) The approval is outlined in information sharing agreements between CCSO and the other Criminal Justice Entities. W. The Agency has designated members of the Central Records Bureau and of the Media Relations Bureau as the individual authorized to disseminate publicly accessible information to include public records request and booking sheets and social media notices. All have undergone training to ensure that any information shared publicly does not contain nonpublic information. All information is reviewed prior to posting to a public site or providing information via a records request. A quarterly review is conducted by the Bureau Managers. 3.10.6 IDENTIFICATION AND AUTHENTICATION: A. The Director of ITD will manage the development, documentation, and dissemination of the identification and authentication policy and procedures. The Director will review the policy and procedures at least annually and following any security incident involving identification and authentication and update as needed. B. ir identity using advanced authentication. CCSO uses Microsoft Azure MFA for that purpose. C. each CJIS system. All passwords shall: 1. Be a minimum length of fourteen (14) characters on all systems. 2. Not only be a dictionary word or proper name. They should not be birth dates, addresses, zip codes, telephone numbers, social security numbers, badge numbers or any other easily guessed combination. Except that long passwords may be combinations of dictionary words or passphrases, including spaces and all printable characters. 3. Have complexity which requires the use of three (3) of the following four (4): upper case, lower case, numeric characters, or special characters. 4. Not be the same as the User name. 5. Expire annually. 6. Not be identical to the previous ten (10) passwords. 7. Not be transmitted in the clear outside the secure location. 8. Not be displayed when entered. Page 2226 of 3896 CCSO OPERATIONS MANUAL ______________ CHAPTER A-3, SECTION 10, PAGE 10 (REVISED 01/10/2025) 9. Not be a commonly used, expected, or compromised password. The agency will maintain a list of such passwords, update it at least quarterly, and automatically prevent the use of these passwords. D. A temporary password is given to users by the ITD Network Administrator and during their first active session the user is required to create a new unique password as outlined above. E. CCSO members are responsible for the security of their passwords. Individual users shall be held responsible for all activity that occurs under their assigned User-ID and password. CCSO members shall not share their password with any other member or write them down. All passwords must be memorized. They can however be stored in the agency approved password management software. F. A unique identifier will be established for all users. Reuse of identifiers will not be allowed for one (1) year. G. will be established immediately and notification made to ITD staff. H. User- automatically be disabled after five (5) unsuccessful attempts to log in to the network. 1. When a User-ID becomes disabled it will remain locked until the user contacts the ITD Help Desk to have their account re-activated. 2. If there is a suspicion that an unauthorized user has learned or has attempted -ID and password, the ITD Help Desk should be contacted immediately. I. Automatic logins to the CCSO network are not allowed. Members who use CCSO computers shall not install boot up passwords on any computer. If a boot up password is required, it must be approved by the Director of ITD or his designee. J. The CCSO ensures that users IDs belong to currently authorized users and that identification data is kept current by adding new users and disabling and/or removing former users. K. Personally Identifiable Information (PII) is information which can be used to number, or biometric records, alone or when combined with other personal or identifying information which is linked or linkable to a specific individual, such as date and place 1. he following: a. with any one or more of the following data elements for that individual: 1. A social security number; 2. A driver license or identification card number, passport number, military identification number, or other similar number issued on a Page 2227 of 3896 CCSO OPERATIONS MANUAL ______________ CHAPTER A-3, SECTION 10, PAGE 11 (REVISED 01/10/2025) government document used to verify identity; 3. A financial account number or credit or debit card number, in combination with any required security code, access code, or passw financial account; 4. or physical condition, or medical treatment or diagnosis by a health care professional; or 5. An individ identification number and any unique identifier used by a health insurer to identify the individual. b. A user name or e-mail address, in combination with a password or security question and answer that would permit access to an online account. 2. The term does not include information about an individual that has been made publicly available by a federal, state, or local governmental entity. The term also does not include information that is encrypted, secured, or modified by any other method or technology that removes elements that personally identify an individual or that otherwise renders the information unusable. 3. During the course of performing official duties the CCSO and its members may encounter non-public PII. Non-public PII shall be treated as confidential and protected in such a manner as to prevent its release or disclosure to any unauthorized party. CCSO members shall collect, retain and use PII for official agency duties only, and only CCSO approved resources shall be used for handling and storage of PII. Digital forms of PII shall be encrypted outside of CCSO designated physically secure locations and PII in physical form shall be secured in transit. When an instance of PII is no longer needed and has been approved for destruction it shall be destroyed in a secure fashion such as shredding or incineration. All disposal of PII will be done by authorized CCSO personnel. PII should not be included in the body of an email and should never be emailed outside of the CCSO unless special handling precautions are taken. PII shall not be stored or transmitted via personally owned devices and may not be taken home by any CCSO member. 3.10.7 CONFIGURATION MANAGEMENT: 3.10.8 MEDIA PROTECTION: A. The Director of ITD will manage the development, documentation, and dissemination of the media protection policy and procedures. The Director will review the policy and procedures at least annually and following any security incident involving media and update as needed. B. Only those CCSO members who have undergone a fingerprint based record check and have appropriate security awareness training will be allowed to handle unencrypted media containing CJI. Page 2228 of 3896 CCSO OPERATIONS MANUAL ______________ CHAPTER A-3, SECTION 10, PAGE 12 (REVISED 01/10/2025) C. Any media containing CJI, whether electronic (hard drives, magnetic tapes, flash drives, or digital memory cards) or physical (printed documents or images) must be safe guarded at all times. D. Any media containing CJI, whether electronic or physical, - unauthorized disclosure. E. must be limited to authorized individuals with a right to know and/or a need to know. F. rized agency personnel. Whenever possible, it should be encrypted using FIPS 140-2 certified encryption technology and kept in a sealed envelope. G. When the media is released to another user outside of CCSO, the user will ensure that the third party is approved to receive CJI and document the transaction in a secondary dissemination log unless there is an existing Information Exchange Agreement. At no time will media containing CJI be released to an unauthorized person or left without proper documentation. H. Agency members may only use approved agency removable digital media to store agency data. I. Prior to disposal, release from agency control, or release for reuse all digital and non- digital media used for storing CJI must be sanitized or destroyed. Using overwrite technology at least three times or degaussing of digital media prior to disposal or release digital media for reuse can be used. Physical media will be destroyed by crosscut shredding or incineration. 3.10.9 PHYSICAL AND ENVIRONMENTAL PROTECTION: A. The Director of ITD will manage the development, documentation, and dissemination of physical and environmental policy and procedures. The Director will review the policy and procedures at least annually and following any physical, environmental, or security related incidents involving CJI or systems used to process, store or transmit CJI. B. be stored behind locked doors. Only authorized personnel wit C. Because of the widespread access to sensitive law enforcement information certain Page 2229 of 3896 CCSO OPERATIONS MANUAL ______________ CHAPTER A-3, SECTION 10, PAGE 13 (REVISED 01/10/2025) CCSO facilities have been designa In physically secure locations, the agency will control physical access by authenticating all visitors before authorizing escorted access to the physically secure location. The agency shall escort lo have access. In these facilities visitors will be escorted by CCSO personnel at all times. All personnel, including contractors and custodial workers must have passed a state and national fingerprint based record check in order to have unescorted access. D. Headquarters 3319 Tamiami Trail E Horseshoe 2373 S. Horseshoe Drive Special Operations 250 Patriot Way Communications 8075 Lely Cultural Parkway D1 776 Vanderbilt Beach Road D2 4707 Golden Gate Parkway D3 8075 Lely Cultural Parkway D4 14750 Immokalee Road D5 13245 Tamiami Trail East #100 D8 112 S. First Street D8 VNB E. personnel authorized to access or view CJI. Within the room or area, devices that display CJI shall be positioned in such a way as to prevent unauthorized individuals from accessing and viewing CJI. The room or area will be locked whenever it is unattended. Data stored on the hard drive of the system will be encrypted and around the agency, including areas in the Courthouse and the Jail. F. Visitors shall check in and complete the Visitor Log Form before entering a physically secure location by providing a form of identification used to authenticate the visitor. Visitor Log Forms shall be maintained for a minimum of one year and will be reviewed quarterly by the Agency LASO or his designee. G. To ensure the security in physically secure locations, the areas are only accessible via card key access. All individuals that have access have been given authorization via card key code and credentials that must be displayed at all times within the facility. Credentials will be disabled when personnel leave the Agency. The list of personnel with access to physically secure locations will be reviewed annually. H. located in further controlled areas within in physically secure locations and these controlled areas are only accessible to authorized ITD members. The doors to the buildings have key card locks that are only accessible to CCSO members and data centers/computer rooms are further secured with key card access limited to data center personnel. Page 2230 of 3896 CCSO OPERATIONS MANUAL ______________ CHAPTER A-3, SECTION 10, PAGE 14 (REVISED 01/10/2025) I. All transmission lines within the facility are secured within the agency to ensure that manual manipulation and tampering does not occur. J. All devices that display CJI are positioned in a manner that prevents unauthorized individuals from accessing and viewing CJI. K. The agency controls and monitors physical access to the server room by only allowing authorized individuals with key card access into the room unescorted. All individuals needing access to the area that are not authorized will be escorted at all times by a member of the network team. L. All areas where non-authorized individuals have access will be separated from those areas where CJI is stored, in use, or in transit. Any non-authorized individual granted access to these areas will be escorted at all times by an authorized agent of the agency. The individual will need to provide identification prior to being escorted within the facility. M. Only authorized personnel of the network team are allowed to remove or add information system related items to the network. All items will be brought in or removed by the network team. If an item requires an authorized vendor to perform the work, a member of the authorized network team will escort the individual and witness all work being performed. Access to telephone and computer equipment rooms in CCSO facilities will only be granted after getting authorization from ITD. 3.10.10 SYSTEM AND COMMUNICATION PROTECTION: A. When CJI is transmitted outside the physically secure location, the agency will encrypt all data with at least 128-bit encryption. The encryption mechanism shall meet FIPS 140-2 requirements and certificate shall be kept on file at all times. B. CCSO users will only send/receive data from mobile devices through an approved and encrypted path such as NetMotion. C. All data stored on mobile data laptops will be encrypted using BitLocker. D. All emails containing CJI will be sent using CJNET. CJNET email encrypts data from point to point. E. Currently the CCSO does not utilize PKI. 3.10.11 AUDITS: A. The Director of ITD will ensure that each CJI information system has the ability and is enabled to audit the events and the information required by the CJISSECPOL. CCSO will provide and allocate adequate storage capacity to hold all necessary and required audits and will maintain the audit logs for a minimum of one (1) year. Page 2231 of 3896 CCSO OPERATIONS MANUAL ______________ CHAPTER A-3, SECTION 10, PAGE 15 (REVISED 01/10/2025) B. CCSO will review and analyze audit records for each CJI system at least weekly for indications of inappropriate use. Findings will be reported and appropriate action taken. Automated mechanisms will also be employed for audit review, analysis and reporting. 3.10.12 PERSONNEL SECURITY: 3.10.13 MOBILE DEVICES: A. Wireless Access Restrictions: 1. The CCSO has implemented a wireless network for ease of daily operations. The use of the wireless network is for agency information and systems only and should be utilized as such. 2. Agency members are only permitted to use the agency wireless network for agency business. Members may only access the network with agency owned equipment. ITD will authorize individual users to utilize the network by assigning them a CCSO owned mobile device. 3. ITD will monitor all connections and audit logs associated with devices as well as the systems and applications that the devices access. ITD will review these logs on a monthly basis or more frequently if there is an increased risk to agency information or systems. 4. CCSO members are not permitted to access agency systems on any public Wireless network without connecting to the agency provided Virtual Private Network, Netmotion, for authentication. 7. Users are not permitted to attempt to add, remove or modify any hardware, software, or network devices or other information systems in place within the agency. If users require additional hardware, software or network devices to perform duties related to their job functions, they must contact ITD. If deemed appropriate, ITD will make any needed changes. 8. Users must notify ITD immediately of an incident involving the loss of the device, loss of control of the device, or the device becoming compromised. ITD will then initiate steps to resolve the incident and mitigate the risk to the CCSO. B. Bluetooth will only be used for official business purposes, and shall be approved by pair with CJI systems. The agency maintains these devices and ensures that they meet the minimum requirements of Bluetooth specifications. All other Bluetooth devices are not utilized to pair with CJI systems. Other Bluetooth devices shall be approved and issued by the IT Division for purposes such as printers and wireless mice. C. CCSO has determined an operational need to utilize agency cell phones (iPhones) and tablets (iPads) to access certain Agency information systems and network. Only Agency owned and managed cell phones and tablets will be used for this purpose and certain restrictions and implementation controls will apply. Page 2232 of 3896 CCSO OPERATIONS MANUAL ______________ CHAPTER A-3, SECTION 10, PAGE 16 (REVISED 01/10/2025) 1. The cell phone must be registered with ITD and authenticated by the network as a known and associated network device. 2. The cell phone user must read and sign the Smartphone Assignment and Policy Acknowledgment. 3. The cell phone must have the Agency MDM installed and operational before being issued. 4. The cell phone must be configured to use an encrypted network connection at all times when accessing the Agency network and CJI systems, applications, and data. 5. The cell phone user must not tamper with security controls configured on the device. 6. The device must have full-device encryption enabled. The encryption must meet FIPS 140-2 certification. 7. Any connections to the Agency network via a public network will require the use of the Agency provided VPN for connection. 8. The cell phone user must keep it patched and running the latest OS version that ITD has approved and announced. Where the user allows the OS version to be more than one version behind ITD will disable the devices network access. 9. If the device is lost or stolen, the user must notify ITD immediately. ITD will take steps to remove the device from the network and all systems and applications. 3.10.14 ACQUISITION: 3.10.15 SYSTEM AND INFORMATION INTEGRITY: A. The Director of ITD will be responsible to manage the development, documentation, information integrity. The Director will review and update the policy and procedures at least annually and following incidents involving unauthorized access to CJI or CJIS systems. B. ITD personnel will be continually on the alert for applications, services, and information systems containing software flaws and potential vulnerabilities resulting from these flaws. Appropriate personnel within ITD will subscribe to automatic alerting systems, such as US-Cert and Microsoft. C. information systems to identify flaws and ensure that system components have applicable security-relevant software and updates installed. Any findings discovered during the scans will be appropriately remediated. Among the systems used for the purpose are: Nessus, Crowdstrike, and Eclypsium. D. CCSO will use automated software to push out patches to servers and clients, as Page 2233 of 3896 CCSO OPERATIONS MANUAL ______________ CHAPTER A-3, SECTION 10, PAGE 17 (REVISED 01/10/2025) appropriate. In some cases, patches will be installed manually, but only when absolutely necessary. To the maximum extent possible, security software and firmware updates/patches will be installed in the following timeframes: Critical 15 days; High 30 days; Medium 60 days; and Low 90 days. E. Microsoft patches that are announced on the second Tuesday of every month will be reviewed for impact. By Friday of that week, it will be decided which patches will be approved for release and the Network Security Unit will schedule them for installation. Server systems will be set to have patches installed the following week. Client workstations will be configured to download and install approved patches from the installed, if it is determined that they will not have negative side effects. F. Major updates, such as service packs or full revision upgrades, will be tested prior to being deployed in production, when feasible. G. IT will deploy emergency patches as necessary. H. Security alerts and advisories will be subscribed to by the IT Division. IT personnel shall evaluate each security alert to determine its urgency and relevance to the agency then promptly develop a plan of action to respond to any changes in threats or vulnerabilities exposed by those alerts and notify the proper agency personnel. The following are some of the alerts and advisories that IT has signed up for: www.us-cert.gov/ncas/current-activity https://www.vmware.com/security/advisories Cybersecurity and Infrastructure Security Agency (govdelivery.com) https://empower.tylertech.comm/DAILY-THREAT-BRIEFING-CENTER.html mynoticiations@cisco.com 3.10.16 MAINTENANCE: A. The Director of ITD will be responsible to manage the development, documentation, and dissemination of policy and procedures related to maintenance of the A network and CJIS systems. The Director will review and update the policy and procedures at least annually and following changes in the information system operating environments or when CJIS security policy changes . B. Network equipment will only be sent off-site for maintenance when approved by appropriate ITD members. Before being sent off-site, the equipment will be sanitized to remove all CJI and law enforcement sensitive information. Appropriate records will be maintained to record all equipment being sent off-site for maintenance. C. ITD members will oversee maintenance conducted by outside maintenance personnel. When maintenance personnel use diagnostic tools, ITD members will make every effort to ensure that such tools do not contain malicious code that could damage the Agency network. Page 2234 of 3896 CCSO OPERATIONS MANUAL ______________ CHAPTER A-3, SECTION 10, PAGE 18 (REVISED 01/10/2025) D. All maintenance will be documented and documentation will include: 1. Component (hardware) name 2. Serial Number of Device 3. Date and Time the maintenance was conducted 4. Description of the maintenance performed 5. Name(s) of the entity/personnel performing the maintenance 6. If the entity/personnel performing maintenance required escorting, the name of the escort E. ITD will approve and monitor remote maintenance and diagnostic activities. Strong authentication will be utilized in the establishment of remote maintenance and ITD will ensure that at the end of the session, the network connection is terminated. F. ITD will identify system components that may result in an increased risk to Agency operations if inoperable and ensure that maintenance agreements that provide appropriate service levels are in place wherever possible, or that spare parts, or system redundancy is provided. 3.10.17 PLANNING: 3.10.18 CONTINGENCY PLANNING: 3.10.19 RISK ASSESSMENT: A. The Director of ITD will manage the development, documentation, and dissemination of the risk assessment policy and procedures. The Director will review the policy and procedures at least annually and following any security incident involving unauthorized access to CJI or systems used to process, store or transmit CJI. B. ITD will prepare a risk assessment that identifies threats to and vulnerabilities in the he risk assessment will be documented in a report and the risk assessment results will be reviewed at least quarterly. 3.10.20 VOICE OVER INTERNET PROTOCOL: Agency members shall only utilize Voice over IP (VoIP) on approved devices in accordance with these guidelines: A. VoIP devices shall be approved, installed and configured by authorized agency personnel or under the supervision of approved agency personnel only. VoIP devices shall be used in a manner consistent with agency communication policy. Page 2235 of 3896 CCSO OPERATIONS MANUAL ______________ CHAPTER A-3, SECTION 10, PAGE 19 (REVISED 01/10/2025) B. All VoIP devices shall have their administrator credentials changed from the defaults prior to production implementation. C. VoIP devices shall be segmented using VLANs or similar technology. The Agency will ensure that the VoIP system is not on the network. D. The following VoIP usage restrictions shall apply: 1. Do not divulge personal or criminal justice information to people you do not know. 2. Be cognizant of discussing CJI using your VoIP Phone on Speaker with unauthorized personnel in the room. 3. Do not install or connect devices to your VoIP Phone such as computers, Bluetooth, recording device, etc. 4. Do not use mobile software apps to attach to VoIP System. 5. Turn off all unused features on the VoIP System. 6. IP phones should not be used for international use (outside the United States 7. Do not store or save CJI on VoIP System. 8. Do not connect fax machine into VoIP System to fax CJI. 9. Do not connect alarm systems into VoIP System. Alarm Systems must be connected to copper POTS line. 10. If your VoIP Phone System does not provide a dial tone or is not showing the correct time/date and extension, please alert Communications Technology. If Communications Technology determines it is a malicious code (i.e. worms, viruses, Trojans), denial-of-service (DoS), or distributed DoS (DDoS) they will immediately notify the LASO. E. Critical VoIP network components are located in the physically secured area and only authorized personnel have access to them. F. Currently, the Agency does utilize Voice over Internet Protocol for some of its phone services. 3.10.21 PERSONNEL SANCTIONS: CCSO members shall adhere to all CJIS Security Policies. Failure to do so may result in disciplinary action, up to and including termination and/or criminal prosecution. APPROVED BY SHERIFF KEVIN RAMBOSK Page 2236 of 3896 CCSO OPERATIONS MANUAL ______________ CHAPTER A-3, SECTION 10, PAGE 20 (REVISED 01/10/2025) Page 2237 of 3896 Collier County Procurement Manual Procurement Services Division Rev. 3.0 Page 2238 of 3896 Procurement Manual, Rev. #3.0 1 INDEX # PAGE 1. TITLE AND CITATION 2 1a. AUTHORITY 2 2. PURPOSE 2 3. APPLICABILITY AND APPROVED THRESHOLDS 3 4. DEFINITION 4 5. ESTABLISHMENT OF PROCUREMENT SERVICES DIVISION AND PROCUREMENT SERVICES DIVISION DIRECTOR 6 6. DUTIES OF THE PROCUREMENT SERVICES DIVISION 6 7. ETHICAL STANDARDS 8 8. EXEMPTION FROM THE COMPETITIVE PROCESS 10 9. SMALL PURCHASES (Purchases $3,000 or less) 11 10. INFORMAL COMPETITION (Request for Quote – RFQ) 12 11a. PROCUREMENT METHODS (Purchases in Excess of $50,000) 13 Invitation to Bid (ITB) Request for Proposals (RFP) Request for Professional Services (RPS) Professional Services Library Invitation to Negotiate (ITN) Invitation for Qualifications (IFQ) Reverse Auctions 13 13 14 15 17 17 17 11b. OTHER PROCUREMENT METHODS 17 Cooperative Purchasing Request for Information (RFI) Emergency Procurements Single and Sole Source Procurements 17 18 18 19 12. RESERVED RIGHTS 20 13. UNSOLICITED PROPOSALS 20 14. SMALL AND DISADVANTAGED MINORITY AND WOMEN BUSINESS ENTERPRISES 21 15. PROCEDURE TO PROVIDE PREFERENCE TO LOCAL BUSINESS 22 16. PAYMENT OF INVOICES 25 17. ADVANCE PAYMENTS FOR GOODS AND SERVICES 26 18. STANDARDIZATION, COOPERATIVE PURCHASING AGREEMENTS AND GOVERNMENTAL CONTRACTS 27 19. CONTRACT ADMINISTRATION 27 20. PERFORMANCE AND PAYMENT BONDS 40 21. UNAUTHORIZED PURCHASES 41 22. PROHIBITION AGAINST SUBDIVISION 41 23. PROTESTS 41 24. CONTRACT CLAIMS 44 25. INSPECTION AND TESTING 45 26. PURCHASING CARD PROGRAM 45 27. CONFLICT OF INTEREST 46 28. DEBARMENT AND SUSPENSION 46 29. WAIVER OF ORDINANCE 51 30. CONFLICT AND SEVERABILITY 51 Page 2239 of 3896 Procurement Manual, Rev. #3.0 2 1. TITLE AND CITATION This Manual shall be known and may be cited as the "Collier County Procurement Manual" or "Procurement Manual." 1.a. AUTHORITY Approval of this Manual by the County Manager is pursuant to “SECTION SIX” of the Collier County Procurement Ordinance, as amended: Approved: _________________________________ Amy Patterson, County Manager Effective Date: ______________________________ Modifications to this Procurement Manual shall be effective when the revised document is approved in writing by the County Manager and a new effective date is assigned. Standard Operating Procedures (SOPs), forms and ancillary documents for procurement process shall be effective with the approval of the Procurement Services Division Director. 2. PURPOSE The purpose for this Procurement Manual is to provide the steps necessary to execute procurement actions in compliance with the Procurement Ordinance. These steps are designed to not only ensure compliance with the adopted Ordinance, but also maximize the purchasing value of public funds, maintain the integrity of the procurement process, and ensure that both the process and end result are auditable. Failure to comply with this Procurement Manual shall be deemed a violation and may be subject to administrative disciplinary action, following Collier County Government Human Resources procedures and guidelines, up to and including dismissal from Collier County Government employment. This Procurement Manual applies to the procurement of all goods and services irrespective of the source of the funds. Nothing within this Procurement Manual will prevent the County from complying with the terms and conditions of any grant, gift or bequest that is otherwise consistent with law. The Procurement Services Division provides centralized procurement support and services to County departments and other offices, including appointed and elected officials who elect to utilize the Procurement Services Division under the Board of County Commissioners of Collier County. The reader is reminded to consider all of the information in this Procurement Manual, as well as Standard Operating Procedures, forms, and training material available on the Procurement Services Division SharePoint, when undertaking procurement activities. Page 2240 of 3896 Procurement Manual, Rev. #3.0 3 3. APPLICABILITY AND APPROVED THRESHOLDS This Procurement Manual applies to the procurement of goods and services by the County after the effective date, as indicated by the date of the County Manager’s signature. This Procurement Manual shall apply to all expenditures of public funds by the Board of County Commissioners for public purchasing, irrespective of the source of the funds. Nothing contained herein shall be construed as requiring Collier County's Constitutional Officers (Clerk of the Circuit Court, Property Appraiser, Sheriff, Supervisor of Elections, and Tax Collector), Court Administration, State Attorney, Public Defender, or the Collier Metropolitan Planning Organization to be covered by the provisions of this Procurement Ordinance. However, the services of the Collier County Procurement Services Division and Procurement Services Division Director may be made available for consultation. When the Procurement Services Division is providing services to a Constitutional Officer, the Constitutional Officer may issue a letter to the Procurement Services Division Director electing to not follow the Procurement Manual and/or Procurement Ordinance. The Board of County Commissioners shall execute formal contracts in excess of $50,000 having a binding effect upon the County, to include revenue generating contracts, and has then delegated to the County Manager or designees, the authority to approve contracts or agreements and amendments, extensions, and renewals of such contracts or agreements, including change orders, work orders, and other ancillary documents, providing the total amount of County expenditure for any such contract or agreement does not exceed $50,000 unless otherwise specified by action of the Board of County Commissioners. The $50,000 limitation set forth above shall be determined by the following: a. the per fiscal year dollar total expenditure for term contracts, b. the per fiscal year dollar expenditure for fixed-fee agreements, c. the per fiscal year dollar expenditure for lease agreements, d. the total dollar expenditure included in the contract for lump-sum or specific project agreements; e. the per fiscal year revenue generated for revenue generating agreements. Following formal action taken by the Board of County Commissioners on purchases greater than the formal competitive threshold, the Board delegates to the County Manager or designee the authority to carry out the administrative and ministerial actions necessary to effectuate the Board's action, including but not limited to the subsequent issuance of Work or Purchase Orders. The Board of County Commissioners encourages the implementation of cost savings measures, processes, and procedures as part of its various adopted procurement methods including but not limited to Direct Material Purchase (DMP), P-Card purchases, and bulk purchases as may be in the best interest of the County. In furtherance of implementing cost saving measures and other adopted methods of procurement, the Board delegates to the County Manager or designee, the authority to manage and Page 2241 of 3896 Procurement Manual, Rev. #3.0 4 administer the procedures, processes, and measures necessary to maximize the purchasing value of public funds expended in the procurement of materials. By signing this Procurement Manual, the County Manager delegates to the Procurement Services Division Director the authority to act on his/her behalf in all procurement activities as they relate to this Procurement Manual. The authority to solicit for and enter into contracts provided herein requires strict compliance with the standards and procedures established in this Procurement Manual, CMAs, and the Collier County Procurement Ordinance, as well as any applicable provisions of State or federal laws. The requesting department/division shall be responsible for the development of all plans and specifications sufficiently detailed to provide a basis for full and fair competitive solicitation. The Procurement Services Division will provide support and input during this process. Requesting constitutional officers or appointed officials may opt out of following the provisions of the Procurement Ordinance by notifying the Procurement Services Division Director in writing. The Procurement Services Division may require the requesting department to provide a market analysis prior to issuing a solicitation. The availability of funds for the current fiscal year shall be confirmed prior to any transaction or execution of any contract. 4. DEFINITIONS Agency shall mean all departments, divisions, units, and offices under the Board of County Commissioners, including the Collier County Redevelopment Agencies, the Collier County Airport Authority, Collier County Water Sewer District, and all departments under the auspices of the County Manager. Also included are those elected or appointed officials that agree to utilize procurement services provided by the Collier County Board of County Commissioners. Change Order shall mean a written order by a project manager, approved by the Procurement Services Division Director or designee and/or the Board of County Commissioners, directing the contractor to change a contract's amount, requirements, or time. All changes must be within the original scope of the contract and in accordance with the Board approved contract's changes clause or, if no such clause is set forth within the agreement, in accordance with the Procurement Ordinance. Consultant/Contractor/Supplier/Vendor shall mean a provider of goods or services to the County agency. These terms may be used interchangeably. Continuing Contract shall mean a contract for professional services as defined under Florida Statute 287.055. County Manager shall mean the County Manager or County Administrator of Collier County, or designee, as defined in the County Administration Law of 1974, F.S. ch. 125, pt. III. Page 2242 of 3896 Procurement Manual, Rev. #3.0 5 Direct Material Purchase is a cost savings measure to achieve sales tax savings through the County's sales tax exemption by purchasing materials directly with a supplier or vendor. Other savings may be achieved in the Direct Materials Purchase process through the use of Purchasing Cards, rebates, discounts, and other cost savings measures. Term Contract A type of contract in which a source of supply is established for a specific period of time for specified services or supplies; usually characterized by an estimated or definite minimum quantity, with the possibility of additional requirements beyond the minimum, all at a predetermined unit price. Fixed-Fee Agreement is a contract providing for a firm price, or a price that may be adjusted only in accordance with contract clauses providing for revisions of the contract price under stated circumstances. Lease Agreement is a contract outlining the terms in which one party agrees to rent property owned by another party, which may include real estate or personal property for a specified amount of time. Lump Sum or Specific Project Agreement is a contract where a firm fixed total price is offered by the vendor for the completion of a project; typically, this is done through a competitive process and where the final invoicing will require no cost breakdown. Responsive Bidder/Proposer shall mean a vendor who has submitted a bid or proposal that fully conforms in all material respects to the solicitation and all of its requirements, including form and substance. Responsible Bidder/Proposer shall mean a vendor who has the financial and technical capacity to perform the requirements of the solicitation and subsequent contract. Minority business enterprise or any other designation assigned by the Office of Supplier Diversity shall mean a firm or individual who satisfies the registration requirements of that agency and/or satisfies the requirements outlined in Florida Statute Chapter 287.0943(2)(e), Chapter 295.187, Chapter 60A-9, Florida Administrative Code. Purchase Order shall mean a form of contract which encumbers appropriated funds, and which is directed to a single vendor to furnish or deliver commodities or services to the County. Purchasing Card shall mean a credit card officially assigned to specific employees under the purview of the Board of County Commissioners for the purpose of transacting small and/or strategic purchases. Single source refers to a procurement directed to one source because of standardization, warranty, or other factors, even though other competitive sources may be available. Sole source refers to a procurement where the selection of one particular supplier to the exclusion of all others may be based on a lack of competition, proprietary technology, copyright, warranty, or a supplier’s unique capability. Page 2243 of 3896 Procurement Manual, Rev. #3.0 6 Work Order/Work Assignment is a contract instrument issued under the terms and conditions of an approved continuing or fixed fee agreement, which authorizes a contractor or consultant to perform a specific task within the broader scope of the master agreement. Nothing in the work order shall conflict with the terms and conditions of the fixed fee contract, and all work done must fall within the scope and term of the underlying agreement. 5. ESTABLISHMENT OF PROCUREMENT SERVICES DIVISION AND PROCUREMENT SERVICES DIVISION DIRECTOR The Board of County Commissioners, through the adoption of the Procurement Ordinance has established the Collier County Procurement Services Division, which shall be a distinct administrative division under the direction of the County Manager. 1) The Procurement Services Division Director of the Procurement Services Division shall have the authority to negotiate all purchases for all Agencies except as required by State, Federal or Local Law. In keeping with F.S. Ch. 125, the Procurement Ordinance grants to the Procurement Services Division Director only those powers and duties which are administrative and ministerial in nature and does not delegate any governmental power imbued in the Board of County Commissioners as the governing body of the County pursuant to Fla. Const. Art. VIII, § 1(e). The Procurement Services Division Director may delegate to one or more Procurement Services Division employees any and all aspects of the authority vested in the Procurement Services Division Director by the County Manager. Except as otherwise specified by law, this Procurement Manual shall apply to every procurement under the authority of the Collier County Board of County Commissioners and to elected or appointed officials (Clerk of the Circuit Court, County Attorney, Property Appraiser, Sheriff, Supervisor of Elections, Tax Collector, Court Administration, State Attorney, Public Defender or Collier Metropolitan Planning Organization M.P.O.) who choose to utilize procurement services provided by the Collier County Board of County Commissioners. 2) Notwithstanding any other provision of the Procurement Manual, the Procurement Services Division Director is authorized to issue purchase orders at the written request of elected or appointed officials. 3) Nothing in this Procurement Manual shall limit the Collier County Board of County Commissioners' right to waive any provisions contained within the Procurement Ordinance when the Collier County Board of County Commissioners shall deem it in the best interest of the County. 6. DUTIES OF THE PROCUREMENT SERVICES DIVISION Within the constructs of this Procurement Manual, the Procurement Services Division shall be responsible for: A. Seeking Maximum Value: Acting to procure for the County the highest quality commodities and contractual services at least expense to the County. Page 2244 of 3896 Procurement Manual, Rev. #3.0 7 B. Encouraging competition: Endeavoring to obtain as full and open competition as possible on all purchases, services, and sales. C. Procurement Analysis: Keeping informed of current developments in the field of purchasing, prices, market conditions and new products, and securing for the County the benefits of research conducted in the field of purchasing by other governmental jurisdictions, national technical societies, trade associations having national recognition, and by private business and organizations. D. Procurement Manual: Preparing and recommending for adoption by the County Manager a Procurement Manual for the implementation of the Procurement Ordinance. The Procurement Manual shall be maintained and published on-line for the benefit of the public. E. Division Systems, Procedures, and Standards: The adoption of systems, procedures, forms, standards, reporting, and evaluation tools related to: (i) the effective development, negotiation, and administration of County contracts, and (ii) the evaluation of performance of contractors, suppliers and vendors doing business with Collier County. F. Non-Contract Purchases: Reviewing non-contract purchases under $50,000.00, as defined in Section 3, to determine if an aggregated contract approach may provide value and offer pricing advantages to the County. G. Florida Sales Tax Exemption: Procuring items for the County to exercise its tax exemption status when eligible. a. Establishing and administering a Direct Materials Purchasing Program that includes processes and procedures to encourage the implementation of such savings programs and the application of such related cost savings measures where it is in the best interest of the County. b. Developing and implementing other tax saving and cost saving opportunities and means related to purchasing and procurement. H. Inquiry and Control: Full authority to: a. Question the quality, quantity, and kinds of items requisitioned in order that the best interests of the County are served. b. Ensure the proper and orderly acquisition of services to the various operating divisions. c. Ensure purchases are consistent with the Procurement Ordinance. d. Determine if specific purchases should be approved by the Board prior to the purchase. e. Determine work assignment rotation schemes when multiple contracts are awarded for the same service. Page 2245 of 3896 Procurement Manual, Rev. #3.0 8 f. Question the effectiveness of contract administration being performed by the Divisions and provide training and counseling on proper contract administration methods. g. Consolidate purchases of like or common commodities or services and entering into term contracts to obtain maximum cost savings while preserving department specifications and needs. h. The authority to review and approve or disapprove the composition of each evaluation committee. i. Verify funding sources, and acquire an account number, for each purchase prior to advertising a solicitation. I. Records of procurement activity shall be maintained in compliance with the Chapter 119, Florida Statutes, “the Florida Public Records Act.” J. Administer the County Purchasing Card Program. K. Administer the County property disposal process through auction sales, and other means, and report that activity along with any proceeds to both the County Manager and the Board. L. Administering the County internal mail function, including processing, sorting, delivering and postage metering. M. Advise the County Manager of misuse, inappropriate use, or purchasing activities that are inconsistent with the purpose and intent of the Procurement Ordinance, Procurement Manual or applicable local, state, or federal law. 7. ETHICAL STANDARDS A. Every employee and elected or appointed official of Collier County has the responsibility to maintain the confidence of the citizens of Collier County by conducting the procurement process in an ethical, fair, and transparent manner. Collier County employees shall act in good faith to discharge their duties and avoid either the intent or appearance of unethical practices in procurement relationships, actions, and communications. B. Any attempt by Collier County employees or elected or appointed officials of Collier County to realize personal gain from the procurement process is a breach of public trust. All County employees shall govern themselves in accordance with the Standards of Conduct as set forth in applicable Collier County Government Regulations, to include the Collier County Ethics Ordinance No. 2003-53 as amended, County Manager Administrative Procedures (CMA) Code of Ethics, and F.S. Ch. 112. C. Collier County requires each vendor who seeks to do business with Collier County to comply with the following ethical standards: Page 2246 of 3896 Procurement Manual, Rev. #3.0 9 1) No vendor shall discuss or consult with other vendors intending to compete for the same or similar contract for the purpose of bid rigging, collusion or other activities that are illegal, unethical, or limiting competition. 2) No vendor shall submit false information or intentionally submit misleading information to Collier County. 3) After the issuance of any solicitation, no current or prospective vendor or any person acting on their behalf, shall contact, communicate with, or discuss any matter relating to the solicitation with any Collier County employee or elected or appointed official, other than the Procurement Services Division Director or his/her designees. This prohibition ends upon execution of the final contract or upon cancellation of the solicitation. Any current or prospective vendor that lobbies any Collier County employee or elected or appointed official while a solicitation is open or being recommended for award (i) may be deemed ineligible for award of that solicitation by the Procurement Services Division Director, and (ii) will be subject to Suspension and Debarment outlined in Section 28. 3.1. During the solicitation process, a “cone of silence” is in effect. Selection committee members are prohibited from communicating with any of the proposers or the committee members, including fellow colleagues, outside of the formal in-session communications. Any attempt by one of the proposers to have direct or indirect communication with a selection committee member outside of a committee formal session should be avoided and reported to the Procurement Services Division. This prohibition ends upon execution of the final contract or upon cancellation of the solicitation. 4) A Vendor who participates in the drafting of a solicitation or scope or who develops a program for future implementation, is not eligible to contract with the agency for any other contracts dealing with that specific subject matter, and any firm in which such person has any interest is not eligible to receive such contract. However, this prohibition does not prevent a vendor who responds to a request for information from being eligible to contract with the agency. D. Failure to comply with this Section shall be deemed a violation of ethical standards and may subject the violator to administrative actions and to civil, and/or criminal penalties for ethical violations as described below: 1) Employees who violate the ethics standards described in this section shall be subject to administrative disciplinary action, following Collier County Government Human Resources procedures and guidelines, up to and including dismissal from Collier County Government employment. 2) Vendors who violate the ethics standards described in this Section shall be subject to Suspension and Debarment as provided in Section 28 of this Procurement Manual. E. Vendors doing business with Collier County shall comply with the provisions of Section 287.133, Florida Statutes (“Public Entity Crimes Act”). Page 2247 of 3896 Procurement Manual, Rev. #3.0 10 8. EXEMPTION FROM THE COMPETITIVE PROCESS The following procurement categories may be eligible for exemption from the competitive process based upon the determination of the County Manager or designee that approval of such an exemption is in the best interest of the County. 1) Purchases from another government agency or from a nonprofit organization authorized to do business in the State of Florida. 2) Dues and memberships in trade or professional organizations; registration fees for trade or career fairs; fees and costs of job-related seminars and training. 3) Subscriptions, periodicals, newspapers, books, electronic information, media, maps, pamphlets, and similar material in printed or electronic form. 4) Advertisements. 5) Utility Services: water, sewer, electrical, gas, or other regulated utility, communications, and data transmission services subject to government rate control. 6) Educational or academic programs; educational or recreational field trip instructors, trainers, facilitators, professional advisors, and speakers. 7) Legal services including retaining services of law firms or other outside counsel for any reason, expert witnesses, court reporter services, appraisal services, trial consultants, or similar persons or firms deemed by the Collier County Attorney as necessary to address the legal needs of Collier County, together with document management and production, legal research, and information technology products and services. 8) Goods or services purchased from grants, gifts, bequests, or donations to the extent that the application of this Procurement Manual would conflict with the requirements, conditions, or limitations attached to the grant, gift, bequest, or donation. 9) Products or services necessary to maintain existing warranties and licenses or to maintain compatibility with existing Collier County systems. 10) Repairs based upon shop estimates for equipment that has been disassembled. 11) Personnel services; recruitment services. 12) Works of Art for Public Display. 13) Direct purchase orders issued when it is in the best interest of Collier County. Collier County may make direct purchases of goods and services when the County can procure these items at a lower cost and/or realize a tax or delivery savings. Direct Material Purchase Orders derived out of Direct Material Purchases and/or other cost savings measures may be administered through contracts procured through Requests for Quote (RFQ), Invitation to Bid (ITB), Construction Invitation to Bid (ITB), Request for Proposals (RFP), Invitation for Qualifications (IFQ), Construction Manager at Risk (CMAR), Design Build, Progressive Design Build, and Invitation to Negotiate (ITN) as may be applicable and or available. 14) Financial Instruments: professional services required for the issuance of Collier County debt, debt service and Collier County investments related thereto, Page 2248 of 3896 Procurement Manual, Rev. #3.0 11 including the selection of investment bankers for Collier County's Underwriting Pool and the selection of Collier County's Financial Advisor. 15) Entertainment services for County-sponsored events. 16) Services for management studies, executive analysis, and related matters as directed by the County Manager. 17) Where specified by general law, ordinance, or Collier County Board of County Commissioner’s policies, any purchase governed by explicit provisions of general law or other Collier County ordinance or Collier County Board of County Commissioner’s policies (resolution) unless the solicitation indicates the applicability of this Procurement Manual, and this Procurement Manual shall apply only to the extent set out in the solicitation. The operating division seeking an Exemption shall complete an Exemptions from the Competition Process form along with required supporting documentation, as indicated on the form, specify the not to exceed expenditure per fiscal year, and forward to the Procurement Services Division for review. Exemptions for purchases greater than $50,000 per fiscal year will require final approval by the Board of County Commissioners. Exemptions are valid for a period approved by the Procurement Services Division Director or the Board of County Commissioners. The Exemptions from the Competition Process form is available on the Procurement Services Division SharePoint. In the judgment of the Procurement Services Division Director, contracts may be required for Exempt purchases. In all cases the requesting Division shall strive to obtain best value from a vendor when obtaining goods and services under an Exemption. Should the Procurement Services Division Director determine that the request is not eligible for exemption and/or that it would be in the best interest of the County to conduct a competitive process, the requesting Division will be required to work with Procurement staff on an appropriate procurement method. 9. SMALL PURCHASES (Purchases $3,000 or less) A purchase shall not be artificially divided or split to qualify under this or any other section of this Procurement Manual. All small purchase quotes will be obtained by Operating Division staff without competition by a Single Quote, with documentation, and generally be processed using a regular purchase order, or a purchasing card in accordance with the Purchasing Card Manual. Operating Division staff should make all reasonable efforts to purchase goods and services under Board approved contracts. In the event a contract is not available or able to be utilized, staff will procure the highest quality items or services at the least expense to the County. Page 2249 of 3896 Procurement Manual, Rev. #3.0 12 Operating Divisions will seek the best value for the purchase and attempt to combine like purchases for cost centers under the division’s control and will ensure that the purchase supports the mission of the division. The Procurement Services Division Director may, for strategic purchasing reasons, direct all purchases of a specific nature (for example, office supplies or industrial supplies) to one or more specific vendors regardless of the individual or aggregate purchasing volume. 10. INFORMAL COMPETITION (Purchases $3,000 - $50,000) Request for Quote (RFQ) Three (3) written quotes will be sought by Operating Division Staff for purchases exceeding $3,000 but not greater than $50,000. Operating Divisions will seek the lowest quote obtained (based on quote identified unit or total price), from the responsive (submits all information requested, agrees to meet timeline, terms, and conditions, etc.) and responsible (has references that check, current licenses, certifications, demonstrated years of experience with equipment and staff to perform the work, etc.) bidder. All written quotes will only be valid for up to thirty (30) days prior to issuance of a Purchase Order. Where Operating Division Staff are unsuccessful in securing three (3) comparable quotes, the Operating Division will seek the assistance of the Procurement Services Division, where it may be determined by the Procurement Services Division Director that a good faith effort was conducted, and an award may be made with fewer than three (3) quotes. The Procurement Division may recommend that additional sourcing and soliciting are required by either the Operating Division Staff or by the Procurement Services Division Staff. A purchase shall not be artificially divided or split to qualify under this or any other section of this Procurement Manual. Operating Division staff should make all reasonable efforts to purchase goods and services under Board approved contracts. In the event a contract is not available, or staff demonstrates that the price under contract exceeds the price on a non-contract, Operating Division Staff will procure the highest quality items or services at the least expense to the County. Operating Division Staff who are requesting quotes are to conduct themselves in a fair and equitable fashion by providing the same information, under the same conditions, to all vendors in a fair and open competitive process. Once trained by Procurement Services Division, Division Staff will utilize the County’s electronic bidding platform to obtain quotes. Operating Division Staff must advertise for a minimum of ten (10) calendar days. Operating Division Staff should be monitoring bid submittals and as the Request for Quote bid due date/time approaches, if three (3) quotes are not received, the due date should be extended a week to promote competition. Only the Procurement Services Division Staff may issue a qualification-based solicitation. Final recommended award of any quote will be reviewed and approved by the Procurement Services Division Director or designee. Page 2250 of 3896 Procurement Manual, Rev. #3.0 13 11a. PROCUREMENT METHODS (PURCHASES IN EXCESS OF $50,000) The Board of County Commissioners established an amount of fifty thousand dollars ($50,000.00) as the County's threshold for formal competitive solicitations to include Invitation to Bid (ITB), Request for Proposal (RFP), Request for Professional Services (RPS), Invitation to Negotiate (ITN), Invitation for Qualifications (IFQ), and Reverse Auctions administered under the supervision of the Procurement Services Division Director. Award of any resulting agreements or contracts shall be made by the Board except where otherwise provided for in the Procurement Ordinance, Procurement Manual, or unless an exception is granted by the Board. The standard advertising period for all formal competitive solicitation methods is thirty (30) days. The advertising period may be modified by the Procurement Services Division Director should unusual circumstances require it. All advertising will take place on the County adopted electronic bidding platform, and the County may make use of additional advertising platforms or publications as is deemed necessary by the Procurement Services Division Director. Invitation to Bid (ITB) Invitations to Bid (ITB) shall be issued by the Procurement Services Division Director with public announcement and competition. Any resulting contract shall be awarded to the responsive and responsible bidder submitting the lowest or best overall bid which meets all specifications. A bid is the preferred method of solicitation when price is the prevailing basis of award. Details on the bid process and procedures will be contained within the ITB solicitation. In the event of a tie, selection will be determined based by coin toss by the Procurement Services Division Director before at least three witnesses, or if Local Vendor Preference is a factor as described in SECTION FIFTEEN of the Procurement Ordinance, then the language in that section will prevail. Once a responsibility review is completed a Notice of Recommended Award (NORA) indicating the lowest responsive and responsible bidder being recommended for award will be posted on the Procurement bid platform. Request for Proposals (RFP) A Request for Proposal (RFP) shall be issued by the Procurement Services Division Director with public announcement and competition. Any resulting contract shall be awarded to the responsive and responsible proposer submitting the best proposal according to the criteria set forth in the solicitation. An RFP is the preferred method of solicitation when multiple factors are considered for the basis of award, and price may or may not be the prevailing factor. An RFP may be conducted in one or more steps and may involve oral presentations or demonstrations by the proposing vendors. At the conclusion of all steps, which may include both scoring and ranking Page 2251 of 3896 Procurement Manual, Rev. #3.0 14 by an Evaluation Committee, the results including standardized score/rank sheets, meeting minutes, and audio recordings will be preserved by the Procurement Services staff member facilitating the Evaluation Committee proceedings. In the event of a tie at final ranking, award shall be made to the proposer with the lower volume of work previously awarded. Volume of work shall be calculated based upon total dollars paid to the proposer in the twenty-four (24) months prior to the RFP submittal deadline. Payment information will be retrieved from the County’s financial system of record. The tie breaking procedure is only applied in the final ranking step of the selection process. In the event a tie still exists, selection will be determined based by coin toss by the Procurement Services Division Director before at least three (3) witnesses. Details on the request for proposal process and procedures will be contained within the RFP solicitation. A Notice of Recommended Award (NORA) indicating the final ranking order of the proposers will be posted on the Procurement Services bid platform and the County will then begin negotiations with the number one ranked firm. In the event the County is unsuccessful with the number one ranked firm it will publish a revised NORA indicating that it is initiating negotiations with the next firm in the rank order. Request for Professional Services (RPS) A Request for Professional Services (RPS) shall be issued by the Procurement Services Division Director to procure professional engineering, architectural, landscape architectural or surveying and mapping services in accordance with the Consultants’ Competitive Negotiation Act (CCNA), F.S. § 287.055. An RPS can be issued and awarded for either a Continuing Contract or for a Single Project as described in the statute. Note the Florida Statute provides standards for defining a project (Section 287.055 (2)(f) Florida Statutes). Award of a Request for Professional Services (RPS) can be for either a continuing contract or for a single project. Each RPS shall be awarded based upon the scoring criteria as set forth in the RPS solicitation document, to the responsive and responsible Proposer or Proposers who, in the sole opinion of the Evaluation Committee, is determined to be the most qualified to perform the work. The Evaluation Committee, whose composition is approved by the Procurement Services Division Director, will be comprised of voting members, that may have technical assistance from non-voting members, and have their committee activities facilitated by a member of the Procurement Services Division. The determination of award is made in two steps. First by the application of the numerical scoring points outlined in the solicitation, using a standardized scoring form, to establish a “short listing” of the proposers. Short listing is then followed by oral presentations, if required, at which point the Evaluation Committee places the short-listed proposers in a final Rank Order of preference using a standardized ranking form. Ranking shall be determined without regard to the score established during the first evaluation. At the conclusion of both the scoring and ranking Evaluation Committee meetings, the results which may include standardized score/rank sheets, meeting minutes, and audio recordings will be preserved by the Procurement staff member facilitating the Evaluation Committee proceedings. Page 2252 of 3896 Procurement Manual, Rev. #3.0 15 In the event of a tie at final ranking, the order of ranking shall be determined based upon the proposer(s) with the lower volume of work previously awarded. Volume of work shall be calculated based upon total dollars paid to the proposer in the twenty-four (24) months prior to the RPS submittal deadline. Payment information will be retrieved from the County’s financial system of record. The tie breaking procedure is only applied in the final ranking step of the selection process. In the event a tie still exists, ranking will be determined based by coin toss selection by the Procurement Services Division Director before at least three (3) witnesses. A Notice of Recommended Award (NORA) indicating the final ranking order of the proposers will be posted on the Procurement bid platform and the County will begin negotiations with the number one ranked firm. In the event the County is unsuccessful with the number one ranked firm it will publish a revised NORA indicating that it is initiating negotiations with the next firm in the order ranked. Professional Services Library The County will maintain a “Professional Services Library” as its repository for vendors under continuing contracts solicited under the provisions of F.S. 287.055 Section 2 (g) (“continuing contracts”). The Library is used to award work assignments for professional engineering, architectural, landscape architectural and mapping & surveying services on an on-going basis through the use of continuing contracts. The Professional Services Library must be used if the services needed are included in the professional services library and the resulting construction costs or study costs meet the requirements of F.S. 287.055. If the services are not included in the professional services library, Purchasing will issue a formal solicitation, or pursue services as outlined in F.S. 287.055 as determined by the Procurement Services Division Director. Collier County reserves the right to confirm a firm’s qualifications in order to remain in the Library for each Service Category. Firms unable to meet minimum qualifications may be removed from the Service Category. All professional services for work defined per Section 287.055 estimated to cost equal to or in excess of the category amounts per Section 287.017, Florida Statutes must be solicited through a standalone formal Request for Professional Services for that single project and the use of a Continuing Contract is not allowed. A. Professional Services Library Rotation 1. Work assignments within each service category are awarded on a rotational basis by the Procurement Division. Page 2253 of 3896 Procurement Manual, Rev. #3.0 16 2. For each service category, the Procurement Division will place qualifying firms in the Professional Services Library in the order they are ranked, with the highest scoring firm placed in the first position in the rotation. 3. As each work assignment is identified the next firm in the rotation will be offered the opportunity to negotiate that work assignment with the County’s Administrative Agent. 4. Should a firm decline a work assignment, or be unable to reach a satisfactory fee negotiation with the County within a reasonable time frame, the County will contact the next firm on the list until the work assignment is successfully negotiated. 5. Firms will have the option of rejecting one work assignment within each service category within a twelve (12) month period without penalty. A second work assignment rejection within any twelve (12) month period will cause the firm to be skipped in the rotation. A firm who rejects three (3) work assignments (or is unable to satisfactorily negotiate three (3) work assignments) in any twelve (12) month period may be removed from the service category at the direction of the Procurement Services Division Director. 6. Firms wishing to reject a work assignment for any reason must complete a Work Assignment Rejection Notification Form. A copy of this completed form must be provided to the Procurement Division by the County’s Administrative Agent. 7. Once a full rotation through all firms in a service category is complete, a method that attempts to impart an equitable distribution of work among selected firms will be based on prior dollars awarded; with the firm having received the least amount of dollars being considered for the next work assignment. B. Professional Services Library - Direct Selection For work assignments requiring unique experience or knowledge, including past experience on another phase of the project, the County’s project manager may formally request permission to forego the rotation and select a specific firm. This request will require the completion of a Work Assignment Direct Select Form, which requires the approval of both a Division Director and the Procurement Services Division Director. Firms that are directly selected for a work assignment as a result of this process shall be passed on their next scheduled turn in the rotation. The professional services library content for each service category is posted on the Procurement Services Division web site. Procurements for the design and construction (Design-Build) of public construction projects may be obtained through a single contract with a design-build firm selected in a manner permitted under F.S. § 287.055 and the procedures set forth in this section. Page 2254 of 3896 Procurement Manual, Rev. #3.0 17 Invitation to Negotiate (ITN) An Invitation to Negotiate (ITN) shall be issued by the Procurement Services Division Director with public announcement and competition. An ITN is used when it is determined beneficial to issue a written solicitation for competitive sealed replies to select one or more vendors with which to conduct negotiations. Details on the Invitation to Negotiate process and procedures will be contained in the ITN solicitation. The ITN will generally follow the procedure outlined for an RFP. Invitation for Qualifications (IFQ) An Invitation for Qualifications (IFQ) shall be issued by the Procurement Services Division Director when it is in Collier County's best interest to first establish a qualified pool of vendors, to limit participation in a subsequent solicitation process to those qualified bidders, proposers, or offerors who demonstrate a capability to provide the goods and services required by the Collier County. An IFQ may also be issued when qualifications are the only criteria. The process of selecting a vendor when using the IFQ process will utilize a selection committee in a single or multi-step process to evaluate proposals based on qualifications, experience, past performance, references, and credentials. Details on the Invitation for Qualifications process and procedures will be contained in the IFQ solicitation. Reverse Auctions A Reverse Auction shall be issued by the Procurement Services Division Director when it is deemed to be the most efficient means of obtaining the best price through open competition. A Reverse Auction shall utilize a third-party auction service selected by the Procurement Services Division Director and be based on a public bidding process where the offerors bid down the pricing over a set time frame, with the award going to lowest bid received from a responsive and responsible offeror. The offerors may come from a pre-qualified pool of participants screened by the 3rd party auctioneer or may come from the open market based on the nature of the purchase and the recommendation of the auctioneer. 11b. OTHER PROCUREMENT METHODS Cooperative Purchasing 1) Piggybacking The Procurement Services Division Director shall have the authority to procure goods or services from vendors who have been selected, as a result of a competitive selection process for a federal, state, or municipal government, or any other governmental agency, political subdivision, or government-related association, provided that the originating entity utilized a competitive process similar to Collier County's. The Procurement Services Division Director shall annually bring forward to the Board of County Commissioners a list of recommended cooperatives for Board consideration and approval authority for the use of these Cooperative Purchasing Agreements. Page 2255 of 3896 Procurement Manual, Rev. #3.0 18 The Procurement Services Director may also consider other agencies and consortiums outside of the list presented annually to the Board for piggy backing when it best meets the needs of the County. The operating division seeking to utilize a Cooperative Agreement shall complete and submit a Cooperative Purchasing Request Form along with required supporting documentation as indicated on the form to the Procurement Services Division for review. This form is available on the Procurement Services Division SharePoint. For purchases made using Board approved cooperative or government contracts, a requisition is created by the operating division with the approved Cooperative Purchasing Request Form, all contract documentation, and a supporting quote attached. The supporting price quote must match the cooperative agreement’s price list. Use of cooperative or governmental contracts which have not been Board approved that are within the informal competitive threshold must be approved in advance by the Procurement Services Director. Attachments to the requisition may include Cooperative Purchasing Request Form, quote information, bid tabulation or selection scoring/ranking, prices, contract, etc. Purchases using cooperative or governmental contracts which have not been Board approved that exceed the formal competitive threshold will be submitted to the Board on an executive summary prepared by the operating division. 2) Consolidated Joint Purchasing The Procurement Services Division Director shall have the authority to join with other government entities and consortiums in cooperative purchasing ventures when in the best interest of Collier County. This can be accomplished by acting as the lead agency on a solicitation, or by participating in a solicitation issued by another agency. Requests for Information (RFI) An RFI shall be issued by the Procurement Services Division Director when it is in Collier County’s best interest to request information from potential vendors prior to the issuance of a planned solicitation. An RFI is used to collect comments and obtain inputs from the marketplace. Information submitted by vendors in response to an RFI may be used to develop specifications to be included in a future solicitation. Pricing is not requested during the RFI process. Award is not made as a direct result of an RFI. Emergency Procurements An Emergency Procurement may be used in the event of an unexpected and urgent need where health and safety or the conservation of public resources is at risk, or during Board absences (all efforts should be made to obtain Board approval prior to anticipated recesses), using such competition as is practical under the circumstances, as follows: Page 2256 of 3896 Procurement Manual, Rev. #3.0 19 a) Following a declaration of the existence of an emergency situation by the County, the Collier County Board of County Commissioners or their designee may declare the existence of an emergency procurement condition and may suspend any or all of the provisions of this article and authorize an emergency procurement. b) The Collier County Manager or designee, on a case-by-case basis may approve an emergency purchase based upon the Procurement Services Division Director’s good faith review of the available sources that may timely respond to the urgent need for goods and services and the documentation of the emergency conditions related to that purchase. Upon written determination, utilizing the Emergency Procurement Request Form, and approval of the Collier County Manager, the emergency purchase may be made. The Collier County Manager will report to the Collier County Board of County Commissioners all such emergency procurements at the next available Board meeting. c) This section in no way constrains the provisions of Collier County’s Civil Emergency powers and authority pursuant to F.S. ch. 252, Emergency Management. d) An Emergency Procurement is not to be confused with exercising after hour, overtime, holiday, or weekend rate provisions contained in existing agreements to address critical needs. e) An Emergency Procurement is action taken outside of the competitive requirements described in both the Procurement Ordinance and Procurement Manual. Single and Sole Source Procurements Either a Single or Sole Source Procurement may be issued by the Procurement Services Division Director after the requesting department/division submits to the Procurement Services Division a completed Waiver Request Form. a) Single Sourcing is a procurement decision whereby purchases are directed to one source because of standardization, warranty, or other factors, even though other competitive sources may be available. b) Sole Sourcing procurement is a selection of one particular supplier to the exclusion of all others. This decision may be based on lack of competition, proprietary technology, copyright, warranty, or a supplier’s unique capability. In the event that the request for either a sole or single source cannot be granted, the Procurement Services Division Director will direct the requestor to work with Procurement Staff and utilize an alternative acquisition method. Waivers for purchases greater than $50,000 per fiscal year will require final approval by the Board of County Commissioners. Waivers are valid for a period approved by the Procurement Services Division Director or the Board of County Commissioners. Page 2257 of 3896 Procurement Manual, Rev. #3.0 20 The Waiver Request Form is available on the Procurement Services Division SharePoint. In the judgment of the Procurement Services Division Director, contracts may be required for Waiver purchases. 12. RESERVED RIGHTS Collier County reserves the right in any solicitation to accept or reject any or all bids, proposals, or offers; to waive minor irregularities and technicalities; or to request resubmission. Also, Collier County reserves the right to accept all or any part of any bid, proposal, or offer, and to increase or decrease quantities to meet additional or reduced requirements of Collier County. Notwithstanding any other provisions of this Section, if none or only one responsive and responsible bid or proposal is received following any solicitation, the Procurement Services Division Director, reserves the right to reject all bids, proposals, or offers and to negotiate with any responsible providers to secure the best terms and conditions in the sole interest of the County unless otherwise provided by law. Rejection of Bids and Negotiation: a. The Procurement Services Division Director shall have authority to review all submittals in response to a County solicitation and to review these submittals for responsiveness, responsibility, price, and other factors in making a determination for Recommendation of Award. The Procurement Services Division Director may reject any submittal and cancel any solicitation at any time prior to a contract being signed or approved by the Board of County Commissioners. The Board of County Commissioners shall have the authority to reject any and all bids at any time. b. If the lowest, responsive bid exceeds the budgeted amount and, if the purchase is not funded in whole or in part with interagency grant dollars, the Procurement Services Division Director may negotiate changes with the apparent lowest responsible and responsive bidder that will bring prices into budgeted limits subject to the final approval and acceptance of the Board. If the budgeted amount includes grant funds, the Procurement Services Division Director shall be authorized to conduct such negotiations provided said actions are not prohibited by law or the grant conditions. All Notices of Recommended Award will be generated and posted by the Procurement Services Division Director prior to presentation of any contract for signature by the Board of County Commissioners. 13. UNSOLICITED PROPOSALS The Board incorporates by reference F.S. § 255.065, as may be amended from time to time, which addresses the procurement of services for qualifying projects through public-private partnerships, including through an offer of an unsolicited proposal. Page 2258 of 3896 Procurement Manual, Rev. #3.0 21 The Board shall by separate Resolution (Resolution No. 2016-85) establish all Application Fees referenced under F.S. § 255.065 that a private entity must pay concurrent with the submission of an unsolicited proposal. Payment shall be made by cash, cashier's check, or some other non-cancellable instrument. Personal checks shall not be accepted. The current Resolution sets a fee structure that shall include with any proposal submission a base application fee in the amount of .001 of the proposed project costs but not less than the sum of $10,000.00. To the extent that the cost to evaluate an unsolicited proposal is more than the Initial Application Fee adopted by Resolution, the County may request payment of any additional amounts required to conduct its review as provided in F.S. § 255.065. If the costs of processing, reviewing, and evaluating attorney fees, financial or technical adviser fees, or other consultant fees required to properly evaluate an unsolicited proposal exceed the base application fee, then the Procurement Services Division Director is authorized to charge a supplemental fee as long as no such supplemental fee exceeds an additional $10,000 without further authorization from the Board. 14. SMALL AND DISADVANTAGED MINORITY AND WOMEN BUSINESS ENTERPRISES 1. Policy Statement: Collier County stands committed to providing equal opportunities to small businesses and disadvantaged business enterprises (DBE), minority business enterprises (MBEs), and women business enterprises (WBEs) as well as to all vendors, consultants, contractors, and subcontractors who seek to do business with the County. Pursuant to this policy, Collier County encourages its vendors, consultants, contractors, and subcontractors to provide qualified small businesses and DBEs with an equal opportunity to participate in the formal competitive processes for the procurement of commodities and services by the County. The Policy is not intended to require or to allow partiality toward or discrimination against any small business or DBE, MBE, WBE, or any other vendor, consultant, contractor or subcontractor on the basis of gender, race or national origin, or other such factors, but rather to create an opportunity for small businesses and DBEs, MBEs, WBEs, and all qualified vendors, consultants, contractors and subcontractors to participate in the County's formal competitive processes. Nothing in this Policy shall be construed to provide for or require any preference or set-aside based on gender, race, national origin or any other such factor. 2. Implementing Measures: In an effort to implement this policy, the County may undertake the following measures: a. Designate the Procurement Services Division Director to administer this policy. b. Utilize outreach programs to identify, register and educate small businesses and DBEs, MBEs and WBEs to participate in the procurement/contract process which may include: Page 2259 of 3896 Procurement Manual, Rev. #3.0 22 (1) Attending trade fairs which include representatives from these enterprises. (2) Attending meetings and social events wherein these enterprises are present. (3) Utilizing publications aimed at reaching these enterprises. (4) Utilizing Purchasing Directories and other reference sources that list these enterprises. (5) Publicizing this Policy to encourage these enterprises to participate in the County's procurement process. (6) Other actions designed to identify opportunities for these enterprises who seek to provide commodities and services to the County. c. Maintain a list of these enterprises. d. Disseminate information regarding competitive opportunities with the County in order to allow qualified small businesses and DBEs, MBEs, and WBEs to participate in the County's procurement process. 3. Conformity with Applicable Law: The provisions of this section shall be construed in conformity with applicable state and federal law. To the extent that state law conflicts with federal law, federal law shall supersede such state law. 15. PROCEDURE TO PROVIDE PREFERENCE TO LOCAL BUSINESS IN COUNTY CONTRACTS Except where otherwise provided by federal or state law or other funding source restrictions or as otherwise set forth in this Procurement Ordinance, purchases of commodities and services shall give preference to local businesses in the following manner: 1. "Local Business" defined. Local business means the vendor has a current Business Tax Receipt issued by the Collier County Tax Collector prior to bid or proposal submission to do business within Collier County, and that identifies the business with a permanent physical business address located within the limits of Collier County from which the vendor's staff operates and performs business in an area zoned for the conduct of such business. A Post Office Box or a facility that receives mail, or a non-permanent structure such as a construction trailer, storage shed, or other non-permanent structure shall not be used for the purpose of establishing said physical address. In addition to the foregoing, a vendor shall not be considered a "local business" unless it contributes to the economic development and well-being of Collier County in a verifiable and measurable way. This may include, but not be limited to, the retention and expansion of employment opportunities, support and increase to the County's tax base, and residency of employees and principals of the business within Collier County. Vendors shall affirm in writing their compliance with the foregoing at the time of submitting their bid or proposal to be eligible for consideration as a "local business" under this section. A vendor who misrepresents the Local Preference status of its firm in a proposal or bid submitted to the County will lose the privilege to claim Local Preference status for a period of up to one year. 2. Preference in purchase of commodities and services by means of competitive bid, request for proposals, qualifications, or other submittals, and competitive negotiation and selection. Page 2260 of 3896 Procurement Manual, Rev. #3.0 23 Under any such applicable solicitation, bidders/proposers desiring to receive local preference will be invited and required to affirmatively state and provide documentation as set forth in the solicitation in support of their status as a local business. Any bidder/proposer who fails to submit sufficient documentation with their bid/proposal offer shall not be granted local preference consideration for the purposes of that specific contract award. Except where federal or State law, or any other funding source, mandates to the contrary, Collier County and its agencies and instrumentalities, will give preference to local businesses in the following manner: a. Competitive bid (local price match option). Each formal competitive bid solicitation shall clearly identify how the price order of the bids received will be evaluated and determined. When a responsible and responsive, non-local business submits the lowest price bid, and the bid submitted by one or more responsible and responsive local businesses is within ten percent of the price submitted by the non-local business, then the local business with the apparent lowest bid offer (i.e., the lowest local bidder) shall have the opportunity to submit an offer to match the price(s), less one (1) dollar, offered by the overall lowest, responsible and responsive bidder. In such instances, staff shall first verify if the lowest non-local bidder and the lowest local bidder are in fact responsible and responsive bidders. Next, the Procurement Services Division shall determine if the lowest local bidder meets the requirements of F.S. § 287.087 (Preferences to businesses with drug-free workplace programs). If the lowest local bidder meets the requirements of F.S. § 287.087, the Procurement Services Division shall invite the lowest local bidder to submit a matching offer, less one (1) dollar, within five (5) business days thereafter. If the lowest local bidder submits an offer that fully matches the lowest bid, less one (1) dollar, from the lowest non-local bidder tendered previously, then award shall be made to the local bidder. If the lowest local bidder declines or is unable to match the lowest non-local bid price(s), then award will be made to the lowest overall responsible and responsive bidder. If the lowest local bidder does not meet the requirement of F.S. § 287.087, and the lowest non-local bidder does, award will be made to the bidder that meets the requirements of the reference State law. b. Request for proposals, qualifications, or other submittals and competitive negotiation and selection. For all purchases of commodities and services procured through the Competitive Proposals or Competitive Selection and Negotiation methods not otherwise exempt from this local preference section, the RFP solicitation shall include a weighted criterion for local preference that equals 10 percent of the total points in the evaluation criteria published in the solicitation. Purchases of professional services as defined and subject to F.S. § 287.055 and audit and accounting services subject to F.S. § 11.45 shall not be subject to this local preference section. c. Should a tie bid occur between a non-local bidder and a local bidder, the County shall award the contract to the local bidder. Should a tie occur between two local bidders, the County will "flip a coin" in front of three (3) witnesses, between the Page 2261 of 3896 Procurement Manual, Rev. #3.0 24 two lowest bidders. The coin toss winner will be awarded the contract upon approval by the Board of County Commissioners. 3. Waiver of the application of local preference. The application of Local Preference to a particular purchase or contract may be waived upon approval of the Board of County Commissioners, or as identified where exempt from competitive process in SECTION EIGHT, or as otherwise provided by law. 4. Comparison of qualifications. The preferences established herein in no way prohibit the right of the Board of County Commissioners to compare quality of materials proposed for purchase and compare qualifications, character, responsibility, and fitness of all persons, firms or corporations submitting bids or proposals. Further, the preferences established herein in no way prohibit the right of the County Commission from giving any other preference permitted by law instead of the preferences granted herein. 5. Reciprocity. In the event Lee County, or any other Florida county or municipality ("local government") deemed appropriate by the Collier County Board of Commissioners, extends preferences to local businesses, Collier County may enter into an inter-local agreement with such local government wherein the preferences of this section may be extended and made available to vendors that have a valid occupational license issued by that specific local government to do business in that local government that authorizes the vendor to provide the commodities and services to be purchased, and a physical business address located within the limits of that local government. Post Office Boxes are not verifiable and shall not be used for the purpose of establishing said physical address. In addition to the foregoing, a vendor shall not be considered a "local business" unless it contributes to the economic development and well-being of the said local government whichever is applicable, in a verifiable and measurable way. This may include, but not be limited to, the retention and expansion of employment opportunities, the support and increase to that local government's tax base, and residency of employees and principals of the business located within the limits of that local government. Vendors shall affirm in writing their compliance with the foregoing at the time of submitting their bid or proposal to be eligible for consideration as a "local business" under this section. In no event shall the amount of the preference accorded other local government firms exceed the amount of preference that such local government extends to Collier County firms competing for its contracts. 6. Purview and administration of this Local Preference Policy. This policy shall apply to all departments and units under the direct purview of the Board of County Commissioners. For purchases of $50,000.00 or less, the Procurement Services Division shall systematically encourage departments to include local vendors when soliciting quotations in accordance with this policy. 7. This Policy shall not be utilized with respect to any competitive solicitation for construction services in which 50 percent or more of the cost will be paid from state-appropriated funds which have been appropriated at the time of the competitive solicitation. Page 2262 of 3896 Procurement Manual, Rev. #3.0 25 16. PAYMENT OF INVOICES 1. Agencies under the purview of the Board of County Commissioners shall be in compliance with F.S. § 218.70, otherwise known as the "Local Government Prompt Payment Act." Pursuant to this, the requirements of this section shall apply to the following transactions: a. The purchase of commodities and services. b. The purchase or lease of personal property. c. The lease of real property. d. Direct Material Purchase. 2. Should the County Manager intend to authorize minor payment variances between the purchase orders and invoices, this authority to pay such variances shall not exceed 5% of the purchase order amount or $500, whichever is less. All such variances need to be identified on the modified purchase order and are subject to approval by Procurement Services. 3. The County Manager or designee may pay freight and delivery charges not in compliance with the FOB destination terms contained in the County General Terms and Conditions as an exception. 4. It shall be the responsibility of the County Manager, in consultation with the Clerk's Finance Director and operating Divisions, to establish, procedures for the timely payment of all transactions as defined under subsection 16.1. Such procedures shall be contained in a separate Standard Operating Procedure and include, but are not limited to the following: a. Formally defining the County's requirements for the content and submission of a proper invoice, codifying the County's payment requirements, and notifying each vendor of their availability. b. Steps required for the receipt of all invoices and the prompt return of improper invoices. c. Steps required for the resolution of payment disputes between the County and a vendor. 5. Vendor Payment Dispute Resolution Process. The purpose of this section is to establish a procedure whereby payment disputes with vendors who provide goods and services to the County are resolved in a timely manner and in keeping with the Local Government Prompt Payment Act. a. Definitions. The definitions set forth in the Local Government Prompt Payment Act (F.S. § 218.72, 2016) are hereby incorporated by reference. b. If an improper payment request or invoice is submitted by a vendor, the County shall, within 10 days after the improper payment request or invoice is received, notify the vendor, in writing, that the payment request or invoice is improper and indicate what corrective action on the part of the vendor is needed to make the payment request or invoice proper. c. If the parties are unable to reach resolution on the payment dispute, the County Manager shall appoint a Hearing Examiner, to whom the matter will be referred. Page 2263 of 3896 Procurement Manual, Rev. #3.0 26 The Hearing Examiner shall have the sole and full authority to thereafter resolve the dispute. The proceedings before the Hearing Examiner to resolve the dispute shall commence within thirty-five (35) days after the date the payment request or improper invoice was received by the County and shall be concluded with final written decision by the Hearing Examiner within forty-five (45) days after the date the payment request or improper invoice was received by the County. These proceedings are not subject to F.S. ch. 120, and do not constitute an administrative hearing. Rather, these proceedings are intended to be quasi- judicial, open to the public, with the written decision of the Hearing Examiner being final, subject only to certiorari review. If the dispute is resolved in favor of the County, interest charges shall begin to accrue fifteen (15) days after the Hearing Examiner's final decision. If the dispute is resolved in favor of the Vendor, interest begins to accrue as of the original date the payment became due. d. If the County does not timely commence this dispute resolution process within the time required, a contractor may give written notice to the County of the failure to timely commence this dispute resolution procedure. If the County fails to commence this dispute resolution procedure within four business days after such notice, any amounts resolved in the contractor's favor shall bear mandatory interest, as set forth in F.S. ch. 218, from the date the payment request or invoice containing the disputed amounts was submitted to the County. If the dispute resolution procedure is not commenced within four (4) business days after the notice, the objection to the payment request or invoice shall be deemed waived. The waiver of an objection pursuant to this paragraph does not relieve a contractor of its contractual obligations. e. In an action to recover amounts due under this part, the court shall award court costs and reasonable attorney's fees, including fees incurred through appeal, to the prevailing party. f. The conduct of the Hearing Examiner proceedings, including notice, process, and criteria, shall be set forth in the Procurement Division's Policies and Procedures. 17. ADVANCE PAYMENTS FOR GOODS AND SERVICES Procedures for the pre-payment of goods and services with County funds including, but not limited to, dues and membership, insurance, maintenance agreements, subscriptions, travel arrangements, postage, and other purchases shall be as prescribed by the Department of Financial Services through their Administrative Rules. As provided for in F.S. § 28.235, the Procurement Ordinance “SECTION SEVENTEEN”, the Clerk of the Circuit Court is authorized to make advanced payments on behalf of the County for goods and services. Advanced payments may be made for other goods and services if approved in advance by both the Procurement Services Division Director and the Clerk of the Circuit Court Accounts Payable up to the Formal Competitive Threshold. The Board may review and approve requests for advanced payment above the Formal Competitive Threshold. Page 2264 of 3896 Procurement Manual, Rev. #3.0 27 The criteria for approval may include: a. Advance payment will result in a savings to the County, and/or, b. The goods or services are only available if the advance payment is made. Requests for approval of advance payment will be forwarded to the Procurement Services Division for approval and must include information indicating that the payment meets one of the above criteria and that the division has complied with the applicable procurement requirements. 18. STANDARDIZATION, COOPERATIVE PURCHASING AGREEMENTS AND GOVERNMENTAL CONTRACTS 1. Where standardization is determined to be desirable by the Board of County Commissioners, and the resulting action is either a Single or Sole Source procurement, the purchase of commodities may be made by negotiation with the approval of the purchase by the Board or, if under the Formal Competitive Threshold, with approval of the purchase by the Procurement Services Division Director. 1.1. Standardization may be the result of a formal evaluation process facilitated by the Procurement Services Division or the recognition of the historical use of a product as determined by the Procurement Services Division. 1.2. All Standardization requests require submittal of a Standardization Request Form and are subject to review by Procurement staff and approval by the Procurement Services Division Director. Approved Standardization requests may result in the need for a sole source or single source and may require further Board approval. 2. Annually, the Board of County Commissioners will approve a list of authorized purchasing cooperative organizations and governmental schedules and contracts. The Procurement Services Division Director may approve purchases using these approved cooperative organizations, agreements and contracts with no further action required by the Board providing that funds have been budgeted for these specific purposes. Additionally, the Procurement Services Division Director may join other public agencies in cooperative purchasing organizations and/or agreements if determined to be in the County's best interest, and if the consortium agreement has not had prior Board approval. The use of any new cooperative agreement must be approved by the Board prior to the use of the agreement. 19. CONTRACT ADMINISTRATION Purpose. The purpose for this section is to provide the steps necessary for the administration of contracts entered into by the County. This section is designed to advise employees of County procedures to ensure compliance with laws, rules, procedures, and regulations. Proper contract administration protects the rights of the parties and ensures that obligations of the parties are met. The goal is to achieve the best Page 2265 of 3896 Procurement Manual, Rev. #3.0 28 interest of Collier County citizens through the successful administration of contracts. The administration of County contracts involves the contribution of a variety of distinct disciplines and roles, including: • Organizational Management • County Project Management • Planning • Contract Development • Procurement Professionals • Financial Management • Audit Professionals • Contractor/Project Manager Governing Laws, Policies and Regulations. Collier County contracts shall be administered in accordance with procedures established in this Procurement Manual, the Collier County Procurement Ordinance (see Section 19, Contract Administration), and any applicable State and Federal law provisions. The requirements of this section serve as a guide in the administration of County contracts. If the terms of a Collier County contract differ, conflict, or are inconsistent with this Procurement Manual, the solicitation, or the purchase order, the documents shall be given precedence in the following order: 1. Procurement Ordinance 2. Contract 3. Solicitation 4. Purchase Order 5. Procurement Manual 1. Contract Document. Contracts are generally created under any of the following circumstances: a. Construction services and on-site services where the County prefers a contract and deems it in the best interest and protection of the County; b. For the procurement of commodities or services, resulting from informal or formal competition in excess of $100,000; c. In the best interest of the County to memorialize details of the transaction, or if an expenditure would benefit from specific written terms and conditions; and d. When required by law, policy, or other established regulations. Page 2266 of 3896 Procurement Manual, Rev. #3.0 29 1.1. Types of Contracts. In addition to the contracts defined in the Collier County Procurement Ordinance, Section Four, Definitions (Continuing Contract, Fixed-Fee Agreement, Lease Agreement, Lump Sum or Specific Project Agreement, Term Contract, Purchase Order Driven, and Work Order/Work Assignment), the following are additional types of contracts: Blanket Purchase Order shall mean a form of contract that encumbers appropriated funds directed to a single vendor to furnish or deliver commodities or services to the County on an as-needed basis without having to obligate itself to a total contract amount. Blanket Purchase Orders do not survive after the underlying contract expires. Concessionaire Agreement is a negotiated contract between a vendor and the County that gives the vendor the right to operate a specific business within the County's jurisdiction, subject to certain conditions. Construction Manager at Risk (CMR/CMAR) Agreement is a construction delivery method in which the County enters into separate contracts with the designer and builder, often at or about the same time so that both parties can collaborate. Selection is based on an evaluation of qualifications and price, and the contractor offers a Guaranteed Maximum Price (GMP) instead of a fixed bid. The Construction Manager at Risk is responsible and accepts risk for constructing the entire project for the GMP and the Contractor is responsible for assembling the team of suppliers and subcontractors. Design-Build Agreement is a delivery method for construction projects that combines the architectural, engineering, and construction services required for a project into a single contractual agreement. Revenue Generating Agreement shall mean a contract whose primary purpose is to generate revenue or to create a business opportunity for the County. 2. Administration. Pursuant to the Procurement Ordinance, Section Nineteen, Contract Administration, subsection 2, every procurement for goods and services shall be administered by the requesting Division through an appointed Contract Administrative Agent. 2.1. Roles and Responsibilities: 2.1.1. Originating Division Director is accountable for all contracts within his/her designated authority. The Division Director is responsible for the following, as applicable: a. Designating a Contract Administrative Agent for every contract under the division; b. In cases where two or more divisions are responsible for a contract, the parties will select a Contract Administrative Agent to serve on behalf of the divisions; c. Ensuring that the designated Contract Administrative Agent has a thorough understanding of the terms and conditions of the Contract and effectively manages the Contract in accordance with County procedures; Page 2267 of 3896 Procurement Manual, Rev. #3.0 30 d. Reviewing work orders, change orders, and amendments to confirm that the scope is in accordance with the scope of the contract; and e. Approving work orders, change orders, and amendments in accordance with County procedures. 2.1.2. Contract Administrative Agent may also be referred to as Project Manager. Unless otherwise noted, the Administrative Agent is responsible for the following, as applicable: a. Proper contract management and administration process; b. Developing the contract/project scope and specifications; c. Completing the necessary steps to request a new solicitation with the Procurement Division; d. Participating in the development of the Contract and writing draft documents for approval through the appropriate County procedures; d. Consulting with other divisions that may be affected by the Contract; e. Recommending an annual expenditure cap for the contract; f. Establishing a project kick-off/post-award meeting, if applicable, once a contract is approved; i. Managing contractor performance in accordance with the established terms and conditions; j. Managing, approving, and documenting any changes (change orders, amendment, and work orders) to the Contract; k. Initiating and participating in termination, renewals, extensions, and amendments process to the contract; l. Working with the Procurement Division to ensure that up-to-date insurance certificates and bonds are on file; m. Implementing “Corrective Action” when the Contractor is not in contract compliance; n. Communicating contract deficiencies to the Procurement Contract Manager, Contractor, Administrative Division Director, and appropriate County officials in a timely manner and in accordance with County procedures; o. Approving project reports and invoices for payment, unless that authority has been designated to another person; p. Completing closeout and vendor performance evaluation(s); and q. Working with the Vendor and the Clerk’s Finance Office to timely process payment and/or resolve payment issues. 2.1.2.1. The Contract Administrative Agent is not authorized to: a. Instruct the Contractor to start work before the Contract is fully executed and a purchase order has been issued; b. Change the scope of the Contract/Work Order without doing so through a formal amendment or change order; c. Direct the Contractor to perform work that is not specifically described and funded by the Contract/Work Order; Page 2268 of 3896 Procurement Manual, Rev. #3.0 31 d. Extend the term of the Contract/Work Order without an approved amendment or change order, unless otherwise approved in the agreement; e. Authorize the Contractor to incur any additional costs over the contract limit set by the Contract/Work Order, unless approved in accordance with the County’s approved procedures; and f. Order or direct the Contractor to supply goods and services not specifically itemized in the Agreement through the required Change Order or Amendment. 2.2. Procurement Contract Manager. The Procurement Services Division provides contract oversight to ensure that contracts and related documents presented for approval to the Collier County Board of County Commissioners and/or the County Manager or designee comply with applicable State and federal laws, and County policies and procedures. The Procurement Contract Manager is responsible for developing, implementing, distributing and revising the contract templates, contract Procurement Manual, standard operating procedures, contract administration training, and ancillary forms; coordinating the tracking of all County contracts; preparing contract amendments, extensions, renewals, assumption agreements, provides guidance on corrective action methods and terminations; assisting County offices with the interpretation and application of County, State, federal or other contract policies; coordinate with the County Attorney’s Office, and offering training and technical assistance services. 2.3. Contract Planning. The contract management process begins with the division providing Procurement a clear and concise performance-based scope of work or contract specifications. Generally, a scope of work refers to services being provided, while contract specifications refer to items that are going to be received. In either case, the scope of work or contract specifications should be the road map for successful contract management and administration. Planning for an effective contract administration process occurs prior to issuance of the solicitation or creating a contract. At a minimum, the scope of work or contract specifications should: a. Establish the County’s requirements; b. Provide a shared understanding of each party’s responsibilities; c. Include specific terms to evaluate the performance of the contract; d. Form the basis for contract administration and management; e. Be clear, complete, concise, and consistent, and written in plain English understandable to lay readers. Efficient contract administration ensures that the contract requirements are satisfied, the goods and services are delivered in a timely manner, and the financial interests of the County are protected. Effective contract administration minimizes or eliminates problems and potential claims and disputes. Page 2269 of 3896 Procurement Manual, Rev. #3.0 32 3. Contract Modifications. Section Nineteen, subsection 3 of the Procurement Ordinance dictates the requirements pertaining to modifications and amendments to Contracts, Work Orders, Change Orders, Purchase Orders, and the termination of contracts and is further outlined below. The County Manager, as needed, may request for all modifications to be presented to the Board through a stand-alone executive summary. Modifications and Amendments to Contracts, Work Orders, Change Orders and Purchase Orders 1. Contracts less than $50,000 (The limitations are cited in Section I above.)  The County Manager or designee is authorized to approve new contracts or agreements and amendments, extensions, and renewals of such contracts or agreements unless otherwise specified by action of the Board of County Commissioners. 2. Emergency procurements  The $50,000 limitation set forth above is waived in the event of an emergency procurement made pursuant to Section Eleven, subsection 8. of the Procurement Ordinance. 3. After-the-Fact-Procurement  Purchases not made in compliance with the County’s Procurement Ordinance will be reported to the County Manager and Board on the Procurement Services Administrative Ratification Report. 4. Assignments of contracts  For all Board approved contracts, the Board of County Commissioners shall approve all assignments of contracts.  The County Manager or designee is authorized to approve assignments of County Manager or designee- approved contracts. 5. Termination of contracts  Notices that terminate a Board-approved purchase or contract in its entirety must be approved by the Board of County Commissioners prior to termination.  Notices that terminate a County Manager or designee- approved purchase or contract in its entirety must be approved by the County Manager or designee prior to termination. Page 2270 of 3896 Procurement Manual, Rev. #3.0 33 6. Modifications, such as time (number of days) that are more than twenty percent (20%), and contract amounts that are more than ten percent (10%) of the current Board approved aggregate amount; • The modification is presented to the Board for approval by the requesting Division Contract Administrative Agent. • Example: The Board approved a contract for a total contract value of $200,000. Subsequently, Change Order #1 for $10,000 was approved by the County Manager or designee. Staff is proposing to increase the contract by an additional $20,000 in the form of Change Order #2. The change order will require approval by the Board, since the cumulative total of the two Change Orders is over 10%. • The 10% threshold is applied to the current Board approved contract amount. • See 3.1 Exclusions below. 7. Modifications, such as time (number of days) that are less than twenty percent (20%), and contract amounts that are less than ten percent (10%) of current Board approved aggregate amount; • Such modifications may be approved by the County Manager or designee and are presented to the Board on the Procurement Services Report for ratification approval. • Example: The Board approved a contract for a total contract value of $200,000. County Staff is proposing to increase the contract by $10,000 in the form of Change Order #1. The County Manager or designee may approve Change Order #1. • See 3.1. Exclusions below. 8. Authorization for the use of Board approved allowances and reallocation of funds between line items. • The modification is approved by the Procurement Services Division, without further Board approval, pursuant to Section Nineteen, subsection 3.c. of the Procurement Ordinance. 9. Material Changes in Scope of Board-approved contracts • Board approval is required, if the change meets the material Variance/Material Deviation definition. 10. Material Changes in Scope of non-Board approved contracts • County Manager or designee approval is required, if the change meets the material deviation definition and the total contract value does not exceed the threshold established in Section Three, subsection 3, of the Procurement Ordinance. Page 2271 of 3896 Procurement Manual, Rev. #3.0 34 • Material Variance/Material Deviation is a major variance, change, deviation, or substitution to a specification proposed by a bidder/offeror that gives the bidder/offeror a substantial advantage or benefit not enjoyed by all other bidder/offerors or that gives the procuring party something significantly different from what was specified in the solicitation. 3.1. Exclusions. Section Nineteen, subsection 3.e. of the Procurement Ordinance excludes the following contracts from the above reporting process: term contracts, fixed-fee contracts, or blanket purchase orders where the County desires to procure commodities and/or services on an as- needed basis without having to obligate itself to a total contract amount. Rather, such purchases shall be based on fixed unit prices or other predetermined pricing methods and shall be limited in quantity by the amount of funds appropriated in the budget of the operating Division(s). Such purchases shall be subject to all other provisions of the Procurement Ordinance. Application Example: An original contract was approved by the Board for as-needed services without an associated total contract value, only contingent upon the funds being allocated in the Board approved budget. A proposed Amendment to add an additional line item that is within the original scope of the services may be approved by the Contractor and County Manager or designee, without Board approval. 3.2. Amendments. A contract amendment is used to make modifications to the agreement between the County and the Contractor. All contract amendments must be in writing and approved by all appropriate parties. The Contract Administrative Agent will complete the Amendment Request Form and submit to the Procurement Services Division. The form is available on the Procurement Services Division SharePoint. 3.3. Change Orders. The Contract Administrative Agent may issue a Change Order and submit to the Procurement Services Division for approval. The Change Order must comply with the terms of the contract. The change order form is available on the Procurement Services Division SharePoint. 3.4. Contract Terminations. In the event the Contract Administrative Agent believes that it is no longer in the County’s interests to remain under contract with a Contractor, the Contract Administrative Agent may consider terminating the contract for convenience or cause, as authorized in the contract and Procurement Ordinance, as amended. Page 2272 of 3896 Procurement Manual, Rev. #3.0 35 3.4.1. Board Approved Contracts: Notices that terminate in its entirety a Board-approved purchase or contract must be approved by the Board of County Commissioners prior to termination 3.4.2. County Manager or Designee’s Approved Contracts: Notices that terminate in its entirety a County Manager or designee-approved purchase or contract must be approved by the County Manager or designee prior to termination. 4. Contract Extension. Contract extensions for Board-approved contracts for commodities or non-construction services are only permitted as authorized in the original contract and the Procurement Ordinance, as amended. 4.1. Board Approved Contracts: The Procurement Services Division Director may authorize the extension for a period not to exceed six (6) months (cumulatively) and be subject to the same terms and conditions set forth in the contract, if the extension period is provided for in the original contract. Any extension that exceeds six months (cumulatively) shall be approved by the Board of County Commissioners. 4.2. County Manager or Designee’s Approved Contracts: The Procurement Services Division Director may authorize the extension for a period not to exceed six (6) months (cumulatively) subject to the same terms and conditions set forth in the contract if 1) the extension period is provided for in the contract, and 2) the extension will not increase the contract value in excessive of $50,000, per fiscal year. 5. Contract Renewal. The Procurement Services Division Director shall authorize and execute renewals of contracts for commodities and/or services subject to the following conditions: a. That the Contractor has performed in a satisfactory manner and that the Procurement Services Division Director has received a request to renew from the Contractor or Project Manager verifying the Contractor's satisfactory performance. b. That the Board-approved contract pursuant to SECTION ELEVEN Paragraph 14 of the Collier County Procurement Ordinance, provided for a renewal and is renewed subject to the terms and conditions set forth in the initial contract. Cost and term modifications are addressed in the original solicitation document and/or resultant contract. c. That the renewal is done for a set period of time identified in the solicitation document and/or contract, commencing at the end of the contract period. d. That a contract under the formal competitive threshold with multiple renewal year option terms may be approved annually by the Procurement Services Division Director. Proposed renewals that fail to meet one or more of the conditions set forth herein will require the approval of the Board of County Commissioners. Page 2273 of 3896 Procurement Manual, Rev. #3.0 36 6. Contract Approval. All contracts for commodities and services exceeding SECTION ELEVEN Paragraph 14 of the Collier County Procurement Ordinance, Formal Competitive Threshold, shall be authorized by the Board of County Commissioners. Once approved, subsequent purchase orders referencing those Board approved contracts may be issued by the Procurement Services Division Director. Contracts below the formal competitive threshold, shall be subject to the review and approval by the County Attorney staff and signed by the Procurement Services Division Director. Purchase orders may be issued by the Procurement Services Division Director. No contractor may begin compensable work without an approved purchase order and Notice to Proceed (if applicable). 7. Work Orders. 7.1. The Contract Administrative Agent must comply with the terms of an approved continuing or fixed fee agreement, which authorizes a contractor or consultant to perform a specific task within the broader scope of the master agreement. Nothing in the work order shall conflict with the terms and conditions of the fixed fee contract, and all work performed must fall within the scope and term of the underlying agreement. 7.2. Work Assignments. Work Assignments through the Professional Service Library are administered by the Procurement Division under the protocol of the Procurement Manual, Section 11a. Procurement Method. The Contract Administrative Agent will comply with the rotation process established in the contract and in the Procurement Manual, Section 11a. Procurement Method. 7.3. Work Directives. A written directive issued to a contractor in instances where the parties cannot agree on price and/or costs associated with work arising from differing, unforeseen or emergency site conditions and the work in question is part of the “critical path” of the contract schedule. 7.3.1. The Contract Administrative Agent will issue a written work directive as a temporary instrument in limited instances where a formal, immediate unilateral authorization to the Contractor is required to keep the project moving forward. Generally, the use of work directive changes shall be limited to construction services agreements and specifically work items defined to be on the critical path of the contract schedule. A written directive is issued by the Contract Administrative Agent to a Contractor in instances where unforeseen or emergency site conditions or other circumstances that create a condition whereby the critical path of the project would be adversely affected if the work cannot move forward timely. 7.3.2. The Contract Administrative Agent shall process a Change Order resulting from the issuance of a Work Directive within sixty (60) business days and in accordance with the requirements of the Procurement Ordinance. 7.3.3. The Contract Administrative Agent may issue a verbal Work Directive only in extraordinary emergencies which shall be followed up with a written Work Directive within five Page 2274 of 3896 Procurement Manual, Rev. #3.0 37 (5) business days. The written document serves to ensure that the contractor is acknowledging the action that is being taken in the Work Directive and that they agree upon a price. Regardless of the impact, the Contract Administrative Agent shall negotiate a change order with the Contractor in follow-up to the work directive change. 7.3.4. In a project specific construction agreement, the original Substantial Completion is the number of days identified in the agreement and then formalized with a date in the Notice to Proceed. If situations arise wherein days should be added to allow the construction to reach Substantial Completion, then a Change Order (or Change Orders) should be processed prior to the Substantial Completion date. Change Orders processed to extend the Substantial Completion will also extend the Final Completion date. 7.4. Allowance. If the Contract Administrative Agent desires to use the allowance provided in the existing approved contract, the Contract Administrative Agent will process a change order. If the Contract Administrative Agent desires to reallocate funds between line items of the existing contract, except for the allowance, the Contract Administrative Agent will prepare a Change Order that identifies the affected line items, its current dollar values and the revised dollar amounts. The Procurement Services Division Director is authorized per the Procurement Ordinance, as amended, Section Nineteen, Contract Administration, subsection 3.c., to approve the reallocation of funds between line items without further Board approval. 8. Consent to Assignments of Contract. For all approved contracts, the Board of County Commissioners shall approve all assignments of contracts requested by the predecessor contracting party. 9. Authority Limitation and Delegation; Promulgation of Procedures: The Procurement Services Division Director may delegate to one or more Procurement Services Division employees any or all aspects of the authority vested in the Procurement Services Division Director. All authority to execute documents that is vested pursuant to this Section, in the Procurement Services Division Director or any other person shall be subject to the limits of any applicable federal, state or other law. 10. Payments to Contractors, Vendors and Consultants: Prior to the execution of a formal contract subject to the Procurement Ordinance and this Procurement Manual, the Procurement Services Division Director shall establish a formal payment schedule and payment terms within the agreement. Such terms and conditions shall be consistent with the requirements of all applicable laws and the formal solicitation documents. Page 2275 of 3896 Procurement Manual, Rev. #3.0 38 10.1. After contract award, the County shall pay Contractors for the services rendered in accordance with the terms and conditions set forth in the Contract, in an amount not to exceed that authorized by each Purchase Order, contingent upon an appropriation by the Collier County Board of County Commissioners. The County shall promptly notify Contractors if the necessary appropriation is not made. No Contractor shall begin compensable work without an issued purchase order for the project. 10.2. Retainage. In accordance with F.S. § 218.735(8), the Procurement Services Division Director may withhold from each progress payment made to the contractor an amount not exceeding 5 percent of the payment as retainage. The Procurement Services Division Director may establish, in writing, a schedule(s) to further reduce the percentage of cumulative retainage held throughout the course of the project schedule where warranted and according to law. Recommendation to reduce the percentage of cumulative retainage shall be subject to the following: a. Project Manager must submit a request to the Procurement Service Division Director for approval identifying the following: i. Whether the contractor has performed in a satisfactory manner. ii. List of any outstanding claims or disputes. iii. Contract Balance. iv. Retainage Balance. v. Date of Certificate of Substantial Completion with punch list, was fully executed. vi. Date of Final Completion. vii. Amount of any liquidated damages assessed or intend to waive. b. That any decision to reduce retainage shall be formally communicated in a letter to the Contractor's representative and that the letter affirmatively states that the Contractor has performed the contract work in a satisfactory manner. 11. County staff shall comply with Florida Statute Section 218.735. Timely payment for purchases of construction services. 12. Contract Disputes. In the event of conflicts or inconsistencies between this section or the dispute resolution language contained in the contract, the Collier County Procurement Ordinance shall be given precedence. 12.1. Payment Disputes. Should a Contractor payment dispute arise, the parties shall follow the process outlined in the Procurement Ordinance at Section Sixteen, subsection 5, Vendor Payment Dispute Resolution Process. 12.2. For all other contract disputes follow the process established in the corresponding contract. 12.3. Waiver of Liquidated Damages require approval of the Board of County Commissioners. Page 2276 of 3896 Procurement Manual, Rev. #3.0 39 13. Monitoring of Contract Performance and Deliverables. Monitoring of contract performance is a key function of efficient contract administration. It is essential to ensure that the Contractor is performing all duties in accordance with the Contract and the appropriate County staff members are aware of any developing problems or issues. During the life of the Contract, the Contract Administrative Agent should communicate regularly with the Contractor, monitoring whether the goods and services required of the Contract are being provided in accordance with the Contract and working to resolve any issues promptly. Whenever possible, the parties should seek to resolve disputes informally by direct discussion. It is essential for the Contract Administrative Agent to apply the Twelve Key Metrics that have been developed to assist in this effort and become part of any County/Contractor contract relationship. Twelve Key Metrics: 1. Customer Service - Provides excellent customer service to both the County staff and the public. 2. Contract Deliverables - Supplies the goods and services outlined in the agreement. 3. A Delivery Schedule - Maintains the agreed schedule and avoids delays. 4. Quality - Provides the highest level of quality of goods and services. 5. Billing and Invoicing - Submits detailed and accurate invoices matching the work performed. 6. Project Management - Consistently demonstrates the ability to stay on top of their process. 7. Subcontractor Management - Maintains a professional relationship with subcontractors. 8. Equipment and Resources - Provides the best available equipment to perform the work. 9. Materials Management - Demonstrates “best practice” in handling and storage. 10. Cost Control - Holds and manages cost to avoid exceeding budget projections. 11. Maintaining Technical Requirements - Monitors quality control of the products and process. 12. Safety Standards - Ensures staff is trained and properly equipped to perform the work safely. The Contract Administrative Agent should complete a Corrective Action Report when a Contractor is failing to meet any of the above Twelve Key Metrics and upload it in the County’s Vendor Evaluation database. 14. Contract Closeout. A contract is closed when all work described in the project scope is completed, when all contract dollars have been expended, or when the Contract is terminated. Page 2277 of 3896 Procurement Manual, Rev. #3.0 40 The Contract Administrative Agent is responsible for closeout activities, including but not limited to: • Validating all deliverables and services have been delivered and accepted; • Verifying all project reports have been received and accepted; • Confirming any claims and performance issues have been resolved and liquidated damages have been properly assessed for non-performance/non- compliance; • Validating Substantial and Final Completion; Final Payment Checklist; Substantial Completion; Warranty forms have been processed, if applicable; • Acceptance of a Contractor Transition Plan, outlining in detail the transfer of property to the County, project knowledge and training to be conducted with the appropriate County representatives, etc., if applicable; • Disposal of any County surplus property, in accordance with the County’s policies and procedures; • Completing a Contractor Performance Evaluation through the County’s vendor evaluation system; and • Conducting a debriefing with Contractor. 20. PERFORMANCE AND PAYMENT BONDS A contractor or vendor shall provide a surety bond from a surety company to guarantee full and faithful performance of a contract obligation and the payment of labor and material expended pursuant to a contract whenever, and in such amounts, as required by statute or otherwise as deemed necessary by the Procurement Services Division Director. An irrevocable letter of credit from a financial institution operating within the State of Florida (or other alternative forms of surety as permitted under Florida law) may be sufficient in place of the performance bond if so provided for in the bid and contract documents. All such bonds or letters of credit shall be approved as to form by the County Attorney and held by the Clerk's Board Minutes and Records Department. 20.1. Construction Contracts Bonds. Fla. Stat. §255.05, requires that County construction or repairs of public building projects valued at $200,000 require a performance and payment bond. The Contractor is required to provide the Procurement Services Division with a certified bond prior to Board of County Commissioner approval. The Procurement Services Division will include the certified bond with the contract to be presented to the Board for approval. All other Contract Bonds, as required, must be provided prior to any Board approval of a contract. The bond will be included as part of the Purchase Order requisition. 20.2. Insurance. Evidence of insurance is required of contractors to protect County assets, County employees and the public from losses for property damage, bodily injury, loss of use, business interruption and financial loss. The amount of insurance coverage required for each contract will be specified by the County’s Risk Management Division. Insurance certificates will be required and reviewed by Risk prior to the approval of any contract. During the life of the contract, the Contractor is required to maintain all the specified insurance requirements. Page 2278 of 3896 Procurement Manual, Rev. #3.0 41 21. UNAUTHORIZED PURCHASES All purchases made shall be consistent and in compliance with the Procurement Ordinance. Any purchase or contract made contrary to the provisions hereof and contrary to Florida law shall not be approved and the County shall not be bound thereby. County employees and officers are expected to ensure they do not make a purchase of commodities or services or execute a contract for commodities or services in conflict with the Procurement Ordinance. When a purchase transaction is found to be not in conformance with the Procurement Ordinance or Procurement Manual, the Procurement Services Division Director will consider the facts pertaining to the transaction, and in consultation with the Operating Division Director, will determine whether it is in the best interests of the County to proceed with the purchase. If a determination is made to proceed with the purchase, the purchase will be evaluated based on purchasing thresholds. The Procurement Services Division Director may approve the purchase if the value is less than the Formal Competitive Threshold. If the purchase value exceeds the formal competitive threshold, the Operating Division Director will create an Executive Summary for final Board review and approval. Should work be authorized or purchases made not in conformance with County Policy, an After-the- Fact Procurement Form is required. This includes purchases made in advance of a Purchase Order, when a Purchase Order is required to authorize such activity, and purchases made under an expired contract, or for goods and services not covered by the current contract or purchase order. All such “After the Fact Procurements” will be reported to the County Manager. All employees making purchases not in conformance with the Procurement Ordinance and Procurement Manual are subject to the provisions of CMA 5311.1 - 2 Standards of Conduct, and the Ethical Standards outlined in Section 7 of this Procurement Manual. Failure or refusal to abide by the administrative procedures or business operations procedures contained within the Procurement Ordinance and the Procurement Manual subject the employee to the Human Resources Practices and Procedures which may lead to disciplinary action up to and including discharge. 22. PROHIBITION AGAINST SUBDIVISION No contract or purchase shall be subdivided to avoid seeking the proper approval from the designated authority, or to avoid the requirements of this Procurement Ordinance or of Federal or State law. 23. PROTESTS The purpose of this section is to accommodate legitimate protests concerning formal competitive solicitations and recommended contract awards prior to award of a contract by the Board of County Commissioners. 1. Any respondent to an ITB, ITN, RFP, IFQ, or RPS who alleges to be aggrieved in connection with the solicitation or award of a contract, (hereafter referred to as "the protesting party") Page 2279 of 3896 Procurement Manual, Rev. #3.0 42 may protest to the Procurement Services Division Director, who shall serve as the sole recipient of any and all notices of intent to protest and all formal protests. 2. With respect to a protest of the terms, conditions and specifications contained in a solicitation, including any provisions governing the methods for evaluation of bids, proposals or replies, awarding contracts, reserving rights for further negotiation or modifying or amending any contract, the protesting party shall file a notice of intent to protest within three (3) days, excluding weekends and County holidays, after the first publication, whether by posting or formal advertisement of the solicitation. The formal written protest shall be filed within five (5) days of the date the notice of intent is filed. Formal protests of the terms, conditions and specifications shall contain all of the information required for the Procurement Services Division Director to render a decision on the formal protest and determine whether postponement of the bid opening or proposal/response closing time is appropriate. The Procurement Services Division Director's decision shall be considered final and conclusive unless the protesting party files an appeal of the Procurement Services Division Director's decision. 3. Any actual bidder or respondent who desires to protest a recommended contract award shall submit a notice of intent to protest to the Procurement Services Division Director within three (3) calendar days, excluding weekends and County holidays, from the date of the initial posting of the Notice of Recommended Award. 4. All formal protests with respect to a recommended contract award shall be submitted in writing to the Procurement Services Division Director for a decision. Said protests shall be submitted within five (5) calendar days, excluding weekends and County holidays, from the date that the notice of intent to protest is received by the Procurement Services Division Director, and accompanied by the fee, as set forth below. The protesting party must have standing as defined by established Florida case law to maintain a protest. The formal protest shall contain, but not be limited to the following information: a. Name and address of County Agency affected and the solicitation number and title. b. The name and address of the protesting party. c. A statement of disputed issues of material fact. If there are no disputed material facts, the written letter must so indicate. d. A concise statement of the ultimate facts alleged and of any relevant rules, regulations, statutes, and constitutional provisions entitling the protesting party to relief. e. The protesting party's entitled demand for the relief. f. Such other information as the protesting party deems to be material to the issue. The formal protest shall contain all arguments, facts or data supporting and advancing the protestor's position. Under no circumstances shall the protestor have the right to amend, supplement or modify its formal protest after the filing thereof. Nothing herein shall preclude the County's authority to request additional information from the protesting party or other bidders or proposers in conjunction with the review and rendering of decisions on the protest, including any subsequent appeal. Page 2280 of 3896 Procurement Manual, Rev. #3.0 43 5. In the event of a timely protest of contract award consistent with the requirements of this section, the Procurement Services Division Director shall not proceed further with the award of the contract until all appropriate administrative remedies as delineated under this section have been exhausted or until the Board of County Commissioners makes a determination on the record that the award of a contract without delay is in the best interests of the County. During this process, the protesting party shall limit their communications with the County to the Office of the County Attorney, and neither the protesting party, their agents or their representatives shall have any private contact or discussions with individual County Commissioners, the County Manager, other County employees, or any independent hearing officer (where applicable) regarding the protest except such communications as may be required or permitted during a hearing, if applicable, or a meeting of the County Commission wherein the solicitation or award is to be considered. 6. The Procurement Services Division Director shall review the merits of each timely protest and in consultation with the Contract Manager and other appropriate County staff, issue a decision stating the reasons for the decision and the protesting party's rights of appeal under this section. Said decision shall be in writing and mailed or otherwise furnished to the protesting party. The decision of the Procurement Services Division Director shall be final and conclusive unless the protesting party delivers a subsequent written notice of appeal to the County Manager within three (3) calendar days, excluding weekends and County holidays from the date of receipt of the decision. In filing a written objection to the Procurement Services Division Director's decision, the protestor shall not introduce new arguments or alter in any other way their protest submission. An appeal of the Procurement Services Division Director's decision shall be limited to a review of the grounds set forth in the formal protest, and no new grounds or arguments will be introduced or considered. 7. In the event of a subsequent appeal pursuant to section 6 above, the County Manager shall determine whether to appoint an independent Hearing Officer to review the formal protest and the Procurement Services Division Director's decision. The Hearing Officer's review shall be limited to the grounds set forth in the formal protest. The protesting party shall have the burden of proof. The Hearing Officer shall consider the formal protest, the Procurement Services Division Director's decision, and supporting documents and evidence presented at the hearing. In any hearing, irrelevant, immaterial, or unduly repetitious evidence shall be excluded. All other evidence of a type commonly relied upon by reasonably prudent persons in the conduct of their affairs shall be admissible whether or not such evidence would be admissible in a trial in the courts of Florida. The Hearing Officer may grant the motion of any person having standing under Florida law to intervene in the proceedings. Persons or parties shall have the right to be represented by counsel in the proceedings, to call witnesses, and present evidence; provided, however, that the Hearing Officer shall not have the right to compel attendance of witnesses or to permit or compel any discovery. The Hearing Officer will have a maximum of sixty (60) days to schedule and conduct a hearing into the matter and issue a recommended finding of fact and an opinion in writing to the County Manager or designee for submission to the Board of County Commissioners. Should the Hearing Officer find in favor of the County, the protesting party shall pay, in full, the costs of the Hearing Officer. If the Hearing Officer's recommended decision is in favor of the protesting party, then the County will assume this cost. Page 2281 of 3896 Procurement Manual, Rev. #3.0 44 The County Manager's discretion as to whether to appoint a Hearing Officer shall in no way afford the protestor the right to demand such an appointment or hearing. The decision of a Hearing Officer on a protesting party's appeal shall be submitted to the Board for its consideration as part of a final award decision. Nothing herein shall be construed as creating a right of judicial review of the Hearing Officer's decision, nor shall such decision be binding upon the Board. Additionally, nothing herein shall be construed as limiting the Board's right to reject any and all bids or proposals. 8. Decisions of the Procurement Services Division Director and Hearing Officer (where applicable) will be provided to the protestor prior to the award recommendation being presented to the Board of County Commissioners. Neither the County Manager's decision nor the Hearing Officer's recommended decision shall be construed as an award recommendation triggering additional rights of protest pursuant to this policy. Notwithstanding anything set forth herein to the contrary, the Board of County Commissioners shall retain the authority to make the final award decision. 9. Failure to file a formal protest within the time and manner prescribed by this policy shall constitute a waiver of the right to protest by any protesting party as defined by subsection "A" of this policy. 10. As a condition of filing a formal protest to the Procurement Services Division Director, the protesting party shall submit a non-refundable filing fee for the purpose of defraying the costs of administering the protest. The filing fee shall be submitted with the formal protest. Failure to pay the filing fee shall result in the denial of the protest. The amount of the filing fee shall be as follows: Estimated Contract Amount Filing Fee $250,000.00 or less $500.00 $250,000.01 to $500,000.00 $1,000.00 $500,000.01 to $5 million $3,000.00 $5 million or more $5,000.00 This fee may be modified by Resolution of the Board of County Commissioners. 24. CONTRACT CLAIMS All actual or prospective claims arising against the County from contractors, vendors, or any other party in direct privity with the County to provide goods or services shall first be directly addressed by the parties' administrative representatives in a manner consistent with the agreement between the parties. For any prospective or actual claims or disputes arising under any contract entered into by the County, the Procurement Services Division Director must determine the facts of the dispute. All contract claims should follow the County’s Vendor Payment Dispute Resolution Process outlined in SECTION SIXTEEN, subsection 5 of the Collier County Procurement Ordinance. Page 2282 of 3896 Procurement Manual, Rev. #3.0 45 25. INSPECTION AND TESTING The Procurement Services Division Director or designee shall inspect, or supervise the inspection of, or cause to be inspected, all deliveries of commodities or services to determine their conformance with the specifications set forth in an order or contract. 1. Inspection by Operating Department: The Procurement Services Division Director shall authorize operating departments to inspect, prior to use, all deliveries made to such operating departments under rules and regulations which the Procurement Services Division Director shall prescribe. 2. Testing: The Procurement Services Division Director shall have the authority to require chemical and physical tests of samples submitted with bids and samples of deliveries which are necessary to determine their quality and conformance with specifications. In the performance of such tests, the Procurement Services Division Director shall have the authority to make use of laboratory facilities of any Agency of the County or of any contracted outside laboratory. 26. PURCHASING CARD PROGRAM (Also refer to CMA #5808) The Procurement Services Division Director shall be responsible for the overall management and operation of the County's purchasing card program in conformance with the Collier County Administrative Practices and Procedures Manual. For the purpose of this Procurement Manual, a purchasing card is a credit card officially assigned to specific employees under the purview of the Board of County Commissioners' agency for the purpose of transacting small and/or strategic purchases. The Procurement Services Division Director shall be authorized to assign cards to employees for these purchases. The Procurement Services Division Director shall be responsible for establishing the following dollar limits for each assigned card: 1. Single Transaction Limit: Not to exceed $3,000.00 per card for Staff, $5,000.00 per card for Managers, and $10,000.00 per card for Directors/Department Heads, unless otherwise authorized by the Procurement Services Division Director. 2. Monthly Spending Limit: Not to exceed $10,000.00 per card for Staff, $15,000.00 per card for Managers, and $25,000 per card for Directors/Department Heads, unless otherwise authorized by the Procurement Services Division Director. 3. Strategic Purchases: The Procurement Services Division Director may utilize (or delegate the authority to other Agency staff to utilize) a purchasing card to place orders that exceed the limits set forth under this section in instances where one or more of the following is true: a. The purchase is to address a valid public emergency; or b. The County will earn revenue through card program rebates; or c. A vendor is requiring the County to order by purchasing card. 4. Sales Tax Compliance: Pursuant to F.S. § 212.08(6), County purchases transacted with vendors within the State of Florida are exempt from the State sales and use tax. In such instances, it is the responsibility of the cardholder to provide the vendor with the appropriate tax exemption information when the card is presented to the vendor. In the event that the cardholder fails to provide the vendor Page 2283 of 3896 Procurement Manual, Rev. #3.0 46 with the appropriate tax exemption information when the card is presented the cardholder may be responsible for payment of the tax. It is not cost effective or in the public interest to require a cardholder to seek a credit for sales tax collected when the total sale does not exceed $300. In the event that the total sale exceeds $300, the cardholder's Director is responsible to ensure the tax is returned to the County for the purchase. In all such instances, the Procurement Services Division Director shall ensure that the purchase has been approved subject to all other provisions of this policy. All fixed assets purchased using a purchasing card shall be properly reported to the Fixed Assets Section of the Clerk of Courts Finance Division so that it can be properly recorded. 27. CONFLICT OF INTEREST The procurement of goods and services shall comply with all applicable state, local and federal laws concerning ethics and conflict of interest. Refer to section 7 of this Procurement Manual titled “Ethical Standards”. 28. DEBARMENT AND SUSPENSION The County Manager may suspend and/or debar vendors, contractors, consultants and other interested and affected persons from active participation in obtaining County contracts upon approval of the Board. The purpose of any such action shall be to protect the County's interests and the integrity of the County's contracting process. The suspension and debarment processes shall be considered to be separate from and in addition to the award evaluation and vendor performance evaluation processes. 1. Definition of Terms: For the purposes of this section, the following terms have been defined as follows: a. Affiliate refers to associated business entities or individuals that control or could control the contractor or are controlled by the contractor or could be controlled by the contractor. b. Civil Judgment refers to a judgment or finding of a civil offense by any court of competent jurisdiction. c. Contractor means any individual or legal entity that: (1) Directly or indirectly (e.g.; through an affiliate), submits offers for or is awarded, or reasonably may be expected to submit offers for or be awarded, a County contract for construction or for procurement of commodities and services, including professional services; or (2) Conducts business, or reasonably may be expected to conduct business, with the County as an agent, surety, representative or subcontractor of another contractor. d. Conviction means a judgment or conviction of a criminal offense, felony, or misdemeanor, by any court of competent jurisdiction, whether entered upon a verdict or a plea and includes a conviction entered upon a plea of nolo contendere. Page 2284 of 3896 Procurement Manual, Rev. #3.0 47 e. Debarment means action taken by the County to exclude a contractor from County contracting and County-approved subcontracting for a reasonable, specified period as provided herein. f. Preponderance of the Evidence means proof by information that, compared with that opposing it, leads to the conclusion that the fact at issue is more probably true than not. g. Subcontractor: Any individual or legal entity that offers or agrees to provide commodities or services to a party deemed to be a contractor under this section. h. Suspension refers to action taken by the County Manager to temporarily disqualify a contractor from County contracting or County-approved subcontracting pending action of the Board. 2. Suspension: The Procurement Services Division Director shall recommend to the County Manager the suspension of a contractor, subcontractor, or person from consideration for award of contracts if there appears to be a reasonable basis for debarment as set forth herein. If a suspension precedes a debarment, the suspension period shall be considered in determining the debarment period. The suspension period shall not exceed six (6) months without the approval of the Board of County Commissioners. 3. Debarment: a. Causes for Debarment: The prospective causes for debarment include one or more of the following: (1) Conviction for commission of a criminal offense as an incident to obtaining or attempting to obtain a public or private contract or subcontract, or in the performance of such contract or subcontract. (2) Conviction under state or federal law of embezzlement, theft, forgery, bribery, falsification, or destruction of records, receiving stolen property, or any other offense indicating a lack of business integrity or business honesty which currently, seriously and directly affects responsibility as a contractor. (3) Conviction under state or federal antitrust laws arising out of the submission of bids, proposals, or other competitive offers. (4) Violation(s) of County contract(s) provisions, which is (are) deemed to be serious and to warrant debarment, including the failure, without good cause, to perform in accordance with the terms, conditions, specifications, scope, schedule, or any other provisions of the contract(s). (5) Refusal to provide bonds, insurance or other required coverage and certifications thereof within a reasonable time period. (6) Refusal to accept a purchase order, agreement, or contract, or perform accordingly provided such order was issued timely and in conformance with the solicitation and offer received. (7) Presence of principals or corporate officers in the business of concern, who were principals within another business at the time when the other business was suspended or debarred within the last three (3) years under the provisions of this section. Page 2285 of 3896 Procurement Manual, Rev. #3.0 48 (8) Violation of the ethical standards set forth under applicable state or county laws. (9) Debarment of the contractor by another public agency. (10) Submitting false invoices or invoices that mislead, misrepresent the true costs incurred, or falsely identify either a source of material or a provider of a service. (11) Any other cause deemed to be so serious and compelling as to materially affect the qualifications or integrity of the contractor. b. Procedure: (1) The County department/division requesting the suspension or debarment action shall submit to the Procurement Services Division Director a written complaint setting forth the reason(s) for seeking debarment. (2) The Procurement Services Division Director shall review the complaint, verify whether it is compliant with the provision of this Procurement Ordinance, direct any appropriate changes, and, if warranted, forward the complaint to the contractor. (3) The contractor shall review the complaint and shall provide a written response (with supporting documentation) to each allegation. The response shall be provided to the Procurement Services Division Director within ten (10) business days of receipt of the notice of allegations. In the event that the contractor fails to respond to the complaint within the prescribed time period, the complaint, as forwarded to the contractor, shall become an effective suspension or debarment decision without further appeal. (4) In the event that the contractor files a timely and complete response to the complaint and the suspension or debarment action is based upon a conviction, judgment, or other event(s) where there is no significant dispute over material facts, the Procurement Services Division Director shall determine the period of debarment on the basis of the undisputed material information set forth or referenced in the complaint, the contractor's reply and the parameters set forth in this section. In the event that the Contractor objects to the Procurement Services Division Director's recommendation, the Contractor shall have a maximum of three (3) business days to file an appeal of the debarment decision with the Procurement Services Division Director. The appeal will be forwarded to and considered by the County Manager, who will review the record compiled by the initiating department/division and the contractor. Should the County Manager overturn the Procurement Services Division Director's decision, the County Manager shall formally cite the reasons for doing so. (5) In the event that the contractor files a timely and complete reply to the complaint and where the facts are in dispute, the Procurement Services Division Director will convene a committee (hereinafter referred to as "the committee") consisting of at least three individuals who will review the complaint and the contractor's reply. The County Manager shall formally appoint the committee, which will generally consist of County employees, none of whom shall be a member of the department/division initiating the complaint. At the discretion of the County Manager, a member from private industry with a particular area of Page 2286 of 3896 Procurement Manual, Rev. #3.0 49 relevant expertise may be appointed to the committee, provided that this member is not a direct or indirect competitor of the firm in question. The Office of the County Attorney shall appoint a representative to attend the committee’s review of the findings. The representative shall not be considered a voting member of the committee, but shall be available to provide legal counsel to the committee as necessary. All members appointed to serve on the debarment committee shall disclose, to the Procurement Services Division Director any actual or prospective conflicts of interest at the time of appointment or at the time in which the member becomes aware of the actual or prospective conflict. (6) The Procurement Services Division Director shall chair the committee and serve as the Procurement Department's representative to the committee. The Procurement Services Division Director shall preside over and facilitate the deliberations of the committee as a non-voting member and serve as the County's liaison to the Contractor. All voting committee members are prohibited from having any communication regarding the issue outside the committee deliberations with any of the parties involved in the specific suspension or debarment or their representatives until after the committee decision has been issued or, in the event of an appeal of that decision by the contractor, until the conclusion of the appeal process. All committee deliberations are subject to F.S. § 286.011. (7) Where the material facts are in dispute, the committee shall evaluate the evidence, judge the credibility of witnesses, and base its decision upon the preponderance of the evidence. Should the contractor fail to appear at the hearing, the contractor shall be presumed to be non-responsive and shall be subject to suspension or debarment. The committee decision shall be by a majority vote of those voting members in attendance. The committee shall be the sole trier of fact. In the event that the committee decides to impose a debarment, the decision will formally include, but not be strictly limited to the following information: (i) The specific reasons for the action; (ii) The scope of the debarment; and (iii) The period of debarment, including the effective and expiration dates. The committee's decision shall be issued in writing within twenty (20) business days of the conclusion of the hearing unless the committee extends this period for good cause. (8) The Procurement Services Division Director shall forward the committee's decision to the contractor and affiliates involved. Should the contractor object to the committee's decision, the contractor shall have a maximum of three (3) business days to file an appeal of the decision with the Procurement Services Division Director. The appeal will be forwarded to and considered by the County Manager, who will review the record compiled by the initiating department, the contractor, and the committee. Page 2287 of 3896 Procurement Manual, Rev. #3.0 50 Should the County Manager overturn the committee's decision; the County Manager shall formally cite the reasons for doing so. Final recommendation for debarment shall be approved by the Board. c. Debarment Period: (1) The committee shall recommend the period of debarment. The debarment period shall be commensurate with the severity of the cause(s) and approved by the Board. (2) The committee (having the same or different composition) may recommend to the Board a reduction in the debarment period upon a written request from the contractor to do so, based on one or more of the following reasons: (i) Newly discovered material evidence; (ii) A reversal of the conviction, civil judgment, or other action upon which the debarment was based; (iii) Bona fide change in ownership or management; (iv) Elimination of other causes for which the debarment was imposed; or (v) Other reasons that the committee might deem appropriate. The contractor's request shall be submitted to the Procurement Services Division Director in writing and shall be based on one or more of the aforementioned reasons. 3. The decision of the Board regarding a reduction of the debarment period is final and not subject to appeal. d. The Effects of Debarment: (1) Debarred contractors are excluded from receiving County contracts. Departments shall not solicit offers from, award contracts to, or consent to subcontractors with debarred contractors. Debarred contractors are excluded from conducting business with the County as agents, representatives, subcontractors, or partners of other contractors. (2) The Procurement Services Division shall maintain a list of firms placed under a Suspended or Debarred category and shall make that list known as a public record. (3) Divisions may not renew or otherwise extend the duration of current contracts with debarred contractors in place at the time of the debarment unless the Board determines that it is in the best interests of the County to allow the contractor to continue or finish the work within an additional, limited period of time. (4) When a debarred contractor is proposed as a subcontractor for any subcontract subject to County approval, the department shall not consent to subcontracts with such contractors. (5) The County shall not be responsible for any increases in contract costs or other expenses incurred by a contractor as a result of rejection of proposed subcontractors, provided that the subcontractor was debarred prior to the submission of the applicable bid or proposal offer. Page 2288 of 3896 Procurement Manual, Rev. #3.0 51 e. The Scope of Debarment: Debarment applies to all officers, Directors, Managers, principals, Procurement Services Division Directors, partners, qualifiers, divisions, or other organizational elements of the debarred contractor, unless the debarment decision is limited by its terms to specific divisions, organizational elements, or commodity/services. The committee's decision includes any existing affiliates of the contractor if they are specifically named and are given written notice of the proposed debarment and an opportunity to respond. Future affiliates of the contractor are subject to the pre-existing terms of the committee's decision. 29. WAIVER OF ORDINANCE The Board of County Commissioners shall have the authority to waive any and all Procurement Ordinance provisions within lawful guidelines and upon formal Board action. 30. CONFLICT AND SEVERABILITY In the event this Procurement Manual conflicts with any other ordinance of Collier County or other applicable law, the more restrictive shall apply. If any phrase or portion of the Procurement Manual is held invalid or unconstitutional by any court of competent jurisdiction, such portion shall be deemed a separate, distinct, and independent provision and such holding shall not affect the validity of the remaining portion. END Page 2289 of 3896 To Whom It May Concern: The Collier County Board of County Commissioners, at its duly noticed meeting on September 23, 2025, authorized the County Manager, Amy Patterson, to be designated as the County’s Chief Official for all matters relating to the Justice Assistance Grant (JAG) – Byrne Grant Program. This authorization includes, but is not limited to, executing, submitting, and signing on behalf of Collier County any and all required applications, agreements, certifications, assurances, reports, amendments, and other documents necessary to administer and implement the Justice Assistance Grant (JAG) – Byrne Grant Program. This designation shall remain in effect until modified or rescinded by the Board of County Commissioners. If you have any questions regarding this authorization, please call the Community and Human Services Division at 239-252-7223. Sincerely, Burt Saunders, BCC Chairman Page 2290 of 3896 Page 2291 of 3896