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Home My WebLink About2018-10-30 Meeting Minutes Public Safety Committee Meeting Commission Chamber - 10/30/2018 ATTENDANCE: Present: Hons. Hardie Davis, Jr., Mayor; D. Williams, Chairman; Jefferson and Sias, members. PUBLIC SAFETY 1. Presentation from the Task Force for The Preservation of 401 Walton Way. (Requested by Judge Carl C. Brown, Jr.) Item Action: Approved Motions Motion Type Motion Text Made By Seconded By Motion Result Approve Motion to approve receiving this item as information. Motion Passes 3-0. Commissioner Sammie Sias Commissioner Andrew Jefferson Passes 2. Motion to award RFP 18-237 (911 Ergonomic Workstation Program) and to authorize purchase. Item Action: Approved Motions Motion Type Motion Text Made By Seconded By Motion Result Approve Motion to approve. Motion Passes 3-0. Commissioner Andrew Jefferson Commissioner Sammie Sias Passes 3. Approve the application and acceptance of annual grant funds in the amount of $50,000.00 from the Emergency Management Performance Grant (EMPG) and authorize the Mayor to execute the necessary documents. Item Action: Approved Motions Motion Type Motion Text Made By Seconded By Motion Result Approve Motion to approve. Motion Passes 3-0. Commissioner Andrew Jefferson Commissioner Sammie Sias Passes 4. Accept an award in the amount of $31,696.00 from Edward Bryne Memorial Justice Assistance Grant (JAG) Program for the Richmond County Sheriff's Office. The monies will assist RCSO in purchasing additional Body Cameras. Item Action: Approved Motions Motion Type Motion Text Made By Seconded By Motion Result Approve Motion to approve. Motion Passes 3-0. Commissioner Andrew Jefferson Commissioner Sammie Sias Passes 5. Approve contract with Tyler Technologies to implement Eagle Recorder for the Clerk of Superior, State & Juvenile Court. Item Action: Approved Motions Motion Type Motion Text Made By Seconded By Motion Result Approve Motion to approve. Motion Passes 3-0. Commissioner Sammie Sias Commissioner Andrew Jefferson Passes 6. Motion to approve the purchase of a Natural Gas Generator at a cost of $30,805.00 for Fire Station 9 from Elite Energy Systems. Bid Item 18-241 Item Action: Approved Motions Motion Type Motion Text Made By Seconded By Motion Result Approve Motion to approve. Commissioner Andrew Jefferson Commissioner Sammie Sias Passes Motion Passes 3-0. 7. Motion to approve the minutes of the Public Safety Committee held on October 9, 2018. Item Action: Approved Motions Motion Type Motion Text Made By Seconded By Motion Result Approve Motion to approve. Motion Passes 3-0. Commissioner Andrew Jefferson Commissioner Sammie Sias Passes 8. Motion to approve a partnership between the Augusta Judicial Circuit Adult Felony Mental Health & Veterans Court Programs and Family Counseling Center of the CSRA. This partnership will provide the court programs access to qualified licensed professional consultants that will provide state court certification required services to the participants of the Adult Felony Mental Health and Veteran’s Court Treatment Court Programs. Item Action: Approved Motions Motion Type Motion Text Made By Seconded By Motion Result Approve Motion to approve. Motion Passes 3-0. Commissioner Andrew Jefferson Commissioner Sammie Sias Passes www.augustaga.gov Public Safety Committee Meeting 10/30/2018 1:10 PM Attendance 10/30/18 Department: Presenter: Caption: Background: Analysis: Financial Impact: Alternatives: Recommendation: Funds are Available in the Following Accounts: REVIEWED AND APPROVED BY: Public Safety Committee Meeting 10/30/2018 1:10 PM The Preservation of 401 Walton Way Department: Presenter:Judge Carl C. Brown, Jr. and Mr. Jim Hull Caption:Presentation from the Task Force for The Preservation of 401 Walton Way. (Requested by Judge Carl C. Brown, Jr.) Background: Analysis: Financial Impact: Alternatives: Recommendation: Funds are Available in the Following Accounts: REVIEWED AND APPROVED BY: Request for Proposal Request for Proposals will be received at this office until Wednesday, July 11, 2018 @ 3:00 p.m. for furnishing: RFP Item # 18-237 911 Ergonomic Workstation Program For Augusta, GA – 911 Emergency Services RFPs will be received by: The Augusta Commission hereinafter referred to as the OWNER at the offices of: Geri A. Sams, Director Augusta Procurement Department 535 Telfair Street - Room 605 Augusta, Georgia 30901 RFP documents may be viewed on the Augusta Georgia web site under the Procurement Department ARCbid. RFP documents may be obtained at the office of the Augusta, GA Procurement Department, 535 Telfair Street – Room 605, Augusta, GA 30901. Mandatory Pre Proposal Conference will be held on Friday, June 22, 2018, @ 10:00 a.m. in the Procurement Department, 535 Telfair Street, Room 605. A Mandatory Site Visit to follow. All questions must be submitted in writing by fax to 706 821-2811 or by email to procbidandcontract@augustaga.gov to the office of the Procurement Department by Tuesday, June 26, 2018, @ 5:00 P.M. No RFP will be accepted by fax, all must be received by mail or hand delivered. No RFP may be withdrawn for a period of 60 days after bids have been opened, pending the execution of contract with the successful bidder(s). A 10% Bid Bond is required to be submitted along with the bidders’ qualifications; a 100% performance bond and a 100% payment bond will be required for award. Request for proposals (RFP) and specifications. An RFP shall be issued by the Procurement Office and shall include specifications prepared in accordance with Article 4 (Product Specifications), and all contractual terms and conditions, applicable to the procurement. All specific requirements contained in the request for proposal including, but not limited to, the number of copies needed, the timing of the submission, the required financial data, and any other requirements designated by the Procurement Department are considered material conditions of the bid which are not waivable or modifiable by the Procurement Director. All requests to waive or modify any such material condition shall be submitted through the Procurement Director to the appropriate committee of the Augusta, Georgia Commission for approval by the Augusta, Georgia Commission. Please mark RFP number on the outside of the envelope. Proponents are cautioned that acquisition of RFP documents through any source other than the office of the Procurement Department is not advisable. Acquisition of RFP documents from unauthorized sources places the proponent at the risk of receiving incomplete or inaccurate information upon which to base his qualifications. Correspondence must be submitted via mail, fax or email as follows: Augusta Procurement Department Attn: Geri A. Sams, Director of Procurement 535 Telfair Street, Room 605 Augusta, GA 30901 Fax: 706-821-2811 or Email: procbidandcontract@augustaga.gov GERI A. SAMS, Procurement Director Publish: Augusta Chronicle May 31, June 7, 14, 21, 2018 Metro Courier May 31, 2018 OFFICIAL VENDORS Attachment "B" E-Verify Number SAVE Form Addendum 1 Bid Bond Original 7 Copies Fee Proposal Compliance Review 6% Goal WATSON CONSOLES 26246 TWELVE TREES LANE NW POULSBO, WASHINGTON 98370 Yes 242506 Yes Yes Yes Yes Yes Yes Yes XYBIX 8207 SOUTHPARK CIRCLE LITTLETON, COLORADO 80120 Yes 101707 Yes Yes Yes Yes Yes Yes Yes MBS 1445 GREENE STREET AUGUSTA, GA 30901 WEINBERGERS BUSINESS INT. 3023 RIVERWATCH PKWY., SUITE G AUGUSTA, GA 30907 RFP #18-237 911 Ergonomic Workstation Program for the Augusta, GA – 911 Emergency Services RFP Due: Wednesday, July 11, 2018 @ 3:00 p.m. Total Number Specifications Mailed Out: 12 Total Number Specifications Download (Demandstar): 4 Total Electronic Notifications (Demandstar): 114 Total Number Specifications Mailed Out to Local Vendors: 2 Pre Proposal Conference Attendees: 6 Total packages submitted: 2 Total Noncompliant: 0 Page 1 of 1 WATSON CONSOLES 26246 TWELVE TREES LANE NW POULSBO, WASHINGTON 98370 XYBIX 8207 SOUTHPARK CIRCLE LITTLETON, COLORADO 80120 WATSON CONSOLES 26246 TWELVE TREES LANE NW POULSBO, WASHINGTON 98370 XYBIX 8207 SOUTHPARK CIRCLE LITTLETON, COLORADO 80120 Evaluation Criteria Ranking Points 1. Completeness of Response • Package submitted by the deadline • Package is complete (includes requested information as required per this solicitation) • Attachment B is complete, signed and notarized N/A Pass/Fail PASS PASS PASS PASS 2. Qualifications & Experience (0-5)20 4.1 5.0 82.0 100.0 3. Organization & Approach (0-5)15 3.8 4.7 57.0 70.0 4. Scope of Services • Service and Support • Technical Compliance • Evidence that responder fully understands Augusta 911 Center goals and project scope (0-5)25 3.2 4.6 80.8 115.8 5. Schedule of Work (0-5)5 3.0 4.7 15.0 23.3 6. References (0-5)5 4.0 4.0 20.0 20.0 Within Richmond County 5 5 0 0 Within CSRA 5 4 0 0 Within Georgia 5 3 0 0 Within SE United States (includes AL, TN, NC, SC, FL) 5 2 0 0  All Others 5 1 1 1 1 1 19.1 24.0 255.8 330.2 8. Presentation by Team (0-5)10 0 0 9 Q&A Response to Panel Questions (0-5)5 0 0 Lowest Fees 5 10 5 50 0 Second 5 6 5 0 30 Third 5 4 0 0 Forth 5 2 0 0 Fifth 5 1 0 0 Total Phase 2 - (Total Maximum Ranking 10 - Maximum Weighted Total Possible 75) 5 5 50 30 24.1 29.0 305.8 360.2 Vendors Total (Total Possible Score 500) Phase 1 Total - (Total Maximum Ranking 30 - Maximum Weighted Total Possible 375) Phase 1 Evaluation Sheet RFP #18-237 911 Ergonomic Workstation Program For Augusta, GA – 911 Emergency Services Evaluation Meeting: Thursday, August 2, 2018 @ 9:00 a.m. 7. Proximity to Area (only choose 1 line according to location of the company - enter the ranking value for the one line only) Scale 0 (Low) to 5 (High) Ranking of 0-5 (Enter a number value between 0 Weighted Scores 10. Cost/Fee Proposal Consideration (only choose 1 line according to dollar value of the proposal in relation to all fee proposals - enter the point value for the one line only) Procurement DepartmentRepresentative:_______Nancy Williams______________________________________ Procurement Department Completion Date: 8/2/18 Phase 2 (Option - Numbers 8-9) Internal Use Only Total Cumulative Score (Maximum point is 500) Evaluator: Cumulative Date: 8/2/2018 Public Safety Committee Meeting 10/30/2018 1:10 PM 911 Ergonomic Workstation Replacement Department:911 Presenter:Daniel R. Dunlap Caption:Motion to award RFP 18-237 (911 Ergonomic Workstation Program) and to authorize purchase. Background:The workstation console furniture utilized at the 911 center is approaching 12 years of use. Many of these workstations are in various stages of disrepair. Continued use of this furniture is a safety concern, as some keyboard desktops are being held up by books, task lighting for most workstations are inoperable and a lack of cable management with computer wires and cords severely hampers troubleshooting efforts. Additionally, the layout of the computer monitors does not provide proper situational awareness. Analysis:911 Communications Officers perform all primary call taking and dispatching job functions from their workstation consoles. The current workstations do not provide any ergonomic functionality for proper posture or ability to adjust equipment for necessary use. Replacing the current workstations for the 911 Center will address safety concerns, provide better situational awareness with the workstation layout, allow the 911 personnel to achieve proper posturing, and provide cable management for the various computer wires and cords. The 911 Center developed and solicited vendors with RFP 18-237 – 911 Ergonomic Workstation Program – and received two qualified vendor responses. Upon completion and review, the selection committee selected Xybix as the most qualified and responsive bidder. Financial Impact:The total project cost is quoted at $349,533.30. Alternatives:N/A Recommendation:Approve Funds are Available in the Following Accounts: This purchase would utilize available 911 fund balance and is an allowable expense of 911 fund balance fees as a capital improvement purchase. REVIEWED AND APPROVED BY: Procurement Finance Law Administrator Clerk of Commission Public Safety Committee Meeting 10/30/2018 1:10 PM Application and acceptance of grant from the Emergency Managment Performance Grant Department:Emergency Management Agency Presenter:Chief Christopher E. James Caption:Approve the application and acceptance of annual grant funds in the amount of $50,000.00 from the Emergency Management Performance Grant (EMPG) and authorize the Mayor to execute the necessary documents. Background:Emergency Management Performance Grant (EMPG) offers grant funds to assist in the Emergency Management Initiatives, including the Community Emergency Notification System, training, exercises, and salaries. Analysis:This application and acceptance of the grant funds would assist in funding for the Community Emergency Notification System, training, exercises, and EMA employees salaries. Financial Impact:$50,000.00 from the county as a 50/50 match. This is an in-kind match that covers salaries, program supplies and communications. Alternatives:Not approving the application and acceptance of the matching grant would place the financial burden solely on Augusta, Georgia without any assistance from the Emergency Management Performance grant assistance. Recommendation:Approve the application and acceptance of $50,000.00 grant funds from the Emergency Management Performance Grant with Augusta matching 50/50 in-kind funds and authorize the Mayor to execute the necessary documents. Funds are Available in the Following Accounts: 101039210 5111110 REVIEWED AND APPROVED BY: Finance. Law. Administrator. Clerk of Commission U.S. Department of Justice Office of Justice Programs Washington, D.C. 20531Office of the Assistant Attorney General October 1, 2018 The Honorable Hardie Davis Jr. Augusta Richmond County 535 Telfair Street, Suite 800 Finance Department Augusta, GA 30901-4441 Dear Mayor Davis: On behalf of Attorney General Jefferson Sessions III, it is my pleasure to inform you that the Office of Justice Programs has approved your application for funding under the FY 18 Edward Byrne Memorial Justice Assistance Grant (JAG) Program - Local Solicitation in the amount of $31,696 for Augusta Richmond County. Enclosed you will find the Grant Award and Special Conditions documents. This award is subject to all administrative and financial requirements, including the timely submission of all financial and programmatic reports, resolution of all interim audit findings, and the maintenance of a minimum level of cash-on-hand. Should you not adhere to these requirements, you will be in violation of the terms of this agreement and the award will be subject to termination for cause or other administrative action as appropriate. If you have questions regarding this award, please contact: - Program Questions, Flora D. Lawson, Program Manager at (202) 305-9216; and - Financial Questions, the Office of the Chief Financial Officer, Customer Service Center (CSC) at (800) 458-0786, or you may contact the CSC at ask.ocfo@usdoj.gov. Congratulations, and we look forward to working with you. Sincerely, Enclosures Matt Dummermuth Principal Deputy Assistant Attorney General U.S. Department of Justice Office of Justice Programs OFFICE FOR CIVIL RIGHTS 810 7th Street, NW Washington, DC 20531 Tel: (202) 307-0690 TTY: (202) 307-2027 E-mail: askOCR@usdoj.gov Website: www.ojp.usdoj.gov/ocr October 1, 2018 The Honorable Hardie Davis Jr. Augusta Richmond County 535 Telfair Street, Suite 800 Finance Department Augusta, GA 30901-4441 Congratulations on your recent award. In establishing financial assistance programs, Congress linked the receipt of federal funding to compliance with federal civil rights laws. The Office for Civil Rights (OCR), Office of Justice Programs (OJP), U.S. Department of Justice (DOJ) is responsible for ensuring that recipients of financial assistance from the OJP, the Office of Community Oriented Policing Services (COPS), and the Office on Violence Against Women (OVW) comply with the applicable federal civil rights laws. We at the OCR are available to help you and your organization meet the civil rights requirements that come with DOJ funding. Ensuring Access to Federally Assisted Programs Federal laws that apply to recipients of financial assistance from the DOJ prohibit discrimination on the basis of race, color, national origin, religion, sex, or disability in funded programs or activities, not only in employment but also in the delivery of services or benefits. A federal law also prohibits recipients from discriminating on the basis of age in the delivery of services or benefits. In March of 2013, President Obama signed the Violence Against Women Reauthorization Act of 2013. The statute amends the Violence Against Women Act of 1994 (VAWA) by including a nondiscrimination grant condition that prohibits discrimination based on actual or perceived race, color, national origin, religion, sex, disability, sexual orientation, or gender identity. The new nondiscrimination grant condition applies to certain programs funded after October 1, 2013. The OCR and the OVW have developed answers to some frequently asked questions about this provision to assist recipients of VAWA funds to understand their obligations. The Frequently Asked Questions are available at https://ojp.gov/about/ocr/vawafaqs.htm. Enforcing Civil Rights Laws All recipients of federal financial assistance, regardless of the particular funding source, the amount of the grant award, or the number of employees in the workforce, are subject to prohibitions against unlawful discrimination. Accordingly, the OCR investigates recipients that are the subject of discrimination complaints from both individuals and groups. In addition, based on regulatory criteria, the OCR selects a number of recipients each year for compliance reviews, audits that require recipients to submit data showing that they are providing services equitably to all segments of their service population and that their employment practices meet equal opportunity standards. Dear Mayor Davis: OCR Letter to All Recipients Providing Services to Limited English Proficiency (LEP) Individuals In accordance with DOJ guidance pertaining to Title VI of the Civil Rights Act of 1964, 42 U.S.C. § 2000d, recipients of federal financial assistance must take reasonable steps to provide meaningful access to their programs and activities for persons with limited English proficiency (LEP). See U.S. Department of Justice, Guidance to Federal Financial Assistance Recipients Regarding Title VI Prohibition Against National Origin Discrimination Affecting Limited English Proficient Persons, 67 Fed. Reg. 41,455 (2002). For more information on the civil rights responsibilities that recipients have in providing language services to LEP individuals, please see the website https://www.lep.gov. Ensuring Equal Treatment of Faith-Based Organizations and Safeguarding Constitutional Protections Related to Religion The DOJ regulation, Partnerships with Faith-Based and Other Neighborhood Organizations, 28 C.F.R. pt. 38, updated in April 2016, prohibits all recipient organizations, whether they are law enforcement agencies, governmental agencies, educational institutions, houses of worship, or faith-based organizations, from using financial assistance from the DOJ to fund explicitly religious activities. Explicitly religious activities include worship, religious instruction, or proselytization. While funded organizations may engage in non-funded explicitly religious activities (e.g., prayer), they must hold them separately from the activities funded by the DOJ, and recipients cannot compel beneficiaries to participate in them. The regulation also makes clear that organizations participating in programs funded by the DOJ are not permitted to discriminate in the provision of services on the basis of a beneficiary's religion, religious belief, a refusal to hold a religious belief, or a refusal to attend or participate in a religious practice. Funded faith-based organizations must also provide written notice to beneficiaries, advising them that if they should object to the religious character of the funded faith based organization, the funded faith-based organization will take reasonable steps to refer the beneficiary to an alternative service provider. For more information on the regulation, please see the OCR's website at https://ojp.gov/about/ocr/partnerships.htm. SAAs and faith-based organizations should also note that the Omnibus Crime Control and Safe Streets Act (Safe Streets Act) of 1968, as amended, 34 U.S.C. § 10228(c); the Victims of Crime Act of 1984, as amended, 34 U.S.C. § 20110(e); the Juvenile Justice and Delinquency Prevention Act of 1974, as amended, 34 U.S.C. § 11182(b); and VAWA, as amended, 34 U.S.C. § 12291(b)(13), contain prohibitions against discrimination on the basis of religion in employment. Despite these nondiscrimination provisions, the DOJ has concluded that it may construe the Religious Freedom Restoration Act (RFRA) on a case-by- case basis to permit some faith-based organizations to receive DOJ funds while taking into account religion when hiring staff, even if the statute that authorizes the funding program generally forbids recipients from considering religion in employment decisions. Please consult with the OCR if you have any questions about the regulation or the application of RFRA to the statutes that prohibit discrimination in employment. Using Arrest and Conviction Records in Making Employment Decisions The OCR issued an advisory document for recipients on the proper use of arrest and conviction records in making hiring decisions. See Advisory for Recipients of Financial Assistance from the U.S. Department of Justice on the U.S. Equal Employment Opportunity Commission's Enforcement Guidance: Consideration of Arrest and Conviction Records in Employment Decisions Under Title VII of the Civil Rights Act of 1964 (June 2013), available at https://ojp.gov/about/ocr/pdfs/UseofConviction_Advisory.pdf. Recipients should be mindful that the misuse of arrest or conviction records to screen either applicants for employment or employees for retention or promotion may have a disparate impact based on race or national origin, resulting in unlawful employment discrimination. In light of the Advisory, recipients should consult local counsel in reviewing their employment practices. If warranted, recipients should also incorporate an analysis of the use of arrest and conviction records in their Equal Employment Opportunity Plans (EEOPs) (see below). Complying with the Safe Streets Act An organization that is a recipient of financial assistance subject to the nondiscrimination provisions of the Safe Streets Act, must meet two obligations: (1) complying with the federal regulation pertaining to the development of an EEOP (see 28 C.F.R. pt. 42, subpt. E) and (2) submitting to the OCR findings of discrimination (see 28 C.F.R. §§ 42.204(c), .205(c)(5)). Sincerely, Meeting the EEOP Requirement An EEOP is a comprehensive document that analyzes a recipient's relevant labor market data, as well as the recipient's employment practices, to identify possible barriers to the participation of women and minorities in all levels of a recipient's workforce. As a recipient of DOJ funding, you may be required to submit an EEOP Certification Report or an EEOP Utilization Report to the OCR. For more information on whether your organization is subject to the EEOP requirements, see https://ojp.gov/about/ocr/eeop.htm. Additionally, you may request technical assistance from an EEOP specialist at the OCR by telephone at (202) 616-1771 or by e-mail at EEOPforms@usdoj.gov. Meeting the Requirement to Submit Findings of Discrimination If in the three years prior to the date of the grant award, your organization has received an adverse finding of discrimination based on race, color, national origin, religion, or sex, after a due-process hearing, from a state or federal court or from a state or federal administrative agency, your organization must send a copy of the finding to the OCR. Ensuring the Compliance of Subrecipients SAAs must have standard assurances to notify subrecipients of their civil rights obligations, written procedures to address discrimination complaints filed against subrecipients, methods to monitor subrecipients' compliance with civil rights requirements, and a program to train subrecipients on applicable civil rights laws. In addition, SAAs must submit to the OCR every three years written Methods of Administration (MOA) that summarize the policies and procedures that they have implemented to ensure the civil rights compliance of subrecipients. For more information on the MOA requirement, see https://ojp.gov/funding/Explore/StateMethodsAdmin-FY2017update.htm. If the OCR can assist you in any way in fulfilling your organization's civil rights responsibilities as a recipient of federal financial assistance, please contact us. Michael L. Alston Director cc:Grant Manager Financial Analyst Grant PAGE 1 OF U.S. Department of Justice Office of Justice Programs Bureau of Justice Assistance 1. RECIPIENT NAME AND ADDRESS (Including Zip Code) Augusta Richmond County 535 Telfair Street, Suite 800 Finance Department Augusta, GA 30901-4441 8. SUPPLEMENT NUMBER 00 9. PREVIOUS AWARD AMOUNT 10. AMOUNT OF THIS AWARD $ 0 $ 31,696 11. TOTAL AWARD $ 31,696 2a. GRANTEE IRS/VENDOR NO. 586000882 2b. GRANTEE DUNS NO. 073438418 3. PROJECT TITLE Purchasing of Body Worn Video Cameras 12. SPECIAL CONDITIONS THE ABOVE GRANT PROJECT IS APPROVED SUBJECT TO SUCH CONDITIONS OR LIMITATIONS AS ARE SET FORTH ON THE ATTACHED PAGE(S). 13. STATUTORY AUTHORITY FOR GRANT This project is supported under FY18(BJA - JAG State & JAG Local) Title I of Pub. L. No. 90-351 (generally codified at 34 U.S.C. 10101 - 10726), including subpart I of part E (codified at 34 U.S.C. 10151 - 10158); see also 28 U.S.C. 530C(a) 14 . CATALOG OF DOMESTIC FEDERAL ASSISTANCE (CFDA Number) 16.738 - Edward Byrne Memorial Justice Assistance Grant Program 15. METHOD OF PAYMENT GPRS AGENCY APPROVAL 16. TYPED NAME AND TITLE OF APPROVING OFFICIAL GRANTEE ACCEPTANCE Matt Dummermuth Principal Deputy Assistant Attorney General AGENCY USE ONLY 20. ACCOUNTING CLASSIFICATION CODES 21. FISCAL YEAR FUND CODE BUD. ACT.OFC. DIV. REG.SUB.POMS AMOUNT DJBX 80 00 00 31696 TDJUGT1179 18. TYPED NAME AND TITLE OF AUTHORIZED GRANTEE OFFICIAL Hardie Davis Mayor 4. AWARD NUMBER:2018-DJ-BX-0731 5. PROJECT PERIOD: FROM BUDGET PERIOD: FROM 6. AWARD DATE 7. ACTION Initial 10/01/2018 TO TO 10/01/2017 10/01/2017 09/30/2021 09/30/2021 OJP FORM 4000/2 (REV. 5-87) PREVIOUS EDITIONS ARE OBSOLETE. OJP FORM 4000/2 (REV. 4-88) 19. SIGNATURE OF AUTHORIZED RECIPIENT OFFICIAL 19A. DATE17. SIGNATURE OF APPROVING OFFICIAL 23 AWARD CONTINUATION SHEET Grant PAGE 2 OF U.S. Department of Justice Office of Justice Programs Bureau of Justice Assistance AWARD DATE 10/01/2018PROJECT NUMBER 2018-DJ-BX-0731 SPECIAL CONDITIONS Requirements of the award; remedies for non-compliance or for materially false statements The conditions of this award are material requirements of the award. Compliance with any certifications or assurances submitted by or on behalf of the recipient that relate to conduct during the period of performance also is a material requirement of this award. Failure to comply with any one or more of these award requirements -- whether a condition set out in full below, a condition incorporated by reference below, or a certification or assurance related to conduct during the award period -- may result in the Office of Justice Programs ("OJP") taking appropriate action with respect to the recipient and the award. Among other things, the OJP may withhold award funds, disallow costs, or suspend or terminate the award. The Department of Justice ("DOJ"), including OJP, also may take other legal action as appropriate. Any materially false, fictitious, or fraudulent statement to the federal government related to this award (or concealment or omission of a material fact) may be the subject of criminal prosecution (including under 18 U.S.C. 1001 and/or 1621, and/or 34 U.S.C. 10271-10273), and also may lead to imposition of civil penalties and administrative remedies for false claims or otherwise (including under 31 U.S.C. 3729-3730 and 3801-3812). Should any provision of a requirement of this award be held to be invalid or unenforceable by its terms, that provision shall first be applied with a limited construction so as to give it the maximum effect permitted by law. Should it be held, instead, that the provision is utterly invalid or -unenforceable, such provision shall be deemed severable from this award. Applicability of Part 200 Uniform Requirements The Uniform Administrative Requirements, Cost Principles, and Audit Requirements in 2 C.F.R. Part 200, as adopted and supplemented by DOJ in 2 C.F.R. Part 2800 (together, the "Part 200 Uniform Requirements") apply to this FY 2018 award from OJP. The Part 200 Uniform Requirements were first adopted by DOJ on December 26, 2014. If this FY 2018 award supplements funds previously awarded by OJP under the same award number (e.g., funds awarded during or before December 2014), the Part 200 Uniform Requirements apply with respect to all funds under that award number (regardless of the award date, and regardless of whether derived from the initial award or a supplemental award) that are obligated on or after the acceptance date of this FY 2018 award. For more information and resources on the Part 200 Uniform Requirements as they relate to OJP awards and subawards ("subgrants"), see the OJP website at https://ojp.gov/funding/Part200UniformRequirements.htm. Record retention and access: Records pertinent to the award that the recipient (and any subrecipient ("subgrantee") at any tier) must retain -- typically for a period of 3 years from the date of submission of the final expenditure report (SF 425), unless a different retention period applies -- and to which the recipient (and any subrecipient ("subgrantee") at any tier) must provide access, include performance measurement information, in addition to the financial records, supporting documents, statistical records, and other pertinent records indicated at 2 C.F.R. 200.333. In the event that an award-related question arises from documents or other materials prepared or distributed by OJP that may appear to conflict with, or differ in some way from, the provisions of the Part 200 Uniform Requirements, the recipient is to contact OJP promptly for clarification. 1. 2. OJP FORM 4000/2 (REV. 4-88) 23 AWARD CONTINUATION SHEET Grant PAGE 3 OF U.S. Department of Justice Office of Justice Programs Bureau of Justice Assistance AWARD DATE 10/01/2018PROJECT NUMBER 2018-DJ-BX-0731 SPECIAL CONDITIONS Compliance with DOJ Grants Financial Guide References to the DOJ Grants Financial Guide are to the DOJ Grants Financial Guide as posted on the OJP website (currently, the "DOJ Grants Financial Guide" available at https://ojp.gov/financialguide/DOJ/index.htm), including any updated version that may be posted during the period of performance. The recipient agrees to comply with the DOJ Grants Financial Guide. Reclassification of various statutory provisions to a new Title 34 of the United States Code On September 1, 2017, various statutory provisions previously codified elsewhere in the U.S. Code were editorially reclassified to a new Title 34, entitled "Crime Control and Law Enforcement." The reclassification encompassed a number of statutory provisions pertinent to OJP awards (that is, OJP grants and cooperative agreements), including many provisions previously codified in Title 42 of the U.S. Code. Effective as of September 1, 2017, any reference in this award document to a statutory provision that has been reclassified to the new Title 34 of the U.S. Code is to be read as a reference to that statutory provision as reclassified to Title 34. This rule of construction specifically includes references set out in award conditions, references set out in material incorporated by reference through award conditions, and references set out in other award requirements. Required training for Point of Contact and all Financial Points of Contact Both the Point of Contact (POC) and all Financial Points of Contact (FPOCs) for this award must have successfully completed an "OJP financial management and grant administration training" by 120 days after the date of the recipient's acceptance of the award. Successful completion of such a training on or after January 1, 2016, will satisfy this condition. In the event that either the POC or an FPOC for this award changes during the period of performance, the new POC or FPOC must have successfully completed an "OJP financial management and grant administration training" by 120 calendar days after-- (1) the date of OJP's approval of the "Change Grantee Contact" GAN (in the case of a new POC), or (2) the date the POC enters information on the new FPOC in GMS (in the case of a new FPOC). Successful completion of such a training on or after January 1, 2016, will satisfy this condition. A list of OJP trainings that OJP will consider "OJP financial management and grant administration training" for purposes of this condition is available at https://www.ojp.gov/training/fmts.htm. All trainings that satisfy this condition include a session on grant fraud prevention and detection. The recipient should anticipate that OJP will immediately withhold ("freeze") award funds if the recipient fails to comply with this condition. The recipient's failure to comply also may lead OJP to impose additional appropriate conditions on this award. Requirements related to "de minimis" indirect cost rate A recipient that is eligible under the Part 200 Uniform Requirements and other applicable law to use the "de minimis" indirect cost rate described in 2 C.F.R. 200.414(f), and that elects to use the "de minimis" indirect cost rate, must advise OJP in writing of both its eligibility and its election, and must comply with all associated requirements in the Part 200 Uniform Requirements. The "de minimis" rate may be applied only to modified total direct costs (MTDC) as defined by the Part 200 Uniform Requirements. 3. 4. 5. 6. OJP FORM 4000/2 (REV. 4-88) 23 AWARD CONTINUATION SHEET Grant PAGE 4 OF U.S. Department of Justice Office of Justice Programs Bureau of Justice Assistance AWARD DATE 10/01/2018PROJECT NUMBER 2018-DJ-BX-0731 SPECIAL CONDITIONS Requirement to report potentially duplicative funding If the recipient currently has other active awards of federal funds, or if the recipient receives any other award of federal funds during the period of performance for this award, the recipient promptly must determine whether funds from any of those other federal awards have been, are being, or are to be used (in whole or in part) for one or more of the identical cost items for which funds are provided under this award. If so, the recipient must promptly notify the DOJ awarding agency (OJP or OVW, as appropriate) in writing of the potential duplication, and, if so requested by the DOJ awarding agency, must seek a budget-modification or change-of-project-scope grant adjustment notice (GAN) to eliminate any inappropriate duplication of funding. Requirements related to System for Award Management and Universal Identifier Requirements The recipient must comply with applicable requirements regarding the System for Award Management (SAM), currently accessible at https://www.sam.gov/. This includes applicable requirements regarding registration with SAM, as well as maintaining the currency of information in SAM. The recipient also must comply with applicable restrictions on subawards ("subgrants") to first-tier subrecipients (first-tier "subgrantees"), including restrictions on subawards to entities that do not acquire and provide (to the recipient) the unique entity identifier required for SAM registration. The details of the recipient's obligations related to SAM and to unique entity identifiers are posted on the OJP web site at https://ojp.gov/funding/Explore/SAM.htm (Award condition: System for Award Management (SAM) and Universal Identifier Requirements), and are incorporated by reference here. This condition does not apply to an award to an individual who received the award as a natural person (i.e., unrelated to any business or non-profit organization that he or she may own or operate in his or her name). Requirement to report actual or imminent breach of personally identifiable information (PII) The recipient (and any "subrecipient" at any tier) must have written procedures in place to respond in the event of an actual or imminent "breach" (OMB M-17-12) if it (or a subrecipient)-- 1) creates, collects, uses, processes, stores, maintains, disseminates, discloses, or disposes of "personally identifiable information (PII)" (2 CFR 200.79) within the scope of an OJP grant-funded program or activity, or 2) uses or operates a "Federal information system" (OMB Circular A-130). The recipient's breach procedures must include a requirement to report actual or imminent breach of PII to an OJP Program Manager no later than 24 hours after an occurrence of an actual breach, or the detection of an imminent breach. All subawards ("subgrants") must have specific federal authorization The recipient, and any subrecipient ("subgrantee") at any tier, must comply with all applicable requirements for authorization of any subaward. This condition applies to agreements that -- for purposes of federal grants administrative requirements -- OJP considers a "subaward" (and therefore does not consider a procurement "contract"). The details of the requirement for authorization of any subaward are posted on the OJP web site at https://ojp.gov/funding/Explore/SubawardAuthorization.htm (Award condition: All subawards ("subgrants") must have specific federal authorization), and are incorporated by reference here. 7. 8. 9. 10. OJP FORM 4000/2 (REV. 4-88) 23 AWARD CONTINUATION SHEET Grant PAGE 5 OF U.S. Department of Justice Office of Justice Programs Bureau of Justice Assistance AWARD DATE 10/01/2018PROJECT NUMBER 2018-DJ-BX-0731 SPECIAL CONDITIONS Specific post-award approval required to use a noncompetitive approach in any procurement contract that would exceed $150,000 The recipient, and any subrecipient ("subgrantee") at any tier, must comply with all applicable requirements to obtain specific advance approval to use a noncompetitive approach in any procurement contract that would exceed the Simplified Acquisition Threshold (currently, $150,000). This condition applies to agreements that -- for purposes of federal grants administrative requirements -- OJP considers a procurement "contract" (and therefore does not consider a subaward). The details of the requirement for advance approval to use a noncompetitive approach in a procurement contract under an OJP award are posted on the OJP web site at https://ojp.gov/funding/Explore/NoncompetitiveProcurement.htm (Award condition: Specific post-award approval required to use a noncompetitive approach in a procurement contract (if contract would exceed $150,000)), and are incorporated by reference here. Requirements pertaining to prohibited conduct related to trafficking in persons (including reporting requirements and OJP authority to terminate award) The recipient, and any subrecipient ("subgrantee") at any tier, must comply with all applicable requirements (including requirements to report allegations) pertaining to prohibited conduct related to the trafficking of persons, whether on the part of recipients, subrecipients ("subgrantees"), or individuals defined (for purposes of this condition) as "employees" of the recipient or of any subrecipient. The details of the recipient's obligations related to prohibited conduct related to trafficking in persons are posted on the OJP web site at https://ojp.gov/funding/Explore/ProhibitedConduct-Trafficking.htm (Award condition: Prohibited conduct by recipients and subrecipients related to trafficking in persons (including reporting requirements and OJP authority to terminate award)), and are incorporated by reference here. Compliance with applicable rules regarding approval, planning, and reporting of conferences, meetings, trainings, and other events The recipient, and any subrecipient ("subgrantee") at any tier, must comply with all applicable laws, regulations, policies, and official DOJ guidance (including specific cost limits, prior approval and reporting requirements, where applicable) governing the use of federal funds for expenses related to conferences (as that term is defined by DOJ), including the provision of food and/or beverages at such conferences, and costs of attendance at such conferences. Information on the pertinent DOJ definition of conferences and the rules applicable to this award appears in the DOJ Grants Financial Guide (currently, as section 3.10 of "Postaward Requirements" in the "DOJ Grants Financial Guide"). Requirement for data on performance and effectiveness under the award The recipient must collect and maintain data that measure the performance and effectiveness of work under this award. The data must be provided to OJP in the manner (including within the timeframes) specified by OJP in the program solicitation or other applicable written guidance. Data collection supports compliance with the Government Performance and Results Act (GPRA) and the GPRA Modernization Act of 2010, and other applicable laws. OJP Training Guiding Principles Any training or training materials that the recipient -- or any subrecipient ("subgrantee") at any tier -- develops or delivers with OJP award funds must adhere to the OJP Training Guiding Principles for Grantees and Subgrantees, available at https://ojp.gov/funding/Implement/TrainingPrinciplesForGrantees-Subgrantees.htm. 11. 12. 13. 14. 15. OJP FORM 4000/2 (REV. 4-88) 23 AWARD CONTINUATION SHEET Grant PAGE 6 OF U.S. Department of Justice Office of Justice Programs Bureau of Justice Assistance AWARD DATE 10/01/2018PROJECT NUMBER 2018-DJ-BX-0731 SPECIAL CONDITIONS Effect of failure to address audit issues The recipient understands and agrees that the DOJ awarding agency (OJP or OVW, as appropriate) may withhold award funds, or may impose other related requirements, if (as determined by the DOJ awarding agency) the recipient does not satisfactorily and promptly address outstanding issues from audits required by the Part 200 Uniform Requirements (or by the terms of this award), or other outstanding issues that arise in connection with audits, investigations, or reviews of DOJ awards. Potential imposition of additional requirements The recipient agrees to comply with any additional requirements that may be imposed by the DOJ awarding agency (OJP or OVW, as appropriate) during the period of performance for this award, if the recipient is designated as "high- risk" for purposes of the DOJ high-risk grantee list. Compliance with DOJ regulations pertaining to civil rights and nondiscrimination - 28 C.F.R. Part 42 The recipient, and any subrecipient ("subgrantee") at any tier, must comply with all applicable requirements of 28 C.F.R. Part 42, specifically including any applicable requirements in Subpart E of 28 C.F.R. Part 42 that relate to an equal employment opportunity program. Compliance with DOJ regulations pertaining to civil rights and nondiscrimination - 28 C.F.R. Part 54 The recipient, and any subrecipient ("subgrantee") at any tier, must comply with all applicable requirements of 28 C.F.R. Part 54, which relates to nondiscrimination on the basis of sex in certain "education programs." Compliance with DOJ regulations pertaining to civil rights and nondiscrimination - 28 C.F.R. Part 38 The recipient, and any subrecipient ("subgrantee") at any tier, must comply with all applicable requirements of 28 C.F.R. Part 38, specifically including any applicable requirements regarding written notice to program beneficiaries and prospective program beneficiaries. Among other things, 28 C.F.R. Part 38 includes rules that prohibit specific forms of discrimination on the basis of religion, a religious belief, a refusal to hold a religious belief, or refusal to attend or participate in a religious practice. Part 38 also sets out rules and requirements that pertain to recipient and subrecipient ("subgrantee") organizations that engage in or conduct explicitly religious activities, as well as rules and requirements that pertain to recipients and subrecipients that are faith-based or religious organizations. The text of the regulation, now entitled "Partnerships with Faith-Based and Other Neighborhood Organizations," is available via the Electronic Code of Federal Regulations (currently accessible at https://www.ecfr.gov/cgi- bin/ECFR?page=browse), by browsing to Title 28-Judicial Administration, Chapter 1, Part 38, under e-CFR "current" data. 16. 17. 18. 19. 20. OJP FORM 4000/2 (REV. 4-88) 23 AWARD CONTINUATION SHEET Grant PAGE 7 OF U.S. Department of Justice Office of Justice Programs Bureau of Justice Assistance AWARD DATE 10/01/2018PROJECT NUMBER 2018-DJ-BX-0731 SPECIAL CONDITIONS Restrictions on "lobbying" In general, as a matter of federal law, federal funds awarded by OJP may not be used by the recipient, or any subrecipient ("subgrantee") at any tier, either directly or indirectly, to support or oppose the enactment, repeal, modification, or adoption of any law, regulation, or policy, at any level of government. See 18 U.S.C. 1913. (There may be exceptions if an applicable federal statute specifically authorizes certain activities that otherwise would be barred by law.) Another federal law generally prohibits federal funds awarded by OJP from being used by the recipient, or any subrecipient at any tier, to pay any person to influence (or attempt to influence) a federal agency, a Member of Congress, or Congress (or an official or employee of any of them) with respect to the awarding of a federal grant or cooperative agreement, subgrant, contract, subcontract, or loan, or with respect to actions such as renewing, extending, or modifying any such award. See 31 U.S.C. 1352. Certain exceptions to this law apply, including an exception that applies to Indian tribes and tribal organizations. Should any question arise as to whether a particular use of federal funds by a recipient (or subrecipient) would or might fall within the scope of these prohibitions, the recipient is to contact OJP for guidance, and may not proceed without the express prior written approval of OJP. Compliance with general appropriations-law restrictions on the use of federal funds (FY 2018) The recipient, and any subrecipient ("subgrantee") at any tier, must comply with all applicable restrictions on the use of federal funds set out in federal appropriations statutes. Pertinent restrictions, including from various "general provisions" in the Consolidated Appropriations Act, 2018, are set out at https://ojp.gov/funding/Explore/FY18AppropriationsRestrictions.htm, and are incorporated by reference here. Should a question arise as to whether a particular use of federal funds by a recipient (or a subrecipient) would or might fall within the scope of an appropriations-law restriction, the recipient is to contact OJP for guidance, and may not proceed without the express prior written approval of OJP. Reporting Potential Fraud, Waste, and Abuse, and Similar Misconduct The recipient and any subrecipients ("subgrantees") must promptly refer to the DOJ Office of the Inspector General (OIG) any credible evidence that a principal, employee, agent, subrecipient, contractor, subcontractor, or other person has, in connection with funds under this award -- (1) submitted a claim that violates the False Claims Act; or (2) committed a criminal or civil violation of laws pertaining to fraud, conflict of interest, bribery, gratuity, or similar misconduct. Potential fraud, waste, abuse, or misconduct involving or relating to funds under this award should be reported to the OIG by-- (1) mail directed to: Office of the Inspector General, U.S. Department of Justice, Investigations Division, 1425 New York Avenue, N.W. Suite 7100, Washington, DC 20530; and/or (2) the DOJ OIG hotline: (contact information in English and Spanish) at (800) 869-4499 (phone) or (202) 616-9881 (fax). Additional information is available from the DOJ OIG website at https://oig.justice.gov/hotline. 21. 22. 23. OJP FORM 4000/2 (REV. 4-88) 23 AWARD CONTINUATION SHEET Grant PAGE 8 OF U.S. Department of Justice Office of Justice Programs Bureau of Justice Assistance AWARD DATE 10/01/2018PROJECT NUMBER 2018-DJ-BX-0731 SPECIAL CONDITIONS Restrictions and certifications regarding non-disclosure agreements and related matters No recipient or subrecipient ("subgrantee") under this award, or entity that receives a procurement contract or subcontract with any funds under this award, may require any employee or contractor to sign an internal confidentiality agreement or statement that prohibits or otherwise restricts, or purports to prohibit or restrict, the reporting (in accordance with law) of waste, fraud, or abuse to an investigative or law enforcement representative of a federal department or agency authorized to receive such information. The foregoing is not intended, and shall not be understood by the agency making this award, to contravene requirements applicable to Standard Form 312 (which relates to classified information), Form 4414 (which relates to sensitive compartmented information), or any other form issued by a federal department or agency governing the nondisclosure of classified information. 1. In accepting this award, the recipient-- a. represents that it neither requires nor has required internal confidentiality agreements or statements from employees or contractors that currently prohibit or otherwise currently restrict (or purport to prohibit or restrict) employees or contractors from reporting waste, fraud, or abuse as described above; and b. certifies that, if it learns or is notified that it is or has been requiring its employees or contractors to execute agreements or statements that prohibit or otherwise restrict (or purport to prohibit or restrict), reporting of waste, fraud, or abuse as described above, it will immediately stop any further obligations of award funds, will provide prompt written notification to the federal agency making this award, and will resume (or permit resumption of) such obligations only if expressly authorized to do so by that agency. 2. If the recipient does or is authorized under this award to make subawards ("subgrants"), procurement contracts, or both-- a. it represents that-- (1) it has determined that no other entity that the recipient's application proposes may or will receive award funds (whether through a subaward ("subgrant"), procurement contract, or subcontract under a procurement contract) either requires or has required internal confidentiality agreements or statements from employees or contractors that currently prohibit or otherwise currently restrict (or purport to prohibit or restrict) employees or contractors from reporting waste, fraud, or abuse as described above; and (2) it has made appropriate inquiry, or otherwise has an adequate factual basis, to support this representation; and b. it certifies that, if it learns or is notified that any subrecipient, contractor, or subcontractor entity that receives funds under this award is or has been requiring its employees or contractors to execute agreements or statements that prohibit or otherwise restrict (or purport to prohibit or restrict), reporting of waste, fraud, or abuse as described above, it will immediately stop any further obligations of award funds to or by that entity, will provide prompt written notification to the federal agency making this award, and will resume (or permit resumption of) such obligations only if expressly authorized to do so by that agency. 24. OJP FORM 4000/2 (REV. 4-88) 23 AWARD CONTINUATION SHEET Grant PAGE 9 OF U.S. Department of Justice Office of Justice Programs Bureau of Justice Assistance AWARD DATE 10/01/2018PROJECT NUMBER 2018-DJ-BX-0731 SPECIAL CONDITIONS Compliance with 41 U.S.C. 4712 (including prohibitions on reprisal; notice to employees) The recipient (and any subrecipient at any tier) must comply with, and is subject to, all applicable provisions of 41 U.S.C. 4712, including all applicable provisions that prohibit, under specified circumstances, discrimination against an employee as reprisal for the employee's disclosure of information related to gross mismanagement of a federal grant, a gross waste of federal funds, an abuse of authority relating to a federal grant, a substantial and specific danger to public health or safety, or a violation of law, rule, or regulation related to a federal grant. The recipient also must inform its employees, in writing (and in the predominant native language of the workforce), of employee rights and remedies under 41 U.S.C. 4712. Should a question arise as to the applicability of the provisions of 41 U.S.C. 4712 to this award, the recipient is to contact the DOJ awarding agency (OJP or OVW, as appropriate) for guidance. Encouragement of policies to ban text messaging while driving Pursuant to Executive Order 13513, "Federal Leadership on Reducing Text Messaging While Driving," 74 Fed. Reg. 51225 (October 1, 2009), DOJ encourages recipients and subrecipients ("subgrantees") to adopt and enforce policies banning employees from text messaging while driving any vehicle during the course of performing work funded by this award, and to establish workplace safety policies and conduct education, awareness, and other outreach to decrease crashes caused by distracted drivers. Requirement to disclose whether recipient is designated "high risk" by a federal grant-making agency outside of DOJ If the recipient is designated "high risk" by a federal grant-making agency outside of DOJ, currently or at any time during the course of the period of performance under this award, the recipient must disclose that fact and certain related information to OJP by email at OJP.ComplianceReporting@ojp.usdoj.gov. For purposes of this disclosure, high risk includes any status under which a federal awarding agency provides additional oversight due to the recipient's past performance, or other programmatic or financial concerns with the recipient. The recipient's disclosure must include the following: 1. The federal awarding agency that currently designates the recipient high risk, 2. The date the recipient was designated high risk, 3. The high-risk point of contact at that federal awarding agency (name, phone number, and email address), and 4. The reasons for the high-risk status, as set out by the federal awarding agency. Cooperating with OJP Monitoring The recipient agrees to cooperate with OJP monitoring of this award pursuant to OJP's guidelines, protocols, and procedures, and to cooperate with OJP (including the grant manager for this award and the Office of Chief Financial Officer (OCFO)) requests related to such monitoring, including requests related to desk reviews and/or site visits. The recipient agrees to provide to OJP all documentation necessary for OJP to complete its monitoring tasks, including documentation related to any subawards made under this award. Further, the recipient agrees to abide by reasonable deadlines set by OJP for providing the requested documents. Failure to cooperate with OJP's monitoring activities may result in actions that affect the recipient's DOJ awards, including, but not limited to: withholdings and/or other restrictions on the recipient's access to award funds; referral to the DOJ OIG for audit review; designation of the recipient as a DOJ High Risk grantee; or termination of an award(s). 25. 26. 27. 28. OJP FORM 4000/2 (REV. 4-88) 23 AWARD CONTINUATION SHEET Grant PAGE 10 OF U.S. Department of Justice Office of Justice Programs Bureau of Justice Assistance AWARD DATE 10/01/2018PROJECT NUMBER 2018-DJ-BX-0731 SPECIAL CONDITIONS FFATA reporting: Subawards and executive compensation The recipient must comply with applicable requirements to report first-tier subawards ("subgrants") of $25,000 or more and, in certain circumstances, to report the names and total compensation of the five most highly compensated executives of the recipient and first-tier subrecipients (first-tier "subgrantees") of award funds. The details of recipient obligations, which derive from the Federal Funding Accountability and Transparency Act of 2006 (FFATA), are posted on the OJP web site at https://ojp.gov/funding/Explore/FFATA.htm (Award condition: Reporting Subawards and Executive Compensation), and are incorporated by reference here. This condition, including its reporting requirement, does not apply to-- (1) an award of less than $25,000, or (2) an award made to an individual who received the award as a natural person (i.e., unrelated to any business or non-profit organization that he or she may own or operate in his or her name). Required monitoring of subawards The recipient must monitor subawards under this award in accordance with all applicable statutes, regulations, award conditions, and the DOJ Grants Financial Guide, and must include the applicable conditions of this award in any subaward. Among other things, the recipient is responsible for oversight of subrecipient spending and monitoring of specific outcomes and benefits attributable to use of award funds by subrecipients. The recipient agrees to submit, upon request, documentation of its policies and procedures for monitoring of subawards under this award. Use of program income Program income (as defined in the Part 200 Uniform Requirements) must be used in accordance with the provisions of the Part 200 Uniform Requirements. Program income earnings and expenditures both must be reported on the quarterly Federal Financial Report, SF 425. Justice Information Sharing Information sharing projects funded under this award must comply with DOJ's Global Justice Information Sharing Initiative (Global) guidelines. The recipient (and any subrecipient at any tier) must conform to the Global Standards Package (GSP) and all constituent elements, where applicable, as described at: https:/ / it.ojp.gov/ gsp_grantcondition. The recipient (and any subrecipient at any tier) must document planned approaches to information sharing and describe compliance with the GSP and appropriate privacy policy that protects shared information, or provide detailed justification for why an alternative approach is recommended. Avoidance of duplication of networks To avoid duplicating existing networks or IT systems in any initiatives funded by BJA for law enforcement information sharing systems which involve interstate connectivity between jurisdictions, such systems shall employ, to the extent possible, existing networks as the communication backbone to achieve interstate connectivity, unless the recipient can demonstrate to the satisfaction of BJA that this requirement would not be cost effective or would impair the functionality of an existing or proposed IT system. Compliance with 28 C.F.R. Part 23 With respect to any information technology system funded or supported by funds under this award, the recipient (and any subrecipient at any tier) must comply with 28 C.F.R. Part 23, Criminal Intelligence Systems Operating Policies, if OJP determines this regulation to be applicable. Should OJP determine 28 C.F.R. Part 23 to be applicable, OJP may, at its discretion, perform audits of the system, as per the regulation. Should any violation of 28 C.F.R. Part 23 occur, the recipient may be fined as per 34 U.S.C. 10231(c)-(d). The recipient may not satisfy such a fine with federal funds. 29. 30. 31. 32. 33. 34. OJP FORM 4000/2 (REV. 4-88) 23 AWARD CONTINUATION SHEET Grant PAGE 11 OF U.S. Department of Justice Office of Justice Programs Bureau of Justice Assistance AWARD DATE 10/01/2018PROJECT NUMBER 2018-DJ-BX-0731 SPECIAL CONDITIONS Protection of human research subjects The recipient (and any subrecipient at any tier) must comply with the requirements of 28 C.F.R. Part 46 and all OJP policies and procedures regarding the protection of human research subjects, including obtainment of Institutional Review Board approval, if appropriate, and subject informed consent. Confidentiality of data The recipient (and any subrecipient at any tier) must comply with all confidentiality requirements of 34 U.S.C. 10231 and 28 C.F.R. Part 22 that are applicable to collection, use, and revelation of data or information. The recipient further agrees, as a condition of award approval, to submit a Privacy Certificate that is in accord with requirements of 28 C.F.R. Part 22 and, in particular, 28 C.F.R. 22.23. Verification and updating of recipient contact information The recipient must verify its Point of Contact(POC), Financial Point of Contact (FPOC), and Authorized Representative contact information in GMS, including telephone number and e-mail address. If any information is incorrect or has changed, a Grant Adjustment Notice (GAN) must be submitted via the Grants Management System (GMS) to document changes. Law enforcement task forces - required training Within 120 days of award acceptance, each current member of a law enforcement task force funded with award funds who is a task force commander, agency executive, task force officer, or other task force member of equivalent rank, must complete required online (internet-based) task force training. Additionally, all future task force members must complete this training once during the period of performance for this award, or once every four years if multiple OJP awards include this requirement. The required training is available free of charge online through the BJA-funded Center for Task Force Integrity and Leadership (www.ctfli.org). The training addresses task force effectiveness, as well as other key issues including privacy and civil liberties/rights, task force performance measurement, personnel selection, and task force oversight and accountability. If award funds are used to support a task force, the recipient must compile and maintain a task force personnel roster, along with course completion certificates. Additional information regarding the training is available through BJA's web site and the Center for Task Force Integrity and Leadership (www.ctfli.org). Justification of consultant rate Approval of this award does not indicate approval of any consultant rate in excess of $650 per day. A detailed justification must be submitted to and approved by the OJP program office prior to obligation or expenditure of such funds. 35. 36. 37. 38. 39. OJP FORM 4000/2 (REV. 4-88) 23 AWARD CONTINUATION SHEET Grant PAGE 12 OF U.S. Department of Justice Office of Justice Programs Bureau of Justice Assistance AWARD DATE 10/01/2018PROJECT NUMBER 2018-DJ-BX-0731 SPECIAL CONDITIONS Submission of eligible records relevant to the National Instant Background Check System Consonant with federal statutes that pertain to firearms and background checks -- including 18 U.S.C. 922 and 34 U.S.C. ch. 409 -- if the recipient (or any subrecipient at any tier) uses this award to fund (in whole or in part) a specific project or program (such as a law enforcement, prosecution, or court program) that results in any court dispositions, information, or other records that are "eligible records" (under federal or State law) relevant to the National Instant Background Check System (NICS), or that has as one of its purposes the establishment or improvement of records systems that contain any court dispositions, information, or other records that are "eligible records" (under federal or State law) relevant to the NICS, the recipient (or subrecipient, if applicable) must ensure that all such court dispositions, information, or other records that are "eligible records" (under federal or State law) relevant to the NICS are promptly made available to the NICS or to the "State" repository/database that is electronically available to (and accessed by) the NICS, and -- when appropriate -- promptly must update, correct, modify, or remove such NICS- relevant "eligible records". In the event of minor and transitory non-compliance, the recipient may submit evidence to demonstrate diligent monitoring of compliance with this condition (including subrecipient compliance). DOJ will give great weight to any such evidence in any express written determination regarding this condition. Certification of Compliance with 8 U.S.C. 1373 and 1644 (within the funded "program or activity") required for valid award acceptance by a local government In order validly to accept this award, the applicant local government must submit the required "State or Local Government: FY 2018 Certification of Compliance with 8 U.S.C. 1373 and 1644" (executed by the chief legal officer of the local government). Unless that executed certification either-- (1) is submitted to OJP together with the fully- executed award document, or (2) is uploaded in OJP's GMS no later than the day the signed award document is submitted to OJP, any submission by a local government that purports to accept the award is invalid. If an initial award-acceptance submission by the recipient is invalid, once the local government does submit the necessary certification regarding 8 U.S.C. 1373 and 1644, it may submit a fully-executed award document executed by the local government on or after the date of that certification. For purposes of this condition, "local government" does not include any Indian tribe. 40. 41. OJP FORM 4000/2 (REV. 4-88) 23 AWARD CONTINUATION SHEET Grant PAGE 13 OF U.S. Department of Justice Office of Justice Programs Bureau of Justice Assistance AWARD DATE 10/01/2018PROJECT NUMBER 2018-DJ-BX-0731 SPECIAL CONDITIONS Noninterference (within the funded "program or activity") with federal law enforcement: 8 U.S.C. 1373 and 1644; ongoing compliance 1. With respect to the "program or activity" funded in whole or part under this award (including any such program or activity of any subrecipient at any tier), throughout the period of performance, no State or local government entity, - agency, or -official may prohibit or in any way restrict-- (1) any government entity or -official from sending or receiving information regarding citizenship or immigration status as described in 8 U.S.C. 1373(a); or (2) a government entity or -agency from sending, requesting or receiving, maintaining, or exchanging information regarding immigration status as described in either 8 U.S.C. 1373(b) or 1644. Any prohibition (or restriction) that violates this condition is an "information-communication restriction" under this award. 2. Certifications from subrecipients. The recipient may not make a subaward to a State, a local government, or a "public" institution of higher education, unless it first obtains a certification of compliance with 8 U.S.C. 1373 and 1644, properly executed by the chief legal officer of the government or educational institution that would receive the subaward, using the appropriate form available at https://ojp.gov/funding/Explore/SampleCertifications-8USC1373.htm. Also, the recipient must require that no subrecipient (at any tier) may make a further subaward to a State, a local government, or a public institution of higher education, unless it first obtains a certification of compliance with 8 U.S.C. 1373 and 1644, properly executed by the chief legal officer of the government or institution that would receive the further subaward, using the appropriate OJP form. 3. The recipient's monitoring responsibilities include monitoring of subrecipient compliance with the requirements of this condition. 4. Allowable costs. Compliance with these requirements is an authorized and priority purpose of this award. To the extent that such costs are not reimbursed under any other federal program, award funds may be obligated for the reasonable, necessary, and allocable costs (if any) that the recipient, or any subrecipient at any tier that is a State, a local government, or a public institution of higher education, incurs to implement this condition. 5. Rules of Construction A. For purposes of this condition: (1) "State" and "local government" include any agency or other entity thereof, but not any institution of higher education or any Indian tribe. (2) A "public" institution of higher education is defined as one that is owned, controlled, or directly funded (in whole or in substantial part) by a State or local government. (Such a public institution is considered to be a "government entity," and its officials to be "government officials.") (3) "Program or activity" means what it means under title VI of the Civil Rights Act of 1964 (see 42 U.S.C. 2000d-4a). (4) "Immigration status" means what it means under 8 U.S.C. 1373 and 8 U.S.C. 1644; and terms that are defined in 8 U.S.C. 1101 mean what they mean under that section 1101, except that "State" also includes American Samoa. (5) Pursuant to the provisions set out at (or referenced in) 8 U.S.C. 1551 note ("Abolition ... and Transfer of Functions"), references to the "Immigration and Naturalization Service" in 8 U.S.C. 1373 and 1644 are to be read as references to particular components of the Department of Homeland Security (DHS). B. Nothing in this condition shall be understood to authorize or require any recipient, any subrecipient at any tier, any State or local government, any public institution of higher education, or any other entity (or individual) to violate any federal law, including any applicable civil rights or nondiscrimination law. IMPORTANT NOTE: Any questions about the meaning or scope of this condition should be directed to OJP, before 42. OJP FORM 4000/2 (REV. 4-88) 23 AWARD CONTINUATION SHEET Grant PAGE 14 OF U.S. Department of Justice Office of Justice Programs Bureau of Justice Assistance AWARD DATE 10/01/2018PROJECT NUMBER 2018-DJ-BX-0731 SPECIAL CONDITIONS award acceptance. Authority to obligate award funds contingent on noninterference (within the funded "program or activity") with federal law enforcement (8 U.S.C. 1373 and 1644); unallowable costs; notification 1. If the recipient is a "State," a local government, or a "public" institution of higher education: A. The recipient may not obligate award funds if, at the time of the obligation, the "program or activity" of the recipient (or of any subrecipient at any tier that is a State, a local government, or a public institution of higher education) that is funded in whole or in part with award funds is subject to any "information-communication restriction." B. In addition, with respect to any project costs it incurs "at risk," the recipient may not obligate award funds to reimburse itself if -- at the time it incurs such costs -- the program or activity of the recipient (or of any subrecipient at any tier that is a State, a local government, or a public institution of higher education) that would be reimbursed in whole or in part with award funds was subject to any information-communication restriction. C. Any drawdown of award funds by the recipient shall be considered, for all purposes, to be a material representation by the recipient to OJP that, as of the date the recipient requests the drawdown, the recipient and each subrecipient (regardless of tier) that is a State, local government, or public institution of higher education, is in compliance with the award condition entitled "Noninterference (within the funded 'program or activity') with federal law enforcement: 8 U.S.C. 1373 and 1644 and ongoing compliance." D. The recipient must promptly notify OJP (in writing) if the recipient, from its requisite monitoring of compliance with award conditions or otherwise, has credible evidence that indicates that the funded program or activity of the recipient, or of any subrecipient at any tier that is either a State or a local government or a public institution of higher education, may be subject to any information-communication restriction. In addition, any subaward (at any tier) to a subrecipient that is a State, a local government, or a public institution of higher education must require prompt notification to the entity that made the subaward, should the subrecipient have such credible evidence regarding an information-communication restriction. 2. Any subaward (at any tier) to a subrecipient that is a State, a local government, or a public institution of higher education must provide that the subrecipient may not obligate award funds if, at the time of the obligation, the program or activity of the subrecipient (or of any further such subrecipient at any tier) that is funded in whole or in part with award funds is subject to any information-communication restriction. 3. Absent an express written determination by DOJ to the contrary, based upon a finding by DOJ of compelling circumstances (e.g., a small amount of award funds obligated by the recipient at the time of a subrecipient's minor and transitory non-compliance, which was unknown to the recipient despite diligent monitoring), any obligations of award funds that, under this condition, may not be made shall be unallowable costs for purposes of this award. In making any such determination, DOJ will give great weight to evidence submitted by the recipient that demonstrates diligent monitoring of subrecipient compliance with the requirements set out in the "Noninterference ... 8 U.S.C. 1373 and 1644 and ongoing compliance" award condition. 4. Rules of Construction A. For purposes of this condition "information-communication restriction" has the meaning set out in the "Noninterference ... 8 U.S.C. 1373 and 1644 and ongoing compliance" condition. B. Both the "Rules of Construction" and the "Important Note" set out in the "Noninterference ... 8 U.S.C. 1373 and 1644 and ongoing compliance" condition are incorporated by reference as though set forth here in full. 43. OJP FORM 4000/2 (REV. 4-88) 23 AWARD CONTINUATION SHEET Grant PAGE 15 OF U.S. Department of Justice Office of Justice Programs Bureau of Justice Assistance AWARD DATE 10/01/2018PROJECT NUMBER 2018-DJ-BX-0731 SPECIAL CONDITIONS Noninterference (within the funded "program or activity") with federal law enforcement: No public disclosure of certain law enforcement sensitive information SCOPE. This condition applies with respect to the "program or activity" that is funded (in whole or in part) by the award, as of the date the recipient accepts this award, and throughout the remainder of the period of performance. Its provisions must be among those included in any subaward (at any tier). 1. Noninterference: No public disclosure of federal law enforcement information in order to conceal, harbor, or shield Consistent with the purposes and objectives of federal law enforcement statutes and federal criminal law (including 8 U.S.C. 1324 and 18 U.S.C. chs. 1, 49, 227), no public disclosure may be made of any federal law enforcement information in a direct or indirect attempt to conceal, harbor, or shield from detection any fugitive from justice under 18 U.S.C. ch. 49, or any alien who has come to, entered, or remains in the United States in violation of 8 U.S.C. ch. 12 -- without regard to whether such disclosure would constitute (or could form a predicate for) a violation of 18 U.S.C. 1071 or 1072 or of 8 U.S.C. 1324(a). 2. Monitoring The recipient's monitoring responsibilities include monitoring of subrecipient compliance with this condition. 3. Allowable costs To the extent that such costs are not reimbursed under any other federal program, award funds may be obligated for the reasonable, necessary, and allocable costs (if any) of actions (e.g., training) designed to ensure compliance with this condition. 4. Rules of construction A. For purposes of this condition-- (1) the term "alien" means what it means under section 101 of the Immigration and Nationality Act (see 8 U.S.C. 1101(a)(3)); (2) the term "federal law enforcement information" means law enforcement sensitive information communicated or made available, by the federal government, to a State or local government entity, -agency, or -official, through any means, including, without limitation-- (1) through any database, (2) in connection with any law enforcement partnership or -task-force, (3) in connection with any request for law enforcement assistance or -cooperation, or (4) through any deconfliction (or courtesy) notice of planned, imminent, commencing, continuing, or impending federal law enforcement activity; (3) the term "law enforcement sensitive information" means records or information compiled for any law enforcement purpose; and (4) the term "public disclosure" means any communication or release other than one-- (a) within the recipient, or (b) to any subrecipient (at any tier) that is a government entity. B. Both the "Rules of Construction" and the "Important Note" set out in the "Noninterference (within the funded 'program or activity') with federal law enforcement: 8 U.S.C. 1373 and 1644 and ongoing compliance" award condition are incorporated by reference as though set forth here in full. 44. OJP FORM 4000/2 (REV. 4-88) 23 AWARD CONTINUATION SHEET Grant PAGE 16 OF U.S. Department of Justice Office of Justice Programs Bureau of Justice Assistance AWARD DATE 10/01/2018PROJECT NUMBER 2018-DJ-BX-0731 SPECIAL CONDITIONS Noninterference (within the funded "program or activity") with federal law enforcement: Interrogation of certain aliens SCOPE. This condition applies with respect to the "program or activity" that is funded (in whole or in part) by this award, as of the date the recipient accepts this award, and throughout the remainder of the period of performance for the award. Its provisions must be among those included in any subaward (at any tier). 1. Noninterference with statutory law enforcement access to correctional facilities Consonant with federal law enforcement statutes and regulations -- including 8 U.S.C. 1357(a), under which certain federal officers and employees "have power without warrant ... to interrogate any alien or person believed to be an alien as to his right to be or to remain in the United States," and 8 C.F.R. 287.5(a), under which that power may be exercised "anywhere in or outside the United States" -- within the funded program or activity, no State or local government entity, -agency, or -official may interfere with the exercise of that power to interrogate "without warrant" (by agents of the United States acting under color of federal law) by impeding access to any State or local government (or government-contracted) correctional facility by such agents for the purpose "interrogat[ing] any alien or person believed to be an alien as to his [or her] right to be or to remain in the United States." 2. Monitoring The recipient's monitoring responsibilities include monitoring of subrecipient compliance with this condition. 3. Allowable costs To the extent that such costs are not reimbursed under any other federal program, award funds may be obligated for the reasonable, necessary, and allocable costs (if any) of actions (e.g., training) designed to ensure compliance with this condition. 4. Rules of construction A. For purposes of this condition: (1) The term "alien" means what it means under section 101 of the Immigration and Nationality Act (INA) (see 8 U.S.C. 1101(a)(3)). (2) The term "correctional facility" means what it means under the title I of the Omnibus Crime Control and Safe Streets Act of 1968 (see 34 U.S.C. 10251(a)(7)). (3) The term "impede" includes taking or continuing any action, or implementing or maintaining any law, policy, rule, or practice, that-- (a) is designed to prevent or to significantly delay or complicate, or (b) has the effect of preventing or of significantly delaying or complicating. B. Both the "Rules of Construction" and the "Important Note" set out in the "Noninterference (within the funded 'program or activity') with federal law enforcement: 8 U.S.C. 1373 and 1644 and ongoing compliance" award condition are incorporated by reference as though set forth here in full. 45. OJP FORM 4000/2 (REV. 4-88) 23 AWARD CONTINUATION SHEET Grant PAGE 17 OF U.S. Department of Justice Office of Justice Programs Bureau of Justice Assistance AWARD DATE 10/01/2018PROJECT NUMBER 2018-DJ-BX-0731 SPECIAL CONDITIONS Noninterference (within the funded "program or activity") with federal law enforcement: Notice of scheduled release SCOPE. This condition applies with respect to the "program or activity" that is funded (in whole or in part) by the award, as of the date the recipient accepts the award, and throughout the remainder of the period of performance. Its provisions must be among those included in any subaward at any tier. 1. Noninterference with "removal" process: Notice of scheduled release date and time Consonant with federal law enforcement statutes -- including 8 U.S.C. 1231 (for an alien incarcerated by a State or local government, a 90-day "removal period" during which the federal government "shall" detain and then "shall" remove an alien from the U.S. "begins" no later than "the date the alien is released from ... confinement"; also, the federal government is expressly authorized to make payments to a "State or a political subdivision of the State ... with respect to the incarceration of [an] undocumented criminal alien"); 8 U.S.C. 1226 (the federal government "shall take into custody" certain criminal aliens "when the alien is released"); and 8 U.S.C. 1366 (requiring an annual DOJ report to Congress on "the number of illegal alien[ felons] in Federal and State prisons" and programs underway "to ensure the prompt removal" from the U.S. of removable "criminal aliens") -- within the funded program or activity, no State or local government entity, -agency, or -official (including a government-contracted correctional facility) may interfere with the "removal" process by failing to provide -- as early as practicable (see para. 4.C. below) -- advance notice to DHS of the scheduled release date and time for a particular alien, if a State or local government (or government- contracted) correctional facility receives from DHS a formal written request pursuant to the INA that seeks such advance notice. 2. Monitoring The recipient's monitoring responsibilities include monitoring of subrecipient compliance with this condition. 3. Allowable costs To the extent that such costs are not reimbursed under any other federal program, award funds may be obligated for the reasonable, necessary, and allocable costs (if any) of actions (e.g., training) designed to ensure compliance with this condition. 4. Rules of construction A. For purposes of this condition: (1) The term "alien" means what it means under section 101 of the INA (see 8 U.S.C. 1101(a)(3)). (2) The term "correctional facility" means what it means under the title I of the Omnibus Crime Control and Safe Streets Act of 1968 (see 34 U.S.C. 10251(a)(7)). B. Nothing in this condition shall be understood to authorize or require any recipient, any subrecipient at any tier, any State or local government, or any other entity or individual to maintain (or detain) any individual in custody beyond the date and time the individual otherwise would have been released. C. Applicability (1) Current DHS practice is ordinarily to request advance notice of scheduled release "as early as practicable (at least 48 hours, if possible)." (See DHS Form I-247A (3/17)). If (e.g., in light of the date DHS made such request) the scheduled release date and time for an alien are such as not to allow for the advance notice that DHS has requested, it shall NOT be a violation of this condition to provide only as much advance notice as practicable. (2) Current DHS practice is to use the same form for a second, distinct purpose -- to request that an individual be 46. OJP FORM 4000/2 (REV. 4-88) 23 AWARD CONTINUATION SHEET Grant PAGE 18 OF U.S. Department of Justice Office of Justice Programs Bureau of Justice Assistance AWARD DATE 10/01/2018PROJECT NUMBER 2018-DJ-BX-0731 SPECIAL CONDITIONS detained for up to 48 hours AFTER the scheduled release. This condition does NOT encompass such DHS requests for detention. D. Both the "Rules of Construction" and the "Important Note" set out in the "Noninterference (within the funded 'program or activity') with federal law enforcement: 8 U.S.C. 1373 and 1644 and ongoing compliance" award condition are incorporated by reference as though set forth here in full. Requirement to collect certain information from subrecipients The recipient may not make a subaward to a State, a local government, or a "public" institution of higher education, unless it first obtains from the proposed subrecipient responses to the questions identified in the program solicitation as "Information regarding Communication with the Department of Homeland Security (DHS) and/or Immigration and Customs Enforcement (ICE)." All subrecipient responses must be collected and maintained by the recipient, consistent with regular document retention requirements, and must be made available to DOJ upon request. Responses to these questions are not required from subrecipients that are either a tribal government/organization, a nonprofit organization, or a private institution of higher education. 47. OJP FORM 4000/2 (REV. 4-88) 23 AWARD CONTINUATION SHEET Grant PAGE 19 OF U.S. Department of Justice Office of Justice Programs Bureau of Justice Assistance AWARD DATE 10/01/2018PROJECT NUMBER 2018-DJ-BX-0731 SPECIAL CONDITIONS Compliance with National Environmental Policy Act and related statutes Upon request, the recipient (and any subrecipient at any tier) must assist BJA in complying with the National Environmental Policy Act (NEPA), the National Historic Preservation Act, and other related federal environmental impact analyses requirements in the use of these award funds, either directly by the recipient or by a subrecipient. Accordingly, the recipient agrees to first determine if any of the following activities will be funded by the grant, prior to obligating funds for any of these purposes. If it is determined that any of the following activities will be funded by the award, the recipient agrees to contact BJA. The recipient understands that this condition applies to new activities as set out below, whether or not they are being specifically funded with these award funds. That is, as long as the activity is being conducted by the recipient, a subrecipient, or any third party, and the activity needs to be undertaken in order to use these award funds, this condition must first be met. The activities covered by this condition are: a. New construction; b. Minor renovation or remodeling of a property located in an environmentally or historically sensitive area, including properties located within a 100-year flood plain, a wetland, or habitat for endangered species, or a property listed on or eligible for listing on the National Register of Historic Places; c. A renovation, lease, or any proposed use of a building or facility that will either (a) result in a change in its basic prior use or (b) significantly change its size; d. Implementation of a new program involving the use of chemicals other than chemicals that are (a) purchased as an incidental component of a funded activity and (b) traditionally used, for example, in office, household, recreational, or education environments; and e. Implementation of a program relating to clandestine methamphetamine laboratory operations, including the identification, seizure, or closure of clandestine methamphetamine laboratories. The recipient understands and agrees that complying with NEPA may require the preparation of an Environmental Assessment and/or an Environmental Impact Statement, as directed by BJA. The recipient further understands and agrees to the requirements for implementation of a Mitigation Plan, as detailed at https://bja.gov/Funding/nepa.html, for programs relating to methamphetamine laboratory operations. Application of This Condition to Recipient's Existing Programs or Activities: For any of the recipient's or its subrecipients' existing programs or activities that will be funded by these award funds, the recipient, upon specific request from BJA, agrees to cooperate with BJA in any preparation by BJA of a national or program environmental assessment of that funded program or activity. Establishment of trust fund If award funds are being drawn down in advance, the recipient (or a subrecipient, with respect to a subaward) is required to establish a trust fund account. Recipients (and subrecipients) must maintain advance payments of federal awards in interest-bearing accounts, unless regulatory exclusions apply (2 C.F.R. 200.305(b)(8)). The trust fund, including any interest, may not be used to pay debts or expenses incurred by other activities beyond the scope of the Edward Byrne Memorial Justice Assistance Grant Program (JAG). The recipient also agrees to obligate the award funds in the trust fund (including any interest earned) during the period of performance for the award and expend within 90 days thereafter. Any unobligated or unexpended funds, including interest earned, must be returned to OJP at the time of closeout. 48. 49. OJP FORM 4000/2 (REV. 4-88) 23 AWARD CONTINUATION SHEET Grant PAGE 20 OF U.S. Department of Justice Office of Justice Programs Bureau of Justice Assistance AWARD DATE 10/01/2018PROJECT NUMBER 2018-DJ-BX-0731 SPECIAL CONDITIONS Prohibition on use of award funds for match under BVP program JAG funds may not be used as the 50% match for purposes of the DOJ Bulletproof Vest Partnership (BVP) program. Certification of body armor "mandatory wear" policies The recipient agrees to submit a signed certification that all law enforcement agencies receiving body armor purchased with funds from this award have a written "mandatory wear" policy in effect. The recipient must keep signed certifications on file for any subrecipients planning to utilize funds from this award for ballistic-resistant and stab- resistant body armor purchases. This policy must be in place for at least all uniformed officers before any funds from this award may be used by an agency for body armor. There are no requirements regarding the nature of the policy other than it be a mandatory wear policy for all uniformed officers while on duty. Body armor - compliance with NIJ standards and other requirements Ballistic-resistant and stab-resistant body armor purchased with JAG award funds may be purchased at any threat level, make or model, from any distributor or manufacturer, as long as the body armor has been tested and found to comply with applicable National Institute of Justice ballistic or stab standards and is listed on the NIJ Compliant Body Armor Model List (https://nij.gov/topics/technology/body-armor/Pages/compliant-ballistic-armor.aspx). In addition, ballistic-resistant and stab-resistant body armor purchased must be made in the United States and must be uniquely fitted, as set forth in 34 U.S.C. 10202(c)(1)(A). The latest NIJ standard information can be found here: https:/ / nij.gov/ topics/ technology/ body-armor/ pages/ safety-initiative.aspx. Body armor - impact on eligibility for other program funds The recipient understands that the use of funds under this award for purchase of body armor may impact eligibility for funding under the Bulletproof Vest Partnership (BVP) program, a separate program operated by BJA, pursuant to the BVP statute at 34 USC 10531(c)(5). Reporting requirements The recipient must submit quarterly Federal Financial Reports (SF-425) and semi-annual performance reports through OJP's GMS (https://grants.ojp.usdoj.gov). Consistent with the Department's responsibilities under the Government Performance and Results Act (GPRA) and the GPRA Modernization Act of 2010, the recipient must provide data that measure the results of its work. The recipient must submit quarterly performance metrics reports through BJA's Performance Measurement Tool (PMT) website (www.bjaperformancetools.org). For more detailed information on reporting and other JAG requirements, refer to the JAG reporting requirements webpage. Failure to submit required JAG reports by established deadlines may result in the freezing of grant funds and future High Risk designation. Required data on law enforcement agency training Any law enforcement agency receiving direct or sub-awarded funding from this JAG award must submit quarterly accountability metrics data related to training that officers have received on the use of force, racial and ethnic bias, de- escalation of conflict, and constructive engagement with the public. Expenditures prohibited without waiver No funds under this award may be expended on the purchase of items prohibited by the JAG program statute, unless, as set forth at 34 U.S.C. 10152, the BJA Director certifies that extraordinary and exigent circumstances exist, making such expenditures essential to the maintenance of public safety and good order. 50. 51. 52. 53. 54. 55. 56. OJP FORM 4000/2 (REV. 4-88) 23 AWARD CONTINUATION SHEET Grant PAGE 21 OF U.S. Department of Justice Office of Justice Programs Bureau of Justice Assistance AWARD DATE 10/01/2018PROJECT NUMBER 2018-DJ-BX-0731 SPECIAL CONDITIONS Authorization to obligate (federal) award funds to reimburse certain project costs incurred on or after October 1, 2017 The recipient may obligate (federal) award funds only after the recipient makes a valid acceptance of the award. As of the first day of the period of performance for the award (October 1, 2017), however, the recipient may choose to incur project costs using non-federal funds, but any such project costs are incurred at the recipient's risk until, at a minimum-- (1) the recipient makes a valid acceptance of the award, and (2) all applicable withholding conditions are removed by OJP (via a Grant Adjustment Notice). (A withholding condition is a condition in the award document that precludes the recipient from obligating, expending, or drawing down all or a portion of the award funds until the condition is removed.) Except to the extent (if any) that an award condition expressly precludes reimbursement of project costs incurred "at- risk," if and when the recipient makes a valid acceptance of this award and OJP removes each applicable withholding condition through a Grant Adjustment Notice, the recipient is authorized to obligate (federal) award funds to reimburse itself for project costs incurred "at-risk" earlier during the period of performance (such as project costs incurred prior to award acceptance or prior to removal of an applicable withholding condition), provided that those project costs otherwise are allowable costs under the award. Nothing in this condition shall be understood to authorize the recipient (or any subrecipient at any tier) to use award funds to "supplant" State or local funds in violation of the recipient's certification (executed by the chief executive of the State or local government) that federal funds will be used to increase the amounts of such funds that would, in the absence of federal funds, be made available for law enforcement activities. Use of funds for DNA testing; upload of DNA profiles If award funds are used for DNA testing of evidentiary materials, any resulting eligible DNA profiles must be uploaded to the Combined DNA Index System ("CODIS," the DNA database operated by the FBI) by a government DNA laboratory with access to CODIS. No profiles generated under this award may be entered or uploaded into any non-governmental DNA database without prior express written approval from BJA. Award funds may not be used for the purchase of DNA equipment and supplies unless the resulting DNA profiles may be accepted for entry into CODIS. Three percent set-aside for NIBRS compliance The recipient must ensure that at least 3 percent of the total amount of this award is dedicated to achieving full compliance with the FBI's National Incident-Based Reporting System (NIBRS), unless the FBI or appropriate State official has certified that the recipient locality is already NIBRS compliant, and evidence of this has been submitted to and approved by BJA. The recipient will be required by BJA to make revisions to budgets that do not clearly indicate what projects will be supported by this 3 percent set-aside, unless evidence of NIBRS compliance has been submitted to and approved by BJA. Recipients serving as fiscal agents for "disparate jurisdictions," (as defined at 34 USC 10156(d)(4)) have to pass this requirement through to in subawards to other localities in the disparate jurisdiction, so that each locality in a disparate jurisdiction group dedicates at least 3 percent of award funds to NIBRS compliance, unless, with respect to each locality in the disparate jurisdiction group, evidence of NIBRS compliance has been submitted to and approved by BJA. 57. 58. 59. OJP FORM 4000/2 (REV. 4-88) 23 AWARD CONTINUATION SHEET Grant PAGE 22 OF U.S. Department of Justice Office of Justice Programs Bureau of Justice Assistance AWARD DATE 10/01/2018PROJECT NUMBER 2018-DJ-BX-0731 SPECIAL CONDITIONS Encouragement of submission of "success stories" BJA strongly encourages the recipient to submit annual (or more frequent) JAG success stories. To submit a success story, sign in to a My BJA account at https:/ / www.bja.gov/ Login.aspx to access the Success Story Submission form. If the recipient does not yet have a My BJA account, please register at https:/ / www.bja.gov/ profile.aspx. Once registered, one of the available areas on the My BJA page will be "My Success Stories." Within this box, there is an option to add a Success Story. Once reviewed and approved by BJA, all success stories will appear on the BJA Success Story web page at https:/ / www.bja.gov/ SuccessStoryList.aspx. Withholding of funds: Required certification from the chief executive of the applicant government The recipient may not obligate, expend, or draw down any award funds until the recipient submits the required "Certifications and Assurances by the Chief Executive of the Applicant Government," properly-executed (as determined by OJP), and a Grant Adjustment Notice (GAN) has been issued to remove this condition. Withholding of funds: NIBRS set-aside The recipient may not obligate, expend, or draw down any award funds until the recipient submits, and BJA reviews and accepts, a budget that clearly dedicates at least 3 percent of the total amount of the award to NIBRS compliance activities or documentation showing that the recipient has been certified as NIBRS compliant, and a Grant Adjustment Notice (GAN) has been issued to remove this condition. Withholding - DHS question attachment The recipient may not obligate, expend or draw down funds until the Office of Justice Programs has received and approved the required application attachment(s) described in the program solicitation as "Information regarding Communication with the Department of Homeland Security (DHS) and/or Immigration and Customs Enforcement (ICE)," and has issued a Grant Adjustment Notice (GAN) releasing this special condition. Withholding of funds: Disclosure of pending applications The recipient may not obligate, expend, or draw down any award funds until: (1) it has provided to the grant manager for this OJP award either an "applicant disclosure of pending applications" for federal funding or a specific affirmative statement that no such pending applications (whether direct or indirect) exist, in accordance with the detailed instructions in the program solicitation, (2) OJP has completed its review of the information provided and of any supplemental information it may request, (3) the recipient has made any adjustments to the award that OJP may require to prevent or eliminate any inappropriate duplication of funding (e.g., budget modification, project scope adjustment), (4) if appropriate adjustments to a discretionary award cannot be made, the recipient has agreed in writing to any necessary reduction of the award amount in any amount sufficient to prevent duplication (as determined by OJP), and (5) a Grant Adjustment Notice has been issued to remove this condition. Withholding of funds: Disclosure of lobbying The recipient may not obligate, expend, or draw down any funds under this award until it has provided to the grant manager for this OJP award a complete Disclosure of Lobbying Activities (SF-LLL) form, and OJP has issued a Grant Adjustment Notice to remove this special condition. 60. 61. 62. 63. 64. 65. OJP FORM 4000/2 (REV. 4-88) 23 AWARD CONTINUATION SHEET Grant PAGE 23 OF U.S. Department of Justice Office of Justice Programs Bureau of Justice Assistance AWARD DATE 10/01/2018PROJECT NUMBER 2018-DJ-BX-0731 SPECIAL CONDITIONS Withholding of funds: Required certification regarding body-worn cameras The recipient may not obligate, expend, or draw down any award funds until the recipient submits, and OJP has reviewed, the required certification regarding body-worn cameras, and a Grant Adjustment Notice (GAN) has been issued to remove this condition. Recipient may not obligate, expend or drawdown funds until the Bureau of Justice Assistance, Office of Justice Programs has received and approved the required application attachment(s) and has issued a Grant Adjustment Notice (GAN) releasing this special condition. 66. 67. OJP FORM 4000/2 (REV. 4-88) 23 Memorandum To: From: Subject: Washington, D.C. 20531 Orbin Terry, NEPA Coordinator Incorporates NEPA Compliance in Further Developmental Stages for Augusta Richmond County The Edward Byrne Memorial Justice Assistance Grant Program (JAG) allows states and local governments to support a broad range of activities to prevent and control crime and to improve the criminal justice system, some of which could have environmental impacts. All recipients of JAG funding must assist BJA in complying with NEPA and other related federal environmental impact analyses requirements in the use of grant funds, whether the funds are used directly by the grantee or by a subgrantee or third party. Accordingly, prior to obligating funds for any of the specified activities, the grantee must first determine if any of the specified activities will be funded by the grant. The specified activities requiring environmental analysis are: a. New construction; b. Any renovation or remodeling of a property located in an environmentally or historically sensitive area, including properties located within a 100-year flood plain, a wetland, or habitat for endangered species, or a property listed on or eligible for listing on the National Register of Historic Places; c. A renovation, lease, or any proposed use of a building or facility that will either (a) result in a change in its basic prior use or (b) significantly change its size; d. Implementation of a new program involving the use of chemicals other than chemicals that are (a) purchased as an incidental component of a funded activity and (b) traditionally used, for example, in office, household, recreational, or education environments; and e. Implementation of a program relating to clandestine methamphetamine laboratory operations, including the identification, seizure, or closure of clandestine methamphetamine laboratories. Complying with NEPA may require the preparation of an Environmental Assessment and/or an Environmental Impact Statement, as directed by BJA. Further, for programs relating to methamphetamine laboratory operations, the preparation of a detailed Mitigation Plan will be required. For more information about Mitigation Plan requirements, please see https://www.bja.gov/Funding/nepa.html. Please be sure to carefully review the grant conditions on your award document, as it may contain more specific information about environmental compliance. U.S. Department of Justice Office of Justice Programs Bureau of Justice Assistance Official Grant File GRANT MANAGER'S MEMORANDUM, PT. I: PROJECT SUMMARY 1. STAFF CONTACT (Name & telephone number) PROJECT NUMBER 6. NAME & ADRESS OF SUBGRANTEE 7. PROGRAM PERIOD 8. BUDGET PERIOD 9. AMOUNT OF AWARD 10. DATE OF AWARD 11. SECOND YEAR'S BUDGET 2018-DJ-BX-0731 2. PROJECT DIRECTOR (Name, address & telephone number) 4. TITLE OF PROJECT 12. SECOND YEAR'S BUDGET AMOUNT 13. THIRD YEAR'S BUDGET PERIOD 14. THIRD YEAR'S BUDGET AMOUNT 15. SUMMARY DESCRIPTION OF PROJECT (See instruction on reverse) 5. NAME & ADDRESS OF GRANTEE Grant This project is supported under FY18(BJA - JAG State & JAG Local) Title I of Pub. L. No. 90-351 (generally codified at 34 U.S.C. 10101 - 10726), including subpart I of part E (codified at 34 U.S.C. 10151 - 10158); see also 28 U.S.C. 530C(a) Robert Partain Colonel 400 Walton Way Augusta, GA 30901-2438 (706) 821-1430 PAGE 11OF The Edward Byrne Memorial Justice Assistance Grant Program (JAG) allows states and units of local government, including tribes, to support a broad range of criminal justice related activities based on their own state and local needs and conditions. Grant funds can be used for state and local initiatives, technical assistance, training, personnel, equipment, supplies, contractual support, and information systems for criminal justice, including for any one or more of the following purpose areas: 1) law enforcement programs; 2) prosecution and court programs; 3) prevention and education programs; 4) corrections and community corrections programs; 5) drug treatment and enforcement programs; 6) planning, evaluation, and technology improvement programs; 7) crime victim and witness programs (other than compensation); and 8) mental health programs and related law enforcement and corrections programs, including behavioral programs and crisis intervention teams. This Local JAG award will be used to support criminal justice initiatives that fall under one or more of the allowable program areas above. Any equipment purchases or funded initiatives such as overtime, task forces, drug programs or information sharing, will be aimed at reducing crime and enhancing public and officer safety. NCA/NCF Flora D. Lawson (202) 305-9216 OJP FORM 4000/2 (REV. 4-88) Purchasing of Body Worn Video Cameras Augusta Richmond County 535 Telfair Street, Suite 800 Finance Department Augusta, GA 30901-4441 TO:10/01/2017 09/30/2021FROM:TO:10/01/2017 09/30/2021FROM: 10/01/2018 $ 31,696 3b. POMS CODE (SEE INSTRUCTIONS ON REVERSE) 3a. TITLE OF THE PROGRAM BJA FY 18 Edward Byrne Memorial Justice Assistance Grant (JAG) Program - Local Solicitation U.S. Department of Justice Office of Justice Programs Bureau of Justice Assistance AUGUSTA, GEORGIA New Grant ProposaUApplication B€for. a Depsrtment/sgcrcy msy rpply for th€ grrtrUaward oD behrlfof Augwta Richmotrd Couoty, they mrst fiIrt obtsin opproval sigDaturo froD thc AdEinistrator rod ihc Fhrnce Dirrctor. ThG Admi!futrltor will obtrin informltio! on thc grmt program ond requiremetrls from tte funding agcncy aod review thcsc for feaEibility to dctcmrine ifthis grrDt/swsrd rylll betrclit Augufta Richmord Co[Dty. The Fltretrce Dir€ctor will roview the fuldiog requircm€ol to determinr ifth. grsot will fit wlthlD our budgel struclure rtrd fitrrtrciol gods. Propor8l Pmjcct No. Projcct Titlc Stort DEte: l0l0l20l7 Submit Drte: 10103/2018 Tot l Budgeted AmouDt: 31,696.00 Erd Daie: 098012021 Departmeol 032 Totrl Fuoditrg Agencyr Contacts PR000181 SHERtrlFS Justice Assislance Grant (JAG) Progam 201E Edward Byme Memorial Justice Assistance Granr (JAG) program FY 201E Looal Solicitation. This grant witl be uscd to purchase Body Canrcras for thc Richmond County Sherifs Office. Cash match rcquired: No EEO Required: No BF,O Dept mtificd: No Rccahtad Mmlnbuato'5 Ofrlc' ocr 0 3 2018 Augt da' GA sheriff ctsh Mrtch? N 31,696.00 Tot l Crsh Malch 0.00 Flow lhru ID; GM00l4 US Dept of Justice sPolsor: GMool4 us Dcpt ofJusticp SpomorTypg F Federal Purporcl 7 Crime con$ol/lnvest Tvpe I GMI0I8 Partain, Roben Phonc (706)821-r419 Type FA -ELR.ROL'NDTREE Approvals Dala t0/03120t8 Dept. Sigmturer Grana Coordinitor Signrtrre: l.) I have rtvicwed thc Grant application and enclosed materials and: b4frd $rc grar,tlawzrdto be feasible to the needs of Augusta fuchmond County 'try* 2.) 2r* t€,riewfd the Granr application and enclosod materials and: ,y' Appron" tt " O*partment Agency to move forward with thc application the request L form will slso be used to provide th€ €xterDal auditors with information oa all grants for complience and rrequiremeDls as required by lhe State atrd Fedenl Governmetrt, Curt.ot D.l.: lO/03/2Ol E ro[r\r? Finance Director R.pon: GMI000_PROPOSAI - GMl000: Grants MsnagemeD I CurrcntTin.: l4:14r57 AUGUSTA, GEORGIA New Grant ProposaUApplication B€for. a Depsrtment/sgcrcy msy rpply for th€ grrtrUaward oD behrlfof Augwta Richmotrd Couoty, they mrst fiIrt obtsin opproval sigDaturo froD thc AdEinistrator rod ihc Fhrnce Dirrctor. ThG Admi!futrltor will obtrin informltio! on thc grmt program ond requiremetrls from tte funding agcncy aod review thcsc for feaEibility to dctcmrine ifthis grrDt/swsrd rylll betrclit Augufta Richmord Co[Dty. The Fltretrce Dir€ctor will roview the fuldiog requircm€ol to determinr ifth. grsot will fit wlthlD our budgel struclure rtrd fitrrtrciol gods. Propor8l Pmjcct No. Projcct Titlc Stort DEte: l0l0l20l7 Submit Drte: 10103/2018 Tot l Budgeted AmouDt: 31,696.00 Erd Daie: 098012021 Departmeol 032 Totrl Fuoditrg Agencyr Contacts PR000181 SHERtrlFS Justice Assislance Grant (JAG) Progam 201E Edward Byme Memorial Justice Assistance Granr (JAG) program FY 201E Looal Solicitation. This grant witl be uscd to purchase Body Canrcras for thc Richmond County Sherifs Office. Cash match rcquired: No EEO Required: No BF,O Dept mtificd: No Rccahtad Mmlnbuato'5 Ofrlc' ocr 0 3 2018 Augt da' GA sheriff ctsh Mrtch? N 31,696.00 Tot l Crsh Malch 0.00 Flow lhru ID; GM00l4 US Dept of Justice sPolsor: GMool4 us Dcpt ofJusticp SpomorTypg F Federal Purporcl 7 Crime con$ol/lnvest Tvpe I GMI0I8 Partain, Roben Phonc (706)821-r419 Type FA -ELR.ROL'NDTREE Approvals Dala t0/03120t8 Dept. Sigmturer Grana Coordinitor Signrtrre: l.) I have rtvicwed thc Grant application and enclosed materials and: b4frd $rc grar,tlawzrdto be feasible to the needs of Augusta fuchmond County 'try* 2.) 2r* t€,riewfd the Granr application and enclosod materials and: ,y' Appron" tt " O*partment Agency to move forward with thc application the request L form will slso be used to provide th€ €xterDal auditors with information oa all grants for complience and rrequiremeDls as required by lhe State atrd Fedenl Governmetrt, Curt.ot D.l.: lO/03/2Ol E ro[r\r? Finance Director R.pon: GMI000_PROPOSAI - GMl000: Grants MsnagemeD I CurrcntTin.: l4:14r57 U.S. Department of Justice Office of Justice Programs Washington, D.C. 20531Office of the Assistant Attorney General October 1, 2018 The Honorable Hardie Davis Jr. Augusta Richmond County 535 Telfair Street, Suite 800 Finance Department Augusta, GA 30901-4441 Dear Mayor Davis: On behalf of Attorney General Jefferson Sessions III, it is my pleasure to inform you that the Office of Justice Programs has approved your application for funding under the FY 18 Edward Byrne Memorial Justice Assistance Grant (JAG) Program - Local Solicitation in the amount of $31,696 for Augusta Richmond County. Enclosed you will find the Grant Award and Special Conditions documents. This award is subject to all administrative and financial requirements, including the timely submission of all financial and programmatic reports, resolution of all interim audit findings, and the maintenance of a minimum level of cash-on-hand. Should you not adhere to these requirements, you will be in violation of the terms of this agreement and the award will be subject to termination for cause or other administrative action as appropriate. If you have questions regarding this award, please contact: - Program Questions, Flora D. Lawson, Program Manager at (202) 305-9216; and - Financial Questions, the Office of the Chief Financial Officer, Customer Service Center (CSC) at (800) 458-0786, or you may contact the CSC at ask.ocfo@usdoj.gov. Congratulations, and we look forward to working with you. Sincerely, Enclosures Matt Dummermuth Principal Deputy Assistant Attorney General U.S. Department of Justice Office of Justice Programs OFFICE FOR CIVIL RIGHTS 810 7th Street, NW Washington, DC 20531 Tel: (202) 307-0690 TTY: (202) 307-2027 E-mail: askOCR@usdoj.gov Website: www.ojp.usdoj.gov/ocr October 1, 2018 The Honorable Hardie Davis Jr. Augusta Richmond County 535 Telfair Street, Suite 800 Finance Department Augusta, GA 30901-4441 Congratulations on your recent award. In establishing financial assistance programs, Congress linked the receipt of federal funding to compliance with federal civil rights laws. The Office for Civil Rights (OCR), Office of Justice Programs (OJP), U.S. Department of Justice (DOJ) is responsible for ensuring that recipients of financial assistance from the OJP, the Office of Community Oriented Policing Services (COPS), and the Office on Violence Against Women (OVW) comply with the applicable federal civil rights laws. We at the OCR are available to help you and your organization meet the civil rights requirements that come with DOJ funding. Ensuring Access to Federally Assisted Programs Federal laws that apply to recipients of financial assistance from the DOJ prohibit discrimination on the basis of race, color, national origin, religion, sex, or disability in funded programs or activities, not only in employment but also in the delivery of services or benefits. A federal law also prohibits recipients from discriminating on the basis of age in the delivery of services or benefits. In March of 2013, President Obama signed the Violence Against Women Reauthorization Act of 2013. The statute amends the Violence Against Women Act of 1994 (VAWA) by including a nondiscrimination grant condition that prohibits discrimination based on actual or perceived race, color, national origin, religion, sex, disability, sexual orientation, or gender identity. The new nondiscrimination grant condition applies to certain programs funded after October 1, 2013. The OCR and the OVW have developed answers to some frequently asked questions about this provision to assist recipients of VAWA funds to understand their obligations. The Frequently Asked Questions are available at https://ojp.gov/about/ocr/vawafaqs.htm. Enforcing Civil Rights Laws All recipients of federal financial assistance, regardless of the particular funding source, the amount of the grant award, or the number of employees in the workforce, are subject to prohibitions against unlawful discrimination. Accordingly, the OCR investigates recipients that are the subject of discrimination complaints from both individuals and groups. In addition, based on regulatory criteria, the OCR selects a number of recipients each year for compliance reviews, audits that require recipients to submit data showing that they are providing services equitably to all segments of their service population and that their employment practices meet equal opportunity standards. Dear Mayor Davis: OCR Letter to All Recipients Providing Services to Limited English Proficiency (LEP) Individuals In accordance with DOJ guidance pertaining to Title VI of the Civil Rights Act of 1964, 42 U.S.C. § 2000d, recipients of federal financial assistance must take reasonable steps to provide meaningful access to their programs and activities for persons with limited English proficiency (LEP). See U.S. Department of Justice, Guidance to Federal Financial Assistance Recipients Regarding Title VI Prohibition Against National Origin Discrimination Affecting Limited English Proficient Persons, 67 Fed. Reg. 41,455 (2002). For more information on the civil rights responsibilities that recipients have in providing language services to LEP individuals, please see the website https://www.lep.gov. Ensuring Equal Treatment of Faith-Based Organizations and Safeguarding Constitutional Protections Related to Religion The DOJ regulation, Partnerships with Faith-Based and Other Neighborhood Organizations, 28 C.F.R. pt. 38, updated in April 2016, prohibits all recipient organizations, whether they are law enforcement agencies, governmental agencies, educational institutions, houses of worship, or faith-based organizations, from using financial assistance from the DOJ to fund explicitly religious activities. Explicitly religious activities include worship, religious instruction, or proselytization. While funded organizations may engage in non-funded explicitly religious activities (e.g., prayer), they must hold them separately from the activities funded by the DOJ, and recipients cannot compel beneficiaries to participate in them. The regulation also makes clear that organizations participating in programs funded by the DOJ are not permitted to discriminate in the provision of services on the basis of a beneficiary's religion, religious belief, a refusal to hold a religious belief, or a refusal to attend or participate in a religious practice. Funded faith-based organizations must also provide written notice to beneficiaries, advising them that if they should object to the religious character of the funded faith based organization, the funded faith-based organization will take reasonable steps to refer the beneficiary to an alternative service provider. For more information on the regulation, please see the OCR's website at https://ojp.gov/about/ocr/partnerships.htm. SAAs and faith-based organizations should also note that the Omnibus Crime Control and Safe Streets Act (Safe Streets Act) of 1968, as amended, 34 U.S.C. § 10228(c); the Victims of Crime Act of 1984, as amended, 34 U.S.C. § 20110(e); the Juvenile Justice and Delinquency Prevention Act of 1974, as amended, 34 U.S.C. § 11182(b); and VAWA, as amended, 34 U.S.C. § 12291(b)(13), contain prohibitions against discrimination on the basis of religion in employment. Despite these nondiscrimination provisions, the DOJ has concluded that it may construe the Religious Freedom Restoration Act (RFRA) on a case-by- case basis to permit some faith-based organizations to receive DOJ funds while taking into account religion when hiring staff, even if the statute that authorizes the funding program generally forbids recipients from considering religion in employment decisions. Please consult with the OCR if you have any questions about the regulation or the application of RFRA to the statutes that prohibit discrimination in employment. Using Arrest and Conviction Records in Making Employment Decisions The OCR issued an advisory document for recipients on the proper use of arrest and conviction records in making hiring decisions. See Advisory for Recipients of Financial Assistance from the U.S. Department of Justice on the U.S. Equal Employment Opportunity Commission's Enforcement Guidance: Consideration of Arrest and Conviction Records in Employment Decisions Under Title VII of the Civil Rights Act of 1964 (June 2013), available at https://ojp.gov/about/ocr/pdfs/UseofConviction_Advisory.pdf. Recipients should be mindful that the misuse of arrest or conviction records to screen either applicants for employment or employees for retention or promotion may have a disparate impact based on race or national origin, resulting in unlawful employment discrimination. In light of the Advisory, recipients should consult local counsel in reviewing their employment practices. If warranted, recipients should also incorporate an analysis of the use of arrest and conviction records in their Equal Employment Opportunity Plans (EEOPs) (see below). Complying with the Safe Streets Act An organization that is a recipient of financial assistance subject to the nondiscrimination provisions of the Safe Streets Act, must meet two obligations: (1) complying with the federal regulation pertaining to the development of an EEOP (see 28 C.F.R. pt. 42, subpt. E) and (2) submitting to the OCR findings of discrimination (see 28 C.F.R. §§ 42.204(c), .205(c)(5)). Sincerely, Meeting the EEOP Requirement An EEOP is a comprehensive document that analyzes a recipient's relevant labor market data, as well as the recipient's employment practices, to identify possible barriers to the participation of women and minorities in all levels of a recipient's workforce. As a recipient of DOJ funding, you may be required to submit an EEOP Certification Report or an EEOP Utilization Report to the OCR. For more information on whether your organization is subject to the EEOP requirements, see https://ojp.gov/about/ocr/eeop.htm. Additionally, you may request technical assistance from an EEOP specialist at the OCR by telephone at (202) 616-1771 or by e-mail at EEOPforms@usdoj.gov. Meeting the Requirement to Submit Findings of Discrimination If in the three years prior to the date of the grant award, your organization has received an adverse finding of discrimination based on race, color, national origin, religion, or sex, after a due-process hearing, from a state or federal court or from a state or federal administrative agency, your organization must send a copy of the finding to the OCR. Ensuring the Compliance of Subrecipients SAAs must have standard assurances to notify subrecipients of their civil rights obligations, written procedures to address discrimination complaints filed against subrecipients, methods to monitor subrecipients' compliance with civil rights requirements, and a program to train subrecipients on applicable civil rights laws. In addition, SAAs must submit to the OCR every three years written Methods of Administration (MOA) that summarize the policies and procedures that they have implemented to ensure the civil rights compliance of subrecipients. For more information on the MOA requirement, see https://ojp.gov/funding/Explore/StateMethodsAdmin-FY2017update.htm. If the OCR can assist you in any way in fulfilling your organization's civil rights responsibilities as a recipient of federal financial assistance, please contact us. Michael L. Alston Director cc:Grant Manager Financial Analyst Grant PAGE 1 OF U.S. Department of Justice Office of Justice Programs Bureau of Justice Assistance 1. RECIPIENT NAME AND ADDRESS (Including Zip Code) Augusta Richmond County 535 Telfair Street, Suite 800 Finance Department Augusta, GA 30901-4441 8. SUPPLEMENT NUMBER 00 9. PREVIOUS AWARD AMOUNT 10. AMOUNT OF THIS AWARD $ 0 $ 31,696 11. TOTAL AWARD $ 31,696 2a. GRANTEE IRS/VENDOR NO. 586000882 2b. GRANTEE DUNS NO. 073438418 3. PROJECT TITLE Purchasing of Body Worn Video Cameras 12. SPECIAL CONDITIONS THE ABOVE GRANT PROJECT IS APPROVED SUBJECT TO SUCH CONDITIONS OR LIMITATIONS AS ARE SET FORTH ON THE ATTACHED PAGE(S). 13. STATUTORY AUTHORITY FOR GRANT This project is supported under FY18(BJA - JAG State & JAG Local) Title I of Pub. L. No. 90-351 (generally codified at 34 U.S.C. 10101 - 10726), including subpart I of part E (codified at 34 U.S.C. 10151 - 10158); see also 28 U.S.C. 530C(a) 14 . CATALOG OF DOMESTIC FEDERAL ASSISTANCE (CFDA Number) 16.738 - Edward Byrne Memorial Justice Assistance Grant Program 15. METHOD OF PAYMENT GPRS AGENCY APPROVAL 16. TYPED NAME AND TITLE OF APPROVING OFFICIAL GRANTEE ACCEPTANCE Matt Dummermuth Principal Deputy Assistant Attorney General AGENCY USE ONLY 20. ACCOUNTING CLASSIFICATION CODES 21. FISCAL YEAR FUND CODE BUD. ACT.OFC. DIV. REG.SUB.POMS AMOUNT DJBX 80 00 00 31696 TDJUGT1179 18. TYPED NAME AND TITLE OF AUTHORIZED GRANTEE OFFICIAL Hardie Davis Mayor 4. AWARD NUMBER:2018-DJ-BX-0731 5. PROJECT PERIOD: FROM BUDGET PERIOD: FROM 6. AWARD DATE 7. ACTION Initial 10/01/2018 TO TO 10/01/2017 10/01/2017 09/30/2021 09/30/2021 OJP FORM 4000/2 (REV. 5-87) PREVIOUS EDITIONS ARE OBSOLETE. OJP FORM 4000/2 (REV. 4-88) 19. SIGNATURE OF AUTHORIZED RECIPIENT OFFICIAL 19A. DATE17. SIGNATURE OF APPROVING OFFICIAL 23 AWARD CONTINUATION SHEET Grant PAGE 2 OF U.S. Department of Justice Office of Justice Programs Bureau of Justice Assistance AWARD DATE 10/01/2018PROJECT NUMBER 2018-DJ-BX-0731 SPECIAL CONDITIONS Requirements of the award; remedies for non-compliance or for materially false statements The conditions of this award are material requirements of the award. Compliance with any certifications or assurances submitted by or on behalf of the recipient that relate to conduct during the period of performance also is a material requirement of this award. Failure to comply with any one or more of these award requirements -- whether a condition set out in full below, a condition incorporated by reference below, or a certification or assurance related to conduct during the award period -- may result in the Office of Justice Programs ("OJP") taking appropriate action with respect to the recipient and the award. Among other things, the OJP may withhold award funds, disallow costs, or suspend or terminate the award. The Department of Justice ("DOJ"), including OJP, also may take other legal action as appropriate. Any materially false, fictitious, or fraudulent statement to the federal government related to this award (or concealment or omission of a material fact) may be the subject of criminal prosecution (including under 18 U.S.C. 1001 and/or 1621, and/or 34 U.S.C. 10271-10273), and also may lead to imposition of civil penalties and administrative remedies for false claims or otherwise (including under 31 U.S.C. 3729-3730 and 3801-3812). Should any provision of a requirement of this award be held to be invalid or unenforceable by its terms, that provision shall first be applied with a limited construction so as to give it the maximum effect permitted by law. Should it be held, instead, that the provision is utterly invalid or -unenforceable, such provision shall be deemed severable from this award. Applicability of Part 200 Uniform Requirements The Uniform Administrative Requirements, Cost Principles, and Audit Requirements in 2 C.F.R. Part 200, as adopted and supplemented by DOJ in 2 C.F.R. Part 2800 (together, the "Part 200 Uniform Requirements") apply to this FY 2018 award from OJP. The Part 200 Uniform Requirements were first adopted by DOJ on December 26, 2014. If this FY 2018 award supplements funds previously awarded by OJP under the same award number (e.g., funds awarded during or before December 2014), the Part 200 Uniform Requirements apply with respect to all funds under that award number (regardless of the award date, and regardless of whether derived from the initial award or a supplemental award) that are obligated on or after the acceptance date of this FY 2018 award. For more information and resources on the Part 200 Uniform Requirements as they relate to OJP awards and subawards ("subgrants"), see the OJP website at https://ojp.gov/funding/Part200UniformRequirements.htm. Record retention and access: Records pertinent to the award that the recipient (and any subrecipient ("subgrantee") at any tier) must retain -- typically for a period of 3 years from the date of submission of the final expenditure report (SF 425), unless a different retention period applies -- and to which the recipient (and any subrecipient ("subgrantee") at any tier) must provide access, include performance measurement information, in addition to the financial records, supporting documents, statistical records, and other pertinent records indicated at 2 C.F.R. 200.333. In the event that an award-related question arises from documents or other materials prepared or distributed by OJP that may appear to conflict with, or differ in some way from, the provisions of the Part 200 Uniform Requirements, the recipient is to contact OJP promptly for clarification. 1. 2. OJP FORM 4000/2 (REV. 4-88) 23 AWARD CONTINUATION SHEET Grant PAGE 3 OF U.S. Department of Justice Office of Justice Programs Bureau of Justice Assistance AWARD DATE 10/01/2018PROJECT NUMBER 2018-DJ-BX-0731 SPECIAL CONDITIONS Compliance with DOJ Grants Financial Guide References to the DOJ Grants Financial Guide are to the DOJ Grants Financial Guide as posted on the OJP website (currently, the "DOJ Grants Financial Guide" available at https://ojp.gov/financialguide/DOJ/index.htm), including any updated version that may be posted during the period of performance. The recipient agrees to comply with the DOJ Grants Financial Guide. Reclassification of various statutory provisions to a new Title 34 of the United States Code On September 1, 2017, various statutory provisions previously codified elsewhere in the U.S. Code were editorially reclassified to a new Title 34, entitled "Crime Control and Law Enforcement." The reclassification encompassed a number of statutory provisions pertinent to OJP awards (that is, OJP grants and cooperative agreements), including many provisions previously codified in Title 42 of the U.S. Code. Effective as of September 1, 2017, any reference in this award document to a statutory provision that has been reclassified to the new Title 34 of the U.S. Code is to be read as a reference to that statutory provision as reclassified to Title 34. This rule of construction specifically includes references set out in award conditions, references set out in material incorporated by reference through award conditions, and references set out in other award requirements. Required training for Point of Contact and all Financial Points of Contact Both the Point of Contact (POC) and all Financial Points of Contact (FPOCs) for this award must have successfully completed an "OJP financial management and grant administration training" by 120 days after the date of the recipient's acceptance of the award. Successful completion of such a training on or after January 1, 2016, will satisfy this condition. In the event that either the POC or an FPOC for this award changes during the period of performance, the new POC or FPOC must have successfully completed an "OJP financial management and grant administration training" by 120 calendar days after-- (1) the date of OJP's approval of the "Change Grantee Contact" GAN (in the case of a new POC), or (2) the date the POC enters information on the new FPOC in GMS (in the case of a new FPOC). Successful completion of such a training on or after January 1, 2016, will satisfy this condition. A list of OJP trainings that OJP will consider "OJP financial management and grant administration training" for purposes of this condition is available at https://www.ojp.gov/training/fmts.htm. All trainings that satisfy this condition include a session on grant fraud prevention and detection. The recipient should anticipate that OJP will immediately withhold ("freeze") award funds if the recipient fails to comply with this condition. The recipient's failure to comply also may lead OJP to impose additional appropriate conditions on this award. Requirements related to "de minimis" indirect cost rate A recipient that is eligible under the Part 200 Uniform Requirements and other applicable law to use the "de minimis" indirect cost rate described in 2 C.F.R. 200.414(f), and that elects to use the "de minimis" indirect cost rate, must advise OJP in writing of both its eligibility and its election, and must comply with all associated requirements in the Part 200 Uniform Requirements. The "de minimis" rate may be applied only to modified total direct costs (MTDC) as defined by the Part 200 Uniform Requirements. 3. 4. 5. 6. OJP FORM 4000/2 (REV. 4-88) 23 AWARD CONTINUATION SHEET Grant PAGE 4 OF U.S. Department of Justice Office of Justice Programs Bureau of Justice Assistance AWARD DATE 10/01/2018PROJECT NUMBER 2018-DJ-BX-0731 SPECIAL CONDITIONS Requirement to report potentially duplicative funding If the recipient currently has other active awards of federal funds, or if the recipient receives any other award of federal funds during the period of performance for this award, the recipient promptly must determine whether funds from any of those other federal awards have been, are being, or are to be used (in whole or in part) for one or more of the identical cost items for which funds are provided under this award. If so, the recipient must promptly notify the DOJ awarding agency (OJP or OVW, as appropriate) in writing of the potential duplication, and, if so requested by the DOJ awarding agency, must seek a budget-modification or change-of-project-scope grant adjustment notice (GAN) to eliminate any inappropriate duplication of funding. Requirements related to System for Award Management and Universal Identifier Requirements The recipient must comply with applicable requirements regarding the System for Award Management (SAM), currently accessible at https://www.sam.gov/. This includes applicable requirements regarding registration with SAM, as well as maintaining the currency of information in SAM. The recipient also must comply with applicable restrictions on subawards ("subgrants") to first-tier subrecipients (first-tier "subgrantees"), including restrictions on subawards to entities that do not acquire and provide (to the recipient) the unique entity identifier required for SAM registration. The details of the recipient's obligations related to SAM and to unique entity identifiers are posted on the OJP web site at https://ojp.gov/funding/Explore/SAM.htm (Award condition: System for Award Management (SAM) and Universal Identifier Requirements), and are incorporated by reference here. This condition does not apply to an award to an individual who received the award as a natural person (i.e., unrelated to any business or non-profit organization that he or she may own or operate in his or her name). Requirement to report actual or imminent breach of personally identifiable information (PII) The recipient (and any "subrecipient" at any tier) must have written procedures in place to respond in the event of an actual or imminent "breach" (OMB M-17-12) if it (or a subrecipient)-- 1) creates, collects, uses, processes, stores, maintains, disseminates, discloses, or disposes of "personally identifiable information (PII)" (2 CFR 200.79) within the scope of an OJP grant-funded program or activity, or 2) uses or operates a "Federal information system" (OMB Circular A-130). The recipient's breach procedures must include a requirement to report actual or imminent breach of PII to an OJP Program Manager no later than 24 hours after an occurrence of an actual breach, or the detection of an imminent breach. All subawards ("subgrants") must have specific federal authorization The recipient, and any subrecipient ("subgrantee") at any tier, must comply with all applicable requirements for authorization of any subaward. This condition applies to agreements that -- for purposes of federal grants administrative requirements -- OJP considers a "subaward" (and therefore does not consider a procurement "contract"). The details of the requirement for authorization of any subaward are posted on the OJP web site at https://ojp.gov/funding/Explore/SubawardAuthorization.htm (Award condition: All subawards ("subgrants") must have specific federal authorization), and are incorporated by reference here. 7. 8. 9. 10. OJP FORM 4000/2 (REV. 4-88) 23 AWARD CONTINUATION SHEET Grant PAGE 5 OF U.S. Department of Justice Office of Justice Programs Bureau of Justice Assistance AWARD DATE 10/01/2018PROJECT NUMBER 2018-DJ-BX-0731 SPECIAL CONDITIONS Specific post-award approval required to use a noncompetitive approach in any procurement contract that would exceed $150,000 The recipient, and any subrecipient ("subgrantee") at any tier, must comply with all applicable requirements to obtain specific advance approval to use a noncompetitive approach in any procurement contract that would exceed the Simplified Acquisition Threshold (currently, $150,000). This condition applies to agreements that -- for purposes of federal grants administrative requirements -- OJP considers a procurement "contract" (and therefore does not consider a subaward). The details of the requirement for advance approval to use a noncompetitive approach in a procurement contract under an OJP award are posted on the OJP web site at https://ojp.gov/funding/Explore/NoncompetitiveProcurement.htm (Award condition: Specific post-award approval required to use a noncompetitive approach in a procurement contract (if contract would exceed $150,000)), and are incorporated by reference here. Requirements pertaining to prohibited conduct related to trafficking in persons (including reporting requirements and OJP authority to terminate award) The recipient, and any subrecipient ("subgrantee") at any tier, must comply with all applicable requirements (including requirements to report allegations) pertaining to prohibited conduct related to the trafficking of persons, whether on the part of recipients, subrecipients ("subgrantees"), or individuals defined (for purposes of this condition) as "employees" of the recipient or of any subrecipient. The details of the recipient's obligations related to prohibited conduct related to trafficking in persons are posted on the OJP web site at https://ojp.gov/funding/Explore/ProhibitedConduct-Trafficking.htm (Award condition: Prohibited conduct by recipients and subrecipients related to trafficking in persons (including reporting requirements and OJP authority to terminate award)), and are incorporated by reference here. Compliance with applicable rules regarding approval, planning, and reporting of conferences, meetings, trainings, and other events The recipient, and any subrecipient ("subgrantee") at any tier, must comply with all applicable laws, regulations, policies, and official DOJ guidance (including specific cost limits, prior approval and reporting requirements, where applicable) governing the use of federal funds for expenses related to conferences (as that term is defined by DOJ), including the provision of food and/or beverages at such conferences, and costs of attendance at such conferences. Information on the pertinent DOJ definition of conferences and the rules applicable to this award appears in the DOJ Grants Financial Guide (currently, as section 3.10 of "Postaward Requirements" in the "DOJ Grants Financial Guide"). Requirement for data on performance and effectiveness under the award The recipient must collect and maintain data that measure the performance and effectiveness of work under this award. The data must be provided to OJP in the manner (including within the timeframes) specified by OJP in the program solicitation or other applicable written guidance. Data collection supports compliance with the Government Performance and Results Act (GPRA) and the GPRA Modernization Act of 2010, and other applicable laws. OJP Training Guiding Principles Any training or training materials that the recipient -- or any subrecipient ("subgrantee") at any tier -- develops or delivers with OJP award funds must adhere to the OJP Training Guiding Principles for Grantees and Subgrantees, available at https://ojp.gov/funding/Implement/TrainingPrinciplesForGrantees-Subgrantees.htm. 11. 12. 13. 14. 15. OJP FORM 4000/2 (REV. 4-88) 23 AWARD CONTINUATION SHEET Grant PAGE 6 OF U.S. Department of Justice Office of Justice Programs Bureau of Justice Assistance AWARD DATE 10/01/2018PROJECT NUMBER 2018-DJ-BX-0731 SPECIAL CONDITIONS Effect of failure to address audit issues The recipient understands and agrees that the DOJ awarding agency (OJP or OVW, as appropriate) may withhold award funds, or may impose other related requirements, if (as determined by the DOJ awarding agency) the recipient does not satisfactorily and promptly address outstanding issues from audits required by the Part 200 Uniform Requirements (or by the terms of this award), or other outstanding issues that arise in connection with audits, investigations, or reviews of DOJ awards. Potential imposition of additional requirements The recipient agrees to comply with any additional requirements that may be imposed by the DOJ awarding agency (OJP or OVW, as appropriate) during the period of performance for this award, if the recipient is designated as "high- risk" for purposes of the DOJ high-risk grantee list. Compliance with DOJ regulations pertaining to civil rights and nondiscrimination - 28 C.F.R. Part 42 The recipient, and any subrecipient ("subgrantee") at any tier, must comply with all applicable requirements of 28 C.F.R. Part 42, specifically including any applicable requirements in Subpart E of 28 C.F.R. Part 42 that relate to an equal employment opportunity program. Compliance with DOJ regulations pertaining to civil rights and nondiscrimination - 28 C.F.R. Part 54 The recipient, and any subrecipient ("subgrantee") at any tier, must comply with all applicable requirements of 28 C.F.R. Part 54, which relates to nondiscrimination on the basis of sex in certain "education programs." Compliance with DOJ regulations pertaining to civil rights and nondiscrimination - 28 C.F.R. Part 38 The recipient, and any subrecipient ("subgrantee") at any tier, must comply with all applicable requirements of 28 C.F.R. Part 38, specifically including any applicable requirements regarding written notice to program beneficiaries and prospective program beneficiaries. Among other things, 28 C.F.R. Part 38 includes rules that prohibit specific forms of discrimination on the basis of religion, a religious belief, a refusal to hold a religious belief, or refusal to attend or participate in a religious practice. Part 38 also sets out rules and requirements that pertain to recipient and subrecipient ("subgrantee") organizations that engage in or conduct explicitly religious activities, as well as rules and requirements that pertain to recipients and subrecipients that are faith-based or religious organizations. The text of the regulation, now entitled "Partnerships with Faith-Based and Other Neighborhood Organizations," is available via the Electronic Code of Federal Regulations (currently accessible at https://www.ecfr.gov/cgi- bin/ECFR?page=browse), by browsing to Title 28-Judicial Administration, Chapter 1, Part 38, under e-CFR "current" data. 16. 17. 18. 19. 20. OJP FORM 4000/2 (REV. 4-88) 23 AWARD CONTINUATION SHEET Grant PAGE 7 OF U.S. Department of Justice Office of Justice Programs Bureau of Justice Assistance AWARD DATE 10/01/2018PROJECT NUMBER 2018-DJ-BX-0731 SPECIAL CONDITIONS Restrictions on "lobbying" In general, as a matter of federal law, federal funds awarded by OJP may not be used by the recipient, or any subrecipient ("subgrantee") at any tier, either directly or indirectly, to support or oppose the enactment, repeal, modification, or adoption of any law, regulation, or policy, at any level of government. See 18 U.S.C. 1913. (There may be exceptions if an applicable federal statute specifically authorizes certain activities that otherwise would be barred by law.) Another federal law generally prohibits federal funds awarded by OJP from being used by the recipient, or any subrecipient at any tier, to pay any person to influence (or attempt to influence) a federal agency, a Member of Congress, or Congress (or an official or employee of any of them) with respect to the awarding of a federal grant or cooperative agreement, subgrant, contract, subcontract, or loan, or with respect to actions such as renewing, extending, or modifying any such award. See 31 U.S.C. 1352. Certain exceptions to this law apply, including an exception that applies to Indian tribes and tribal organizations. Should any question arise as to whether a particular use of federal funds by a recipient (or subrecipient) would or might fall within the scope of these prohibitions, the recipient is to contact OJP for guidance, and may not proceed without the express prior written approval of OJP. Compliance with general appropriations-law restrictions on the use of federal funds (FY 2018) The recipient, and any subrecipient ("subgrantee") at any tier, must comply with all applicable restrictions on the use of federal funds set out in federal appropriations statutes. Pertinent restrictions, including from various "general provisions" in the Consolidated Appropriations Act, 2018, are set out at https://ojp.gov/funding/Explore/FY18AppropriationsRestrictions.htm, and are incorporated by reference here. Should a question arise as to whether a particular use of federal funds by a recipient (or a subrecipient) would or might fall within the scope of an appropriations-law restriction, the recipient is to contact OJP for guidance, and may not proceed without the express prior written approval of OJP. Reporting Potential Fraud, Waste, and Abuse, and Similar Misconduct The recipient and any subrecipients ("subgrantees") must promptly refer to the DOJ Office of the Inspector General (OIG) any credible evidence that a principal, employee, agent, subrecipient, contractor, subcontractor, or other person has, in connection with funds under this award -- (1) submitted a claim that violates the False Claims Act; or (2) committed a criminal or civil violation of laws pertaining to fraud, conflict of interest, bribery, gratuity, or similar misconduct. Potential fraud, waste, abuse, or misconduct involving or relating to funds under this award should be reported to the OIG by-- (1) mail directed to: Office of the Inspector General, U.S. Department of Justice, Investigations Division, 1425 New York Avenue, N.W. Suite 7100, Washington, DC 20530; and/or (2) the DOJ OIG hotline: (contact information in English and Spanish) at (800) 869-4499 (phone) or (202) 616-9881 (fax). Additional information is available from the DOJ OIG website at https://oig.justice.gov/hotline. 21. 22. 23. OJP FORM 4000/2 (REV. 4-88) 23 AWARD CONTINUATION SHEET Grant PAGE 8 OF U.S. Department of Justice Office of Justice Programs Bureau of Justice Assistance AWARD DATE 10/01/2018PROJECT NUMBER 2018-DJ-BX-0731 SPECIAL CONDITIONS Restrictions and certifications regarding non-disclosure agreements and related matters No recipient or subrecipient ("subgrantee") under this award, or entity that receives a procurement contract or subcontract with any funds under this award, may require any employee or contractor to sign an internal confidentiality agreement or statement that prohibits or otherwise restricts, or purports to prohibit or restrict, the reporting (in accordance with law) of waste, fraud, or abuse to an investigative or law enforcement representative of a federal department or agency authorized to receive such information. The foregoing is not intended, and shall not be understood by the agency making this award, to contravene requirements applicable to Standard Form 312 (which relates to classified information), Form 4414 (which relates to sensitive compartmented information), or any other form issued by a federal department or agency governing the nondisclosure of classified information. 1. In accepting this award, the recipient-- a. represents that it neither requires nor has required internal confidentiality agreements or statements from employees or contractors that currently prohibit or otherwise currently restrict (or purport to prohibit or restrict) employees or contractors from reporting waste, fraud, or abuse as described above; and b. certifies that, if it learns or is notified that it is or has been requiring its employees or contractors to execute agreements or statements that prohibit or otherwise restrict (or purport to prohibit or restrict), reporting of waste, fraud, or abuse as described above, it will immediately stop any further obligations of award funds, will provide prompt written notification to the federal agency making this award, and will resume (or permit resumption of) such obligations only if expressly authorized to do so by that agency. 2. If the recipient does or is authorized under this award to make subawards ("subgrants"), procurement contracts, or both-- a. it represents that-- (1) it has determined that no other entity that the recipient's application proposes may or will receive award funds (whether through a subaward ("subgrant"), procurement contract, or subcontract under a procurement contract) either requires or has required internal confidentiality agreements or statements from employees or contractors that currently prohibit or otherwise currently restrict (or purport to prohibit or restrict) employees or contractors from reporting waste, fraud, or abuse as described above; and (2) it has made appropriate inquiry, or otherwise has an adequate factual basis, to support this representation; and b. it certifies that, if it learns or is notified that any subrecipient, contractor, or subcontractor entity that receives funds under this award is or has been requiring its employees or contractors to execute agreements or statements that prohibit or otherwise restrict (or purport to prohibit or restrict), reporting of waste, fraud, or abuse as described above, it will immediately stop any further obligations of award funds to or by that entity, will provide prompt written notification to the federal agency making this award, and will resume (or permit resumption of) such obligations only if expressly authorized to do so by that agency. 24. OJP FORM 4000/2 (REV. 4-88) 23 AWARD CONTINUATION SHEET Grant PAGE 9 OF U.S. Department of Justice Office of Justice Programs Bureau of Justice Assistance AWARD DATE 10/01/2018PROJECT NUMBER 2018-DJ-BX-0731 SPECIAL CONDITIONS Compliance with 41 U.S.C. 4712 (including prohibitions on reprisal; notice to employees) The recipient (and any subrecipient at any tier) must comply with, and is subject to, all applicable provisions of 41 U.S.C. 4712, including all applicable provisions that prohibit, under specified circumstances, discrimination against an employee as reprisal for the employee's disclosure of information related to gross mismanagement of a federal grant, a gross waste of federal funds, an abuse of authority relating to a federal grant, a substantial and specific danger to public health or safety, or a violation of law, rule, or regulation related to a federal grant. The recipient also must inform its employees, in writing (and in the predominant native language of the workforce), of employee rights and remedies under 41 U.S.C. 4712. Should a question arise as to the applicability of the provisions of 41 U.S.C. 4712 to this award, the recipient is to contact the DOJ awarding agency (OJP or OVW, as appropriate) for guidance. Encouragement of policies to ban text messaging while driving Pursuant to Executive Order 13513, "Federal Leadership on Reducing Text Messaging While Driving," 74 Fed. Reg. 51225 (October 1, 2009), DOJ encourages recipients and subrecipients ("subgrantees") to adopt and enforce policies banning employees from text messaging while driving any vehicle during the course of performing work funded by this award, and to establish workplace safety policies and conduct education, awareness, and other outreach to decrease crashes caused by distracted drivers. Requirement to disclose whether recipient is designated "high risk" by a federal grant-making agency outside of DOJ If the recipient is designated "high risk" by a federal grant-making agency outside of DOJ, currently or at any time during the course of the period of performance under this award, the recipient must disclose that fact and certain related information to OJP by email at OJP.ComplianceReporting@ojp.usdoj.gov. For purposes of this disclosure, high risk includes any status under which a federal awarding agency provides additional oversight due to the recipient's past performance, or other programmatic or financial concerns with the recipient. The recipient's disclosure must include the following: 1. The federal awarding agency that currently designates the recipient high risk, 2. The date the recipient was designated high risk, 3. The high-risk point of contact at that federal awarding agency (name, phone number, and email address), and 4. The reasons for the high-risk status, as set out by the federal awarding agency. Cooperating with OJP Monitoring The recipient agrees to cooperate with OJP monitoring of this award pursuant to OJP's guidelines, protocols, and procedures, and to cooperate with OJP (including the grant manager for this award and the Office of Chief Financial Officer (OCFO)) requests related to such monitoring, including requests related to desk reviews and/or site visits. The recipient agrees to provide to OJP all documentation necessary for OJP to complete its monitoring tasks, including documentation related to any subawards made under this award. Further, the recipient agrees to abide by reasonable deadlines set by OJP for providing the requested documents. Failure to cooperate with OJP's monitoring activities may result in actions that affect the recipient's DOJ awards, including, but not limited to: withholdings and/or other restrictions on the recipient's access to award funds; referral to the DOJ OIG for audit review; designation of the recipient as a DOJ High Risk grantee; or termination of an award(s). 25. 26. 27. 28. OJP FORM 4000/2 (REV. 4-88) 23 AWARD CONTINUATION SHEET Grant PAGE 10 OF U.S. Department of Justice Office of Justice Programs Bureau of Justice Assistance AWARD DATE 10/01/2018PROJECT NUMBER 2018-DJ-BX-0731 SPECIAL CONDITIONS FFATA reporting: Subawards and executive compensation The recipient must comply with applicable requirements to report first-tier subawards ("subgrants") of $25,000 or more and, in certain circumstances, to report the names and total compensation of the five most highly compensated executives of the recipient and first-tier subrecipients (first-tier "subgrantees") of award funds. The details of recipient obligations, which derive from the Federal Funding Accountability and Transparency Act of 2006 (FFATA), are posted on the OJP web site at https://ojp.gov/funding/Explore/FFATA.htm (Award condition: Reporting Subawards and Executive Compensation), and are incorporated by reference here. This condition, including its reporting requirement, does not apply to-- (1) an award of less than $25,000, or (2) an award made to an individual who received the award as a natural person (i.e., unrelated to any business or non-profit organization that he or she may own or operate in his or her name). Required monitoring of subawards The recipient must monitor subawards under this award in accordance with all applicable statutes, regulations, award conditions, and the DOJ Grants Financial Guide, and must include the applicable conditions of this award in any subaward. Among other things, the recipient is responsible for oversight of subrecipient spending and monitoring of specific outcomes and benefits attributable to use of award funds by subrecipients. The recipient agrees to submit, upon request, documentation of its policies and procedures for monitoring of subawards under this award. Use of program income Program income (as defined in the Part 200 Uniform Requirements) must be used in accordance with the provisions of the Part 200 Uniform Requirements. Program income earnings and expenditures both must be reported on the quarterly Federal Financial Report, SF 425. Justice Information Sharing Information sharing projects funded under this award must comply with DOJ's Global Justice Information Sharing Initiative (Global) guidelines. The recipient (and any subrecipient at any tier) must conform to the Global Standards Package (GSP) and all constituent elements, where applicable, as described at: https:/ / it.ojp.gov/ gsp_grantcondition. The recipient (and any subrecipient at any tier) must document planned approaches to information sharing and describe compliance with the GSP and appropriate privacy policy that protects shared information, or provide detailed justification for why an alternative approach is recommended. Avoidance of duplication of networks To avoid duplicating existing networks or IT systems in any initiatives funded by BJA for law enforcement information sharing systems which involve interstate connectivity between jurisdictions, such systems shall employ, to the extent possible, existing networks as the communication backbone to achieve interstate connectivity, unless the recipient can demonstrate to the satisfaction of BJA that this requirement would not be cost effective or would impair the functionality of an existing or proposed IT system. Compliance with 28 C.F.R. Part 23 With respect to any information technology system funded or supported by funds under this award, the recipient (and any subrecipient at any tier) must comply with 28 C.F.R. Part 23, Criminal Intelligence Systems Operating Policies, if OJP determines this regulation to be applicable. Should OJP determine 28 C.F.R. Part 23 to be applicable, OJP may, at its discretion, perform audits of the system, as per the regulation. Should any violation of 28 C.F.R. Part 23 occur, the recipient may be fined as per 34 U.S.C. 10231(c)-(d). The recipient may not satisfy such a fine with federal funds. 29. 30. 31. 32. 33. 34. OJP FORM 4000/2 (REV. 4-88) 23 AWARD CONTINUATION SHEET Grant PAGE 11 OF U.S. Department of Justice Office of Justice Programs Bureau of Justice Assistance AWARD DATE 10/01/2018PROJECT NUMBER 2018-DJ-BX-0731 SPECIAL CONDITIONS Protection of human research subjects The recipient (and any subrecipient at any tier) must comply with the requirements of 28 C.F.R. Part 46 and all OJP policies and procedures regarding the protection of human research subjects, including obtainment of Institutional Review Board approval, if appropriate, and subject informed consent. Confidentiality of data The recipient (and any subrecipient at any tier) must comply with all confidentiality requirements of 34 U.S.C. 10231 and 28 C.F.R. Part 22 that are applicable to collection, use, and revelation of data or information. The recipient further agrees, as a condition of award approval, to submit a Privacy Certificate that is in accord with requirements of 28 C.F.R. Part 22 and, in particular, 28 C.F.R. 22.23. Verification and updating of recipient contact information The recipient must verify its Point of Contact(POC), Financial Point of Contact (FPOC), and Authorized Representative contact information in GMS, including telephone number and e-mail address. If any information is incorrect or has changed, a Grant Adjustment Notice (GAN) must be submitted via the Grants Management System (GMS) to document changes. Law enforcement task forces - required training Within 120 days of award acceptance, each current member of a law enforcement task force funded with award funds who is a task force commander, agency executive, task force officer, or other task force member of equivalent rank, must complete required online (internet-based) task force training. Additionally, all future task force members must complete this training once during the period of performance for this award, or once every four years if multiple OJP awards include this requirement. The required training is available free of charge online through the BJA-funded Center for Task Force Integrity and Leadership (www.ctfli.org). The training addresses task force effectiveness, as well as other key issues including privacy and civil liberties/rights, task force performance measurement, personnel selection, and task force oversight and accountability. If award funds are used to support a task force, the recipient must compile and maintain a task force personnel roster, along with course completion certificates. Additional information regarding the training is available through BJA's web site and the Center for Task Force Integrity and Leadership (www.ctfli.org). Justification of consultant rate Approval of this award does not indicate approval of any consultant rate in excess of $650 per day. A detailed justification must be submitted to and approved by the OJP program office prior to obligation or expenditure of such funds. 35. 36. 37. 38. 39. OJP FORM 4000/2 (REV. 4-88) 23 AWARD CONTINUATION SHEET Grant PAGE 12 OF U.S. Department of Justice Office of Justice Programs Bureau of Justice Assistance AWARD DATE 10/01/2018PROJECT NUMBER 2018-DJ-BX-0731 SPECIAL CONDITIONS Submission of eligible records relevant to the National Instant Background Check System Consonant with federal statutes that pertain to firearms and background checks -- including 18 U.S.C. 922 and 34 U.S.C. ch. 409 -- if the recipient (or any subrecipient at any tier) uses this award to fund (in whole or in part) a specific project or program (such as a law enforcement, prosecution, or court program) that results in any court dispositions, information, or other records that are "eligible records" (under federal or State law) relevant to the National Instant Background Check System (NICS), or that has as one of its purposes the establishment or improvement of records systems that contain any court dispositions, information, or other records that are "eligible records" (under federal or State law) relevant to the NICS, the recipient (or subrecipient, if applicable) must ensure that all such court dispositions, information, or other records that are "eligible records" (under federal or State law) relevant to the NICS are promptly made available to the NICS or to the "State" repository/database that is electronically available to (and accessed by) the NICS, and -- when appropriate -- promptly must update, correct, modify, or remove such NICS- relevant "eligible records". In the event of minor and transitory non-compliance, the recipient may submit evidence to demonstrate diligent monitoring of compliance with this condition (including subrecipient compliance). DOJ will give great weight to any such evidence in any express written determination regarding this condition. Certification of Compliance with 8 U.S.C. 1373 and 1644 (within the funded "program or activity") required for valid award acceptance by a local government In order validly to accept this award, the applicant local government must submit the required "State or Local Government: FY 2018 Certification of Compliance with 8 U.S.C. 1373 and 1644" (executed by the chief legal officer of the local government). Unless that executed certification either-- (1) is submitted to OJP together with the fully- executed award document, or (2) is uploaded in OJP's GMS no later than the day the signed award document is submitted to OJP, any submission by a local government that purports to accept the award is invalid. If an initial award-acceptance submission by the recipient is invalid, once the local government does submit the necessary certification regarding 8 U.S.C. 1373 and 1644, it may submit a fully-executed award document executed by the local government on or after the date of that certification. For purposes of this condition, "local government" does not include any Indian tribe. 40. 41. OJP FORM 4000/2 (REV. 4-88) 23 AWARD CONTINUATION SHEET Grant PAGE 13 OF U.S. Department of Justice Office of Justice Programs Bureau of Justice Assistance AWARD DATE 10/01/2018PROJECT NUMBER 2018-DJ-BX-0731 SPECIAL CONDITIONS Noninterference (within the funded "program or activity") with federal law enforcement: 8 U.S.C. 1373 and 1644; ongoing compliance 1. With respect to the "program or activity" funded in whole or part under this award (including any such program or activity of any subrecipient at any tier), throughout the period of performance, no State or local government entity, - agency, or -official may prohibit or in any way restrict-- (1) any government entity or -official from sending or receiving information regarding citizenship or immigration status as described in 8 U.S.C. 1373(a); or (2) a government entity or -agency from sending, requesting or receiving, maintaining, or exchanging information regarding immigration status as described in either 8 U.S.C. 1373(b) or 1644. Any prohibition (or restriction) that violates this condition is an "information-communication restriction" under this award. 2. Certifications from subrecipients. The recipient may not make a subaward to a State, a local government, or a "public" institution of higher education, unless it first obtains a certification of compliance with 8 U.S.C. 1373 and 1644, properly executed by the chief legal officer of the government or educational institution that would receive the subaward, using the appropriate form available at https://ojp.gov/funding/Explore/SampleCertifications-8USC1373.htm. Also, the recipient must require that no subrecipient (at any tier) may make a further subaward to a State, a local government, or a public institution of higher education, unless it first obtains a certification of compliance with 8 U.S.C. 1373 and 1644, properly executed by the chief legal officer of the government or institution that would receive the further subaward, using the appropriate OJP form. 3. The recipient's monitoring responsibilities include monitoring of subrecipient compliance with the requirements of this condition. 4. Allowable costs. Compliance with these requirements is an authorized and priority purpose of this award. To the extent that such costs are not reimbursed under any other federal program, award funds may be obligated for the reasonable, necessary, and allocable costs (if any) that the recipient, or any subrecipient at any tier that is a State, a local government, or a public institution of higher education, incurs to implement this condition. 5. Rules of Construction A. For purposes of this condition: (1) "State" and "local government" include any agency or other entity thereof, but not any institution of higher education or any Indian tribe. (2) A "public" institution of higher education is defined as one that is owned, controlled, or directly funded (in whole or in substantial part) by a State or local government. (Such a public institution is considered to be a "government entity," and its officials to be "government officials.") (3) "Program or activity" means what it means under title VI of the Civil Rights Act of 1964 (see 42 U.S.C. 2000d-4a). (4) "Immigration status" means what it means under 8 U.S.C. 1373 and 8 U.S.C. 1644; and terms that are defined in 8 U.S.C. 1101 mean what they mean under that section 1101, except that "State" also includes American Samoa. (5) Pursuant to the provisions set out at (or referenced in) 8 U.S.C. 1551 note ("Abolition ... and Transfer of Functions"), references to the "Immigration and Naturalization Service" in 8 U.S.C. 1373 and 1644 are to be read as references to particular components of the Department of Homeland Security (DHS). B. Nothing in this condition shall be understood to authorize or require any recipient, any subrecipient at any tier, any State or local government, any public institution of higher education, or any other entity (or individual) to violate any federal law, including any applicable civil rights or nondiscrimination law. IMPORTANT NOTE: Any questions about the meaning or scope of this condition should be directed to OJP, before 42. OJP FORM 4000/2 (REV. 4-88) 23 AWARD CONTINUATION SHEET Grant PAGE 14 OF U.S. Department of Justice Office of Justice Programs Bureau of Justice Assistance AWARD DATE 10/01/2018PROJECT NUMBER 2018-DJ-BX-0731 SPECIAL CONDITIONS award acceptance. Authority to obligate award funds contingent on noninterference (within the funded "program or activity") with federal law enforcement (8 U.S.C. 1373 and 1644); unallowable costs; notification 1. If the recipient is a "State," a local government, or a "public" institution of higher education: A. The recipient may not obligate award funds if, at the time of the obligation, the "program or activity" of the recipient (or of any subrecipient at any tier that is a State, a local government, or a public institution of higher education) that is funded in whole or in part with award funds is subject to any "information-communication restriction." B. In addition, with respect to any project costs it incurs "at risk," the recipient may not obligate award funds to reimburse itself if -- at the time it incurs such costs -- the program or activity of the recipient (or of any subrecipient at any tier that is a State, a local government, or a public institution of higher education) that would be reimbursed in whole or in part with award funds was subject to any information-communication restriction. C. Any drawdown of award funds by the recipient shall be considered, for all purposes, to be a material representation by the recipient to OJP that, as of the date the recipient requests the drawdown, the recipient and each subrecipient (regardless of tier) that is a State, local government, or public institution of higher education, is in compliance with the award condition entitled "Noninterference (within the funded 'program or activity') with federal law enforcement: 8 U.S.C. 1373 and 1644 and ongoing compliance." D. The recipient must promptly notify OJP (in writing) if the recipient, from its requisite monitoring of compliance with award conditions or otherwise, has credible evidence that indicates that the funded program or activity of the recipient, or of any subrecipient at any tier that is either a State or a local government or a public institution of higher education, may be subject to any information-communication restriction. In addition, any subaward (at any tier) to a subrecipient that is a State, a local government, or a public institution of higher education must require prompt notification to the entity that made the subaward, should the subrecipient have such credible evidence regarding an information-communication restriction. 2. Any subaward (at any tier) to a subrecipient that is a State, a local government, or a public institution of higher education must provide that the subrecipient may not obligate award funds if, at the time of the obligation, the program or activity of the subrecipient (or of any further such subrecipient at any tier) that is funded in whole or in part with award funds is subject to any information-communication restriction. 3. Absent an express written determination by DOJ to the contrary, based upon a finding by DOJ of compelling circumstances (e.g., a small amount of award funds obligated by the recipient at the time of a subrecipient's minor and transitory non-compliance, which was unknown to the recipient despite diligent monitoring), any obligations of award funds that, under this condition, may not be made shall be unallowable costs for purposes of this award. In making any such determination, DOJ will give great weight to evidence submitted by the recipient that demonstrates diligent monitoring of subrecipient compliance with the requirements set out in the "Noninterference ... 8 U.S.C. 1373 and 1644 and ongoing compliance" award condition. 4. Rules of Construction A. For purposes of this condition "information-communication restriction" has the meaning set out in the "Noninterference ... 8 U.S.C. 1373 and 1644 and ongoing compliance" condition. B. Both the "Rules of Construction" and the "Important Note" set out in the "Noninterference ... 8 U.S.C. 1373 and 1644 and ongoing compliance" condition are incorporated by reference as though set forth here in full. 43. OJP FORM 4000/2 (REV. 4-88) 23 AWARD CONTINUATION SHEET Grant PAGE 15 OF U.S. Department of Justice Office of Justice Programs Bureau of Justice Assistance AWARD DATE 10/01/2018PROJECT NUMBER 2018-DJ-BX-0731 SPECIAL CONDITIONS Noninterference (within the funded "program or activity") with federal law enforcement: No public disclosure of certain law enforcement sensitive information SCOPE. This condition applies with respect to the "program or activity" that is funded (in whole or in part) by the award, as of the date the recipient accepts this award, and throughout the remainder of the period of performance. Its provisions must be among those included in any subaward (at any tier). 1. Noninterference: No public disclosure of federal law enforcement information in order to conceal, harbor, or shield Consistent with the purposes and objectives of federal law enforcement statutes and federal criminal law (including 8 U.S.C. 1324 and 18 U.S.C. chs. 1, 49, 227), no public disclosure may be made of any federal law enforcement information in a direct or indirect attempt to conceal, harbor, or shield from detection any fugitive from justice under 18 U.S.C. ch. 49, or any alien who has come to, entered, or remains in the United States in violation of 8 U.S.C. ch. 12 -- without regard to whether such disclosure would constitute (or could form a predicate for) a violation of 18 U.S.C. 1071 or 1072 or of 8 U.S.C. 1324(a). 2. Monitoring The recipient's monitoring responsibilities include monitoring of subrecipient compliance with this condition. 3. Allowable costs To the extent that such costs are not reimbursed under any other federal program, award funds may be obligated for the reasonable, necessary, and allocable costs (if any) of actions (e.g., training) designed to ensure compliance with this condition. 4. Rules of construction A. For purposes of this condition-- (1) the term "alien" means what it means under section 101 of the Immigration and Nationality Act (see 8 U.S.C. 1101(a)(3)); (2) the term "federal law enforcement information" means law enforcement sensitive information communicated or made available, by the federal government, to a State or local government entity, -agency, or -official, through any means, including, without limitation-- (1) through any database, (2) in connection with any law enforcement partnership or -task-force, (3) in connection with any request for law enforcement assistance or -cooperation, or (4) through any deconfliction (or courtesy) notice of planned, imminent, commencing, continuing, or impending federal law enforcement activity; (3) the term "law enforcement sensitive information" means records or information compiled for any law enforcement purpose; and (4) the term "public disclosure" means any communication or release other than one-- (a) within the recipient, or (b) to any subrecipient (at any tier) that is a government entity. B. Both the "Rules of Construction" and the "Important Note" set out in the "Noninterference (within the funded 'program or activity') with federal law enforcement: 8 U.S.C. 1373 and 1644 and ongoing compliance" award condition are incorporated by reference as though set forth here in full. 44. OJP FORM 4000/2 (REV. 4-88) 23 AWARD CONTINUATION SHEET Grant PAGE 16 OF U.S. Department of Justice Office of Justice Programs Bureau of Justice Assistance AWARD DATE 10/01/2018PROJECT NUMBER 2018-DJ-BX-0731 SPECIAL CONDITIONS Noninterference (within the funded "program or activity") with federal law enforcement: Interrogation of certain aliens SCOPE. This condition applies with respect to the "program or activity" that is funded (in whole or in part) by this award, as of the date the recipient accepts this award, and throughout the remainder of the period of performance for the award. Its provisions must be among those included in any subaward (at any tier). 1. Noninterference with statutory law enforcement access to correctional facilities Consonant with federal law enforcement statutes and regulations -- including 8 U.S.C. 1357(a), under which certain federal officers and employees "have power without warrant ... to interrogate any alien or person believed to be an alien as to his right to be or to remain in the United States," and 8 C.F.R. 287.5(a), under which that power may be exercised "anywhere in or outside the United States" -- within the funded program or activity, no State or local government entity, -agency, or -official may interfere with the exercise of that power to interrogate "without warrant" (by agents of the United States acting under color of federal law) by impeding access to any State or local government (or government-contracted) correctional facility by such agents for the purpose "interrogat[ing] any alien or person believed to be an alien as to his [or her] right to be or to remain in the United States." 2. Monitoring The recipient's monitoring responsibilities include monitoring of subrecipient compliance with this condition. 3. Allowable costs To the extent that such costs are not reimbursed under any other federal program, award funds may be obligated for the reasonable, necessary, and allocable costs (if any) of actions (e.g., training) designed to ensure compliance with this condition. 4. Rules of construction A. For purposes of this condition: (1) The term "alien" means what it means under section 101 of the Immigration and Nationality Act (INA) (see 8 U.S.C. 1101(a)(3)). (2) The term "correctional facility" means what it means under the title I of the Omnibus Crime Control and Safe Streets Act of 1968 (see 34 U.S.C. 10251(a)(7)). (3) The term "impede" includes taking or continuing any action, or implementing or maintaining any law, policy, rule, or practice, that-- (a) is designed to prevent or to significantly delay or complicate, or (b) has the effect of preventing or of significantly delaying or complicating. B. Both the "Rules of Construction" and the "Important Note" set out in the "Noninterference (within the funded 'program or activity') with federal law enforcement: 8 U.S.C. 1373 and 1644 and ongoing compliance" award condition are incorporated by reference as though set forth here in full. 45. OJP FORM 4000/2 (REV. 4-88) 23 AWARD CONTINUATION SHEET Grant PAGE 17 OF U.S. Department of Justice Office of Justice Programs Bureau of Justice Assistance AWARD DATE 10/01/2018PROJECT NUMBER 2018-DJ-BX-0731 SPECIAL CONDITIONS Noninterference (within the funded "program or activity") with federal law enforcement: Notice of scheduled release SCOPE. This condition applies with respect to the "program or activity" that is funded (in whole or in part) by the award, as of the date the recipient accepts the award, and throughout the remainder of the period of performance. Its provisions must be among those included in any subaward at any tier. 1. Noninterference with "removal" process: Notice of scheduled release date and time Consonant with federal law enforcement statutes -- including 8 U.S.C. 1231 (for an alien incarcerated by a State or local government, a 90-day "removal period" during which the federal government "shall" detain and then "shall" remove an alien from the U.S. "begins" no later than "the date the alien is released from ... confinement"; also, the federal government is expressly authorized to make payments to a "State or a political subdivision of the State ... with respect to the incarceration of [an] undocumented criminal alien"); 8 U.S.C. 1226 (the federal government "shall take into custody" certain criminal aliens "when the alien is released"); and 8 U.S.C. 1366 (requiring an annual DOJ report to Congress on "the number of illegal alien[ felons] in Federal and State prisons" and programs underway "to ensure the prompt removal" from the U.S. of removable "criminal aliens") -- within the funded program or activity, no State or local government entity, -agency, or -official (including a government-contracted correctional facility) may interfere with the "removal" process by failing to provide -- as early as practicable (see para. 4.C. below) -- advance notice to DHS of the scheduled release date and time for a particular alien, if a State or local government (or government- contracted) correctional facility receives from DHS a formal written request pursuant to the INA that seeks such advance notice. 2. Monitoring The recipient's monitoring responsibilities include monitoring of subrecipient compliance with this condition. 3. Allowable costs To the extent that such costs are not reimbursed under any other federal program, award funds may be obligated for the reasonable, necessary, and allocable costs (if any) of actions (e.g., training) designed to ensure compliance with this condition. 4. Rules of construction A. For purposes of this condition: (1) The term "alien" means what it means under section 101 of the INA (see 8 U.S.C. 1101(a)(3)). (2) The term "correctional facility" means what it means under the title I of the Omnibus Crime Control and Safe Streets Act of 1968 (see 34 U.S.C. 10251(a)(7)). B. Nothing in this condition shall be understood to authorize or require any recipient, any subrecipient at any tier, any State or local government, or any other entity or individual to maintain (or detain) any individual in custody beyond the date and time the individual otherwise would have been released. C. Applicability (1) Current DHS practice is ordinarily to request advance notice of scheduled release "as early as practicable (at least 48 hours, if possible)." (See DHS Form I-247A (3/17)). If (e.g., in light of the date DHS made such request) the scheduled release date and time for an alien are such as not to allow for the advance notice that DHS has requested, it shall NOT be a violation of this condition to provide only as much advance notice as practicable. (2) Current DHS practice is to use the same form for a second, distinct purpose -- to request that an individual be 46. OJP FORM 4000/2 (REV. 4-88) 23 AWARD CONTINUATION SHEET Grant PAGE 18 OF U.S. Department of Justice Office of Justice Programs Bureau of Justice Assistance AWARD DATE 10/01/2018PROJECT NUMBER 2018-DJ-BX-0731 SPECIAL CONDITIONS detained for up to 48 hours AFTER the scheduled release. This condition does NOT encompass such DHS requests for detention. D. Both the "Rules of Construction" and the "Important Note" set out in the "Noninterference (within the funded 'program or activity') with federal law enforcement: 8 U.S.C. 1373 and 1644 and ongoing compliance" award condition are incorporated by reference as though set forth here in full. Requirement to collect certain information from subrecipients The recipient may not make a subaward to a State, a local government, or a "public" institution of higher education, unless it first obtains from the proposed subrecipient responses to the questions identified in the program solicitation as "Information regarding Communication with the Department of Homeland Security (DHS) and/or Immigration and Customs Enforcement (ICE)." All subrecipient responses must be collected and maintained by the recipient, consistent with regular document retention requirements, and must be made available to DOJ upon request. Responses to these questions are not required from subrecipients that are either a tribal government/organization, a nonprofit organization, or a private institution of higher education. 47. OJP FORM 4000/2 (REV. 4-88) 23 AWARD CONTINUATION SHEET Grant PAGE 19 OF U.S. Department of Justice Office of Justice Programs Bureau of Justice Assistance AWARD DATE 10/01/2018PROJECT NUMBER 2018-DJ-BX-0731 SPECIAL CONDITIONS Compliance with National Environmental Policy Act and related statutes Upon request, the recipient (and any subrecipient at any tier) must assist BJA in complying with the National Environmental Policy Act (NEPA), the National Historic Preservation Act, and other related federal environmental impact analyses requirements in the use of these award funds, either directly by the recipient or by a subrecipient. Accordingly, the recipient agrees to first determine if any of the following activities will be funded by the grant, prior to obligating funds for any of these purposes. If it is determined that any of the following activities will be funded by the award, the recipient agrees to contact BJA. The recipient understands that this condition applies to new activities as set out below, whether or not they are being specifically funded with these award funds. That is, as long as the activity is being conducted by the recipient, a subrecipient, or any third party, and the activity needs to be undertaken in order to use these award funds, this condition must first be met. The activities covered by this condition are: a. New construction; b. Minor renovation or remodeling of a property located in an environmentally or historically sensitive area, including properties located within a 100-year flood plain, a wetland, or habitat for endangered species, or a property listed on or eligible for listing on the National Register of Historic Places; c. A renovation, lease, or any proposed use of a building or facility that will either (a) result in a change in its basic prior use or (b) significantly change its size; d. Implementation of a new program involving the use of chemicals other than chemicals that are (a) purchased as an incidental component of a funded activity and (b) traditionally used, for example, in office, household, recreational, or education environments; and e. Implementation of a program relating to clandestine methamphetamine laboratory operations, including the identification, seizure, or closure of clandestine methamphetamine laboratories. The recipient understands and agrees that complying with NEPA may require the preparation of an Environmental Assessment and/or an Environmental Impact Statement, as directed by BJA. The recipient further understands and agrees to the requirements for implementation of a Mitigation Plan, as detailed at https://bja.gov/Funding/nepa.html, for programs relating to methamphetamine laboratory operations. Application of This Condition to Recipient's Existing Programs or Activities: For any of the recipient's or its subrecipients' existing programs or activities that will be funded by these award funds, the recipient, upon specific request from BJA, agrees to cooperate with BJA in any preparation by BJA of a national or program environmental assessment of that funded program or activity. Establishment of trust fund If award funds are being drawn down in advance, the recipient (or a subrecipient, with respect to a subaward) is required to establish a trust fund account. Recipients (and subrecipients) must maintain advance payments of federal awards in interest-bearing accounts, unless regulatory exclusions apply (2 C.F.R. 200.305(b)(8)). The trust fund, including any interest, may not be used to pay debts or expenses incurred by other activities beyond the scope of the Edward Byrne Memorial Justice Assistance Grant Program (JAG). The recipient also agrees to obligate the award funds in the trust fund (including any interest earned) during the period of performance for the award and expend within 90 days thereafter. Any unobligated or unexpended funds, including interest earned, must be returned to OJP at the time of closeout. 48. 49. OJP FORM 4000/2 (REV. 4-88) 23 AWARD CONTINUATION SHEET Grant PAGE 20 OF U.S. Department of Justice Office of Justice Programs Bureau of Justice Assistance AWARD DATE 10/01/2018PROJECT NUMBER 2018-DJ-BX-0731 SPECIAL CONDITIONS Prohibition on use of award funds for match under BVP program JAG funds may not be used as the 50% match for purposes of the DOJ Bulletproof Vest Partnership (BVP) program. Certification of body armor "mandatory wear" policies The recipient agrees to submit a signed certification that all law enforcement agencies receiving body armor purchased with funds from this award have a written "mandatory wear" policy in effect. The recipient must keep signed certifications on file for any subrecipients planning to utilize funds from this award for ballistic-resistant and stab- resistant body armor purchases. This policy must be in place for at least all uniformed officers before any funds from this award may be used by an agency for body armor. There are no requirements regarding the nature of the policy other than it be a mandatory wear policy for all uniformed officers while on duty. Body armor - compliance with NIJ standards and other requirements Ballistic-resistant and stab-resistant body armor purchased with JAG award funds may be purchased at any threat level, make or model, from any distributor or manufacturer, as long as the body armor has been tested and found to comply with applicable National Institute of Justice ballistic or stab standards and is listed on the NIJ Compliant Body Armor Model List (https://nij.gov/topics/technology/body-armor/Pages/compliant-ballistic-armor.aspx). In addition, ballistic-resistant and stab-resistant body armor purchased must be made in the United States and must be uniquely fitted, as set forth in 34 U.S.C. 10202(c)(1)(A). The latest NIJ standard information can be found here: https:/ / nij.gov/ topics/ technology/ body-armor/ pages/ safety-initiative.aspx. Body armor - impact on eligibility for other program funds The recipient understands that the use of funds under this award for purchase of body armor may impact eligibility for funding under the Bulletproof Vest Partnership (BVP) program, a separate program operated by BJA, pursuant to the BVP statute at 34 USC 10531(c)(5). Reporting requirements The recipient must submit quarterly Federal Financial Reports (SF-425) and semi-annual performance reports through OJP's GMS (https://grants.ojp.usdoj.gov). Consistent with the Department's responsibilities under the Government Performance and Results Act (GPRA) and the GPRA Modernization Act of 2010, the recipient must provide data that measure the results of its work. The recipient must submit quarterly performance metrics reports through BJA's Performance Measurement Tool (PMT) website (www.bjaperformancetools.org). For more detailed information on reporting and other JAG requirements, refer to the JAG reporting requirements webpage. Failure to submit required JAG reports by established deadlines may result in the freezing of grant funds and future High Risk designation. Required data on law enforcement agency training Any law enforcement agency receiving direct or sub-awarded funding from this JAG award must submit quarterly accountability metrics data related to training that officers have received on the use of force, racial and ethnic bias, de- escalation of conflict, and constructive engagement with the public. Expenditures prohibited without waiver No funds under this award may be expended on the purchase of items prohibited by the JAG program statute, unless, as set forth at 34 U.S.C. 10152, the BJA Director certifies that extraordinary and exigent circumstances exist, making such expenditures essential to the maintenance of public safety and good order. 50. 51. 52. 53. 54. 55. 56. OJP FORM 4000/2 (REV. 4-88) 23 AWARD CONTINUATION SHEET Grant PAGE 21 OF U.S. Department of Justice Office of Justice Programs Bureau of Justice Assistance AWARD DATE 10/01/2018PROJECT NUMBER 2018-DJ-BX-0731 SPECIAL CONDITIONS Authorization to obligate (federal) award funds to reimburse certain project costs incurred on or after October 1, 2017 The recipient may obligate (federal) award funds only after the recipient makes a valid acceptance of the award. As of the first day of the period of performance for the award (October 1, 2017), however, the recipient may choose to incur project costs using non-federal funds, but any such project costs are incurred at the recipient's risk until, at a minimum-- (1) the recipient makes a valid acceptance of the award, and (2) all applicable withholding conditions are removed by OJP (via a Grant Adjustment Notice). (A withholding condition is a condition in the award document that precludes the recipient from obligating, expending, or drawing down all or a portion of the award funds until the condition is removed.) Except to the extent (if any) that an award condition expressly precludes reimbursement of project costs incurred "at- risk," if and when the recipient makes a valid acceptance of this award and OJP removes each applicable withholding condition through a Grant Adjustment Notice, the recipient is authorized to obligate (federal) award funds to reimburse itself for project costs incurred "at-risk" earlier during the period of performance (such as project costs incurred prior to award acceptance or prior to removal of an applicable withholding condition), provided that those project costs otherwise are allowable costs under the award. Nothing in this condition shall be understood to authorize the recipient (or any subrecipient at any tier) to use award funds to "supplant" State or local funds in violation of the recipient's certification (executed by the chief executive of the State or local government) that federal funds will be used to increase the amounts of such funds that would, in the absence of federal funds, be made available for law enforcement activities. Use of funds for DNA testing; upload of DNA profiles If award funds are used for DNA testing of evidentiary materials, any resulting eligible DNA profiles must be uploaded to the Combined DNA Index System ("CODIS," the DNA database operated by the FBI) by a government DNA laboratory with access to CODIS. No profiles generated under this award may be entered or uploaded into any non-governmental DNA database without prior express written approval from BJA. Award funds may not be used for the purchase of DNA equipment and supplies unless the resulting DNA profiles may be accepted for entry into CODIS. Three percent set-aside for NIBRS compliance The recipient must ensure that at least 3 percent of the total amount of this award is dedicated to achieving full compliance with the FBI's National Incident-Based Reporting System (NIBRS), unless the FBI or appropriate State official has certified that the recipient locality is already NIBRS compliant, and evidence of this has been submitted to and approved by BJA. The recipient will be required by BJA to make revisions to budgets that do not clearly indicate what projects will be supported by this 3 percent set-aside, unless evidence of NIBRS compliance has been submitted to and approved by BJA. Recipients serving as fiscal agents for "disparate jurisdictions," (as defined at 34 USC 10156(d)(4)) have to pass this requirement through to in subawards to other localities in the disparate jurisdiction, so that each locality in a disparate jurisdiction group dedicates at least 3 percent of award funds to NIBRS compliance, unless, with respect to each locality in the disparate jurisdiction group, evidence of NIBRS compliance has been submitted to and approved by BJA. 57. 58. 59. OJP FORM 4000/2 (REV. 4-88) 23 AWARD CONTINUATION SHEET Grant PAGE 22 OF U.S. Department of Justice Office of Justice Programs Bureau of Justice Assistance AWARD DATE 10/01/2018PROJECT NUMBER 2018-DJ-BX-0731 SPECIAL CONDITIONS Encouragement of submission of "success stories" BJA strongly encourages the recipient to submit annual (or more frequent) JAG success stories. To submit a success story, sign in to a My BJA account at https:/ / www.bja.gov/ Login.aspx to access the Success Story Submission form. If the recipient does not yet have a My BJA account, please register at https:/ / www.bja.gov/ profile.aspx. Once registered, one of the available areas on the My BJA page will be "My Success Stories." Within this box, there is an option to add a Success Story. Once reviewed and approved by BJA, all success stories will appear on the BJA Success Story web page at https:/ / www.bja.gov/ SuccessStoryList.aspx. Withholding of funds: Required certification from the chief executive of the applicant government The recipient may not obligate, expend, or draw down any award funds until the recipient submits the required "Certifications and Assurances by the Chief Executive of the Applicant Government," properly-executed (as determined by OJP), and a Grant Adjustment Notice (GAN) has been issued to remove this condition. Withholding of funds: NIBRS set-aside The recipient may not obligate, expend, or draw down any award funds until the recipient submits, and BJA reviews and accepts, a budget that clearly dedicates at least 3 percent of the total amount of the award to NIBRS compliance activities or documentation showing that the recipient has been certified as NIBRS compliant, and a Grant Adjustment Notice (GAN) has been issued to remove this condition. Withholding - DHS question attachment The recipient may not obligate, expend or draw down funds until the Office of Justice Programs has received and approved the required application attachment(s) described in the program solicitation as "Information regarding Communication with the Department of Homeland Security (DHS) and/or Immigration and Customs Enforcement (ICE)," and has issued a Grant Adjustment Notice (GAN) releasing this special condition. Withholding of funds: Disclosure of pending applications The recipient may not obligate, expend, or draw down any award funds until: (1) it has provided to the grant manager for this OJP award either an "applicant disclosure of pending applications" for federal funding or a specific affirmative statement that no such pending applications (whether direct or indirect) exist, in accordance with the detailed instructions in the program solicitation, (2) OJP has completed its review of the information provided and of any supplemental information it may request, (3) the recipient has made any adjustments to the award that OJP may require to prevent or eliminate any inappropriate duplication of funding (e.g., budget modification, project scope adjustment), (4) if appropriate adjustments to a discretionary award cannot be made, the recipient has agreed in writing to any necessary reduction of the award amount in any amount sufficient to prevent duplication (as determined by OJP), and (5) a Grant Adjustment Notice has been issued to remove this condition. Withholding of funds: Disclosure of lobbying The recipient may not obligate, expend, or draw down any funds under this award until it has provided to the grant manager for this OJP award a complete Disclosure of Lobbying Activities (SF-LLL) form, and OJP has issued a Grant Adjustment Notice to remove this special condition. 60. 61. 62. 63. 64. 65. OJP FORM 4000/2 (REV. 4-88) 23 AWARD CONTINUATION SHEET Grant PAGE 23 OF U.S. Department of Justice Office of Justice Programs Bureau of Justice Assistance AWARD DATE 10/01/2018PROJECT NUMBER 2018-DJ-BX-0731 SPECIAL CONDITIONS Withholding of funds: Required certification regarding body-worn cameras The recipient may not obligate, expend, or draw down any award funds until the recipient submits, and OJP has reviewed, the required certification regarding body-worn cameras, and a Grant Adjustment Notice (GAN) has been issued to remove this condition. Recipient may not obligate, expend or drawdown funds until the Bureau of Justice Assistance, Office of Justice Programs has received and approved the required application attachment(s) and has issued a Grant Adjustment Notice (GAN) releasing this special condition. 66. 67. OJP FORM 4000/2 (REV. 4-88) 23 Memorandum To: From: Subject: Washington, D.C. 20531 Orbin Terry, NEPA Coordinator Incorporates NEPA Compliance in Further Developmental Stages for Augusta Richmond County The Edward Byrne Memorial Justice Assistance Grant Program (JAG) allows states and local governments to support a broad range of activities to prevent and control crime and to improve the criminal justice system, some of which could have environmental impacts. All recipients of JAG funding must assist BJA in complying with NEPA and other related federal environmental impact analyses requirements in the use of grant funds, whether the funds are used directly by the grantee or by a subgrantee or third party. Accordingly, prior to obligating funds for any of the specified activities, the grantee must first determine if any of the specified activities will be funded by the grant. The specified activities requiring environmental analysis are: a. New construction; b. Any renovation or remodeling of a property located in an environmentally or historically sensitive area, including properties located within a 100-year flood plain, a wetland, or habitat for endangered species, or a property listed on or eligible for listing on the National Register of Historic Places; c. A renovation, lease, or any proposed use of a building or facility that will either (a) result in a change in its basic prior use or (b) significantly change its size; d. Implementation of a new program involving the use of chemicals other than chemicals that are (a) purchased as an incidental component of a funded activity and (b) traditionally used, for example, in office, household, recreational, or education environments; and e. Implementation of a program relating to clandestine methamphetamine laboratory operations, including the identification, seizure, or closure of clandestine methamphetamine laboratories. Complying with NEPA may require the preparation of an Environmental Assessment and/or an Environmental Impact Statement, as directed by BJA. Further, for programs relating to methamphetamine laboratory operations, the preparation of a detailed Mitigation Plan will be required. For more information about Mitigation Plan requirements, please see https://www.bja.gov/Funding/nepa.html. Please be sure to carefully review the grant conditions on your award document, as it may contain more specific information about environmental compliance. U.S. Department of Justice Office of Justice Programs Bureau of Justice Assistance Official Grant File GRANT MANAGER'S MEMORANDUM, PT. I: PROJECT SUMMARY 1. STAFF CONTACT (Name & telephone number) PROJECT NUMBER 6. NAME & ADRESS OF SUBGRANTEE 7. PROGRAM PERIOD 8. BUDGET PERIOD 9. AMOUNT OF AWARD 10. DATE OF AWARD 11. SECOND YEAR'S BUDGET 2018-DJ-BX-0731 2. PROJECT DIRECTOR (Name, address & telephone number) 4. TITLE OF PROJECT 12. SECOND YEAR'S BUDGET AMOUNT 13. THIRD YEAR'S BUDGET PERIOD 14. THIRD YEAR'S BUDGET AMOUNT 15. SUMMARY DESCRIPTION OF PROJECT (See instruction on reverse) 5. NAME & ADDRESS OF GRANTEE Grant This project is supported under FY18(BJA - JAG State & JAG Local) Title I of Pub. L. No. 90-351 (generally codified at 34 U.S.C. 10101 - 10726), including subpart I of part E (codified at 34 U.S.C. 10151 - 10158); see also 28 U.S.C. 530C(a) Robert Partain Colonel 400 Walton Way Augusta, GA 30901-2438 (706) 821-1430 PAGE 11OF The Edward Byrne Memorial Justice Assistance Grant Program (JAG) allows states and units of local government, including tribes, to support a broad range of criminal justice related activities based on their own state and local needs and conditions. Grant funds can be used for state and local initiatives, technical assistance, training, personnel, equipment, supplies, contractual support, and information systems for criminal justice, including for any one or more of the following purpose areas: 1) law enforcement programs; 2) prosecution and court programs; 3) prevention and education programs; 4) corrections and community corrections programs; 5) drug treatment and enforcement programs; 6) planning, evaluation, and technology improvement programs; 7) crime victim and witness programs (other than compensation); and 8) mental health programs and related law enforcement and corrections programs, including behavioral programs and crisis intervention teams. This Local JAG award will be used to support criminal justice initiatives that fall under one or more of the allowable program areas above. Any equipment purchases or funded initiatives such as overtime, task forces, drug programs or information sharing, will be aimed at reducing crime and enhancing public and officer safety. NCA/NCF Flora D. Lawson (202) 305-9216 OJP FORM 4000/2 (REV. 4-88) Purchasing of Body Worn Video Cameras Augusta Richmond County 535 Telfair Street, Suite 800 Finance Department Augusta, GA 30901-4441 TO:10/01/2017 09/30/2021FROM:TO:10/01/2017 09/30/2021FROM: 10/01/2018 $ 31,696 3b. POMS CODE (SEE INSTRUCTIONS ON REVERSE) 3a. TITLE OF THE PROGRAM BJA FY 18 Edward Byrne Memorial Justice Assistance Grant (JAG) Program - Local Solicitation U.S. Department of Justice Office of Justice Programs Bureau of Justice Assistance Public Safety Committee Meeting 10/30/2018 1:10 PM Approve an award from Edward Bryne Memorial Justice Assistance Grant (JAG) Program in the amount of $31,696.00 to purchase Body Cameras for the Richmond County Sheriff’s Office Department:Richmond County Sheriff's Office Presenter: Caption:Accept an award in the amount of $31,696.00 from Edward Bryne Memorial Justice Assistance Grant (JAG) Program for the Richmond County Sheriff's Office. The monies will assist RCSO in purchasing additional Body Cameras. Background:The Richmond County Sheriff’s Office has utilized Department of Justice funding programs to hire deputies, purchase mobile radio equipment, purchase law enforcement vehicles, and purchase and maintain Mobile Data Terminals for our Field Operations and Criminal Investigations Divisions Vehicles. The Richmond County Sheriff’s Office would like to utilize the funding available in the 2018 JAG program to purchase additional Body Cameras. Analysis:The Richmond County Sheriff's Office will purchase Body Cameras for deputies. Financial Impact:The Richmond County Sheriff’s Office has utilized Department of Justice funding programs to hire deputies, purchase mobile radio equipment, purchase law enforcement vehicles, and purchase Mobile Data Terminals for our Field Operations and Criminal Investigations Divisions Vehicles. Alternatives:None Recommendation:Approve funding in the amount of $31,696.00 to allow the Richmond County Sheriff's Office to participate in the FY18 Edward Bryne Memorial Justice Assistance Grant Program. Funds are Available in the NA -100% Reimbursable from grant. Fund 220 Following Accounts: REVIEWED AND APPROVED BY: Finance. Law. Administrator. Clerk of Commission Contract No. 2018-0118 1 LICENSE AND SERVICES AGREEMENT This License and Services Agreement is made between Tyler Technologies, Inc. (“Tyler”), a Delaware corporation, and Augusta, Georgia (“Client”), a political subdivision of the State of Georgia. WHEREAS, Client selected Tyler to license the software products and perform the services set forth in the Investment Summary and Tyler desires to perform such actions under the terms of this Agreement; NOW THEREFORE, in consideration of the foregoing and of the mutual covenants and promises set forth in this Agreement, Tyler and Client agree as follows: SECTION A – DEFINITIONS · “Agreement” means this License and Services Agreement. · “Business Travel Policy” means our business travel policy. A copy of our current Business Travel Policy is attached as Schedule 1 to Exhibit B. · “Defect” means a failure of the Tyler Software to substantially conform to the functional descriptions set forth in our written proposal to you, or their functional equivalent. Future functionality may be updated, modified, or otherwise enhanced through our maintenance and support services, and the governing functional descriptions for such future functionality will be set forth in our then-current Documentation. · “Developer” means a third party who owns the intellectual property rights to Third Party Software. · “Documentation” means any online or written documentation related to the use or functionality of the Tyler Software that we provide or otherwise make available to you, including instructions, user guides, manuals and other training or self-help documentation. · “Effective Date” means November 5, 2018. The Project Timeline is attached as Exhibit E. · “Force Majeure” means an event beyond the reasonable control of you or us, including, without limitation, governmental action, war, riot or civil commotion, fire, natural disaster, or any other cause that could not with reasonable diligence be foreseen or prevented by you or us. · “Investment Summary” means the agreed upon cost proposal for the software, products, and services attached as Exhibit A. · “Invoicing and Payment Policy” means the invoicing and payment policy. A copy of our current Invoicing and Payment Policy is attached as Exhibit B. · “Maintenance and Support Agreement” means the terms and conditions governing the provision of maintenance and support services to all of our customers. A copy of our current Maintenance and Support Agreement is attached as Exhibit C. · “Statement of Work” means the industry standard implementation plan describing how our professional services will be provided to implement the Tyler Software, and outlining your and our roles and responsibilities in connection with that implementation. The Statement of Work is attached as Exhibit D. · “Support Call Process” means the support call process applicable to all of our customers who 2 have licensed the Tyler Software. A copy of our current Support Call Process is attached as Schedule 1 to Exhibit C. · “Third Party Hardware” means the third party hardware, if any, identified in the Investment Summary. · “Third Party Products” means the Third Party Software and Third Party Hardware. · “Third Party Software” means the third party software, if any, identified in the Investment Summary. · “Tyler Software” means our proprietary software, including any integrations, custom modifications, and/or other related interfaces identified in the Investment Summary and licensed by us to you through this Agreement. · “we”, “us”, “our” and similar terms mean Tyler. · “you” and similar terms mean Client. SECTION B – SOFTWARE LICENSE 1. License Grant and Restrictions. 1.1 Tyler grants to Client a license to use the Tyler Software for Client’s internal business purposes only, in the scope of the internal business purposes disclosed to Tyler as of the Effective Date. Client may make copies of the Tyler Software for backup and testing purposes, so long as such copies are not used in production and the testing is for internal use only. Client’s rights to use the Tyler Software are perpetual but may be revoked if Client does not comply with the terms of this Agreement. 1.2 The Documentation is licensed to you and may be used and copied by your employees for internal, non-commercial reference purposes only. 1.3 You may not: (a) transfer or assign the Tyler Software to a third party; (b) reverse engineer, decompile, or disassemble the Tyler Software; (c) rent, lease, lend, or provide commercial hosting services with the Tyler Software; or (d) publish or otherwise disclose the Tyler Software or Documentation to third parties. 1.4 The license terms in this Agreement apply to updates and enhancements we may provide to you or make available to you through your Maintenance and Support Agreement. 1.5 The right to transfer the Tyler Software to a replacement hardware system is included in your license. You will give us advance written notice of any such transfer and will pay us for any required or requested technical assistance from us associated with such transfer. 1.6 Where applicable with respect to our applications that take or process card payment data, we are responsible for the security of cardholder data that we possess, including functions relating to storing, processing, and transmitting of the cardholder data and affirm that, as of the Effective Date, we comply with applicable requirements to be considered PCI DSS compliant and have performed the necessary steps to validate compliance with the PCI DSS. We agree to supply the current status of our PCI DSS compliance program in the form of an official Attestation of Compliance, which can be found at https://www.tylertech.com/about- us/compliance, and in the event of any change in our status, will comply with applicable notice requirements. 3 1.7 We reserve all rights not expressly granted to you in this Agreement. The Tyler Software and Documentation are protected by copyright and other intellectual property laws and treaties. We own the title, copyright, and other intellectual property rights in the Tyler Software and the Documentation. The Tyler Software is licensed, not sold. 2. License Fees. You agree to pay us the license fees in the amounts set forth in the Investment Summary. Those amounts are payable in accordance with our Invoicing and Payment Policy. 3. Escrow. We maintain an escrow agreement with a third party under which we place the source code for each major release of the Tyler Software. You may be added as a beneficiary to the escrow agreement by completing a standard beneficiary enrollment form and paying the annual beneficiary fee set forth in the Investment Summary. You will be responsible for maintaining your ongoing status as a beneficiary, including payment of the then-current annual beneficiary fees. Release of source code for the Tyler Software is strictly governed by the terms of the escrow agreement. 4. Limited Warranty. We warrant that the Tyler Software will be without Defect(s) as long as you have a Maintenance and Support Agreement in effect. If the Tyler Software does not perform as warranted, we will use all reasonable efforts, consistent with industry standards, to cure the Defect as set forth in the Maintenance and Support Agreement. SECTION C – PROFESSIONAL SERVICES 1. Services. We will provide you the various implementation-related services itemized in the Investment Summary and described in the Statement of Work, including specifically Tyler’s responses to the functional requirements attached to the Statement of Work as Schedule 2 of Exhibit D and the specifications set forth therein. There shall be no changes to the functional requirements set forth in Exhibit D Schedule 2 unless mutually agreed to by the parties in writing. 2. Professional Services Fees. You agree to pay us the professional services fees in the amounts set forth in the Investment Summary. Those amounts are payable in accordance with our Invoicing and Payment Policy. You acknowledge that the fees stated in the Investment Summary are good-faith estimates of the amount of time and materials required for your implementation. We will bill you the actual fees incurred based on the in-scope services provided to you up to the maximum amounts set forth in the Investment Summary. Any discrepancies in the total values set forth in the Investment Summary will be resolved by multiplying the applicable hourly rate by the quoted hours. 3. Additional Services. The Investment Summary contains, and the Statement of Work describes, the scope of services and related costs (including programming and/or interface estimates) required for the project based on our understanding of the specifications you supplied and our assumption that each party timely meets its obligations pursuant to the project schedule as mutually developed and managed by the parties pursuant to the Statement of Work. If additional work is required, or if you use or request additional services, we will provide you with an addendum or change order, as applicable, outlining the costs for the additional work. The price quotes in the addendum or change order will be valid for thirty (30) days from the date of the quote. 4. Cancellation. We make all reasonable efforts to schedule our personnel for travel, including arranging travel reservations, at least two (2) weeks in advance of commitments. Therefore, if you cancel services less than two (2) weeks in advance (other than for Force Majeure or breach by us), you will be liable for all (a) non-refundable expenses incurred by us on your behalf, and (b) daily fees 4 associated with cancelled professional services if we are unable to reassign our personnel. We will make all reasonable efforts to reassign personnel in the event you cancel within two (2) weeks of scheduled commitments. 5. Services Warranty. We will perform the services in a professional, workmanlike manner, consistent with industry standards. In the event we provide services that do not conform to this warranty, we will re-perform such services at no additional cost to you. 6. Site Access and Requirements. At no cost to us, you agree to provide us with full and free access to your personnel, facilities, and equipment as may be reasonably necessary for us to provide implementation services, subject to any reasonable security protocols or other written policies provided to us as of the Effective Date, and thereafter as mutually agreed to by you and us. You further agree to provide a reasonably suitable environment, location, and space for the installation of the Tyler Software and any Third Party Products, including, without limitation, sufficient electrical circuits, cables, and other reasonably necessary items required for the installation and operation of the Tyler Software and any Third Party Products. 7. Client Assistance. You acknowledge that the implementation of the Tyler Software is a cooperative process requiring the time and resources of your personnel. You agree to use all reasonable efforts to cooperate with and assist us as may be reasonably required to meet the agreed upon project deadlines and other milestones for implementation. This cooperation includes at least working with us to schedule the implementation-related services outlined in this Agreement. We will not be liable for failure to meet any deadlines and milestones when such failure is due to Force Majeure or to the failure by your personnel to provide such cooperation and assistance (either through action or omission). 8. Temporary Suspension. To the extent the scope of work is not altered, you may unilaterally order a temporary suspension stopping the services described in the Statement of Work or a delay of the services to be performed by us under the Statement of Work, by giving thirty (30) days prior written notice to us. We will resume our performance of the services under the same terms and conditions as stated in this Agreement upon written notice, on a mutually agreed upon timetable, which in all events must be commercially reasonable. We will provide you with an addendum outlining any additional costs or expenses actually incurred by us as a result of recommencing the services. No suspension of this Agreement is permitted in the aggregate to exceed a period of forty-five (45) days within any one year of this Agreement. If the total number of days of suspension exceeds forty-five (45) days, we may, by written notice delivered to you, treat the suspension as an early termination of this Agreement. In the event of termination under this provision, you will pay us for all undisputed fees and expenses related to the software, products, and/or services you have received, or we have incurred or delivered, prior to the effective date of termination. You will not be entitled to a refund or offset of previously paid license and other fees. SECTION D – MAINTENANCE AND SUPPORT This Agreement includes the period of free maintenance and support services identified in the Invoicing and Payment Policy. If you have purchased ongoing maintenance and support services, and continue to make timely payments for them according to our Invoicing and Payment Policy, we will provide you with maintenance and support services for the Tyler Software under the terms of our standard Maintenance and Support Agreement. 5 If you have opted not to purchase ongoing maintenance and support services for the Tyler Software, the Maintenance and Support Agreement does not apply to you. Instead, you will only receive ongoing maintenance and support on the Tyler Software on a time and materials basis. In addition, you will: (i) receive the lowest priority under our Support Call Process; (ii) be required to purchase new releases of the Tyler Software, including fixes, enhancements and patches; (iii) be charged our then-current rates for support services, or such other rates that we may consider necessary to account for your lack of ongoing training on the Tyler Software; (iv) be charged for a minimum of two (2) hours of support services for every support call; and (v) not be granted access to the support website for the Tyler Software or the Tyler Community Forum. SECTION E – THIRD PARTY PRODUCTS To the extent there are any Third Party Products set forth in the Investment Summary, the following terms and conditions will apply: 1. Third Party Hardware. We will sell, deliver, and install onsite the Third Party Hardware, if you have purchased any, for the price set forth in the Investment Summary. Those amounts are payable in accordance with our Invoicing and Payment Policy. 2. Third Party Software. Upon payment in full of the Third Party Software license fees, you will receive a non-transferable license to use the Third Party Software and related documentation for your internal business purposes only. Your license rights to the Third Party Software will be governed by the Third Party Terms. 2.1 We will install onsite the Third Party Software. The installation cost is included in the installation fee in the Investment Summary. 2.2 If the Developer charges a fee for future updates, releases, or other enhancements to the Third Party Software, you will be required to pay such additional future fee. 2.3 The right to transfer the Third Party Software to a replacement hardware system is governed by the Developer. You will give us advance written notice of any such transfer and will pay us for any required or requested technical assistance from us associated with such transfer. 3. Third Party Products Warranties. 3.1 We are authorized by each Developer to grant or transfer the licenses to the Third Party Software. 3.2 The Third Party Hardware will be new and unused, and upon payment in full, you will receive free and clear title to the Third Party Hardware. 3.3 You acknowledge that we are not the manufacturer of the Third Party Products. We do not warrant or guarantee the performance of the Third Party Products. However, we grant and pass 6 through to you any warranty that we may receive from the Developer or supplier of the Third Party Products. 4. Maintenance. If you have a Maintenance and Support Agreement in effect, you may report defects and other issues related to the Third Party Software directly to us, and we will (a) directly address the defect or issue, to the extent it relates to our interface with the Third Party Software; and/or (b) facilitate resolution with the Developer, unless that Developer requires that you have a separate, direct maintenance agreement in effect with that Developer. In all events, if you do not have a Maintenance and Support Agreement in effect with us, you will be responsible for resolving defects and other issues related to the Third Party Software directly with the Developer. SECTION F – INVOICING AND PAYMENT; INVOICE DISPUTES 1. Invoicing and Payment. We will invoice you for all fees set forth in the Investment Summary per our Invoicing and Payment Policy, subject to Section F(2). The terms of this Agreement supersede any and all provisions of the Georgia Prompt Payment Act. 2. Invoice Disputes. If you believe any delivered software or service does not conform to the warranties in this Agreement, you will provide us with written notice within thirty (30) days of your receipt of the applicable invoice. The written notice must contain reasonable detail of the issues you contend are in dispute so that we can confirm the issue and respond to your notice with either a justification of the invoice, an adjustment to the invoice, or a proposal addressing the issues presented in your notice. We will work with you as may be necessary to develop an action plan that outlines reasonable steps to be taken by each of us to resolve any issues presented in your notice. You may withhold payment of the amount(s) actually in dispute, and only those amounts, until we complete the action items outlined in the plan. If we are unable to complete the action items outlined in the action plan because of your failure to complete the items agreed to be done by you, then you will remit full payment of the invoice. We reserve the right to suspend delivery of all services, including maintenance and support services, if you fail to pay an invoice not disputed as described above within fifteen (15) days of notice of our intent to do so. 3. Defective Pricing. To the extent that the pricing provided by Tyler is erroneous and defective, the parties may, by agreement, correct pricing errors to reflect the intent of the parties. SECTION G – TERMINATION 1. Term. The initial term of this Agreement is five (5) years from the Effective Date unless earlier terminated as set forth herein. Thereafter, the Agreement will renew automatically on the annual anniversary of the Effective Date for additional one (1) year terms unless terminated in writing by you at least thirty (30) days prior to the end of the then-current term, or unless terminated by you in accordance with Sections G(2)-G(6) below. 2. For Cause. If you believe we have materially breached this Agreement, you will invoke the Dispute Resolution clause set forth in Section I(3). You may terminate this Agreement for cause in the event we do not cure, or create a mutually agreeable action plan to address, a material breach of this Agreement within the thirty (30) day window set forth in Section I(3). In the event of termination for cause, you will pay us for all undisputed fees and expenses related to the software, products, and/or services you have received, or we have incurred or delivered, prior to the effective date of 7 termination. 3. Lack of Appropriations. If you should not appropriate or otherwise receive funds sufficient to purchase, lease, operate, or maintain the software or services set forth in this Agreement, you may unilaterally terminate this Agreement effective on the final day of the fiscal year through which you have funding. You will make every effort to give us at least thirty (30) days written notice prior to a termination for lack of appropriations. In the event of termination due to a lack of appropriations, you will pay us for all undisputed fees and expenses related to the software and/or services you have received, or we have incurred or delivered, prior to the effective date of termination. Any disputed fees and expenses must have been submitted to the Invoice Dispute process set forth in Section F(2) at the time of termination in order to be withheld at termination. You will not be entitled to a refund or offset of previously paid license and other fees. 4. Force Majeure. Neither party will be liable, you or we may terminate this Agreement if a Force Majeure event suspends performance of scheduled tasks for a period of forty-five (45) days or more. In the event of termination due to Force Majeure, you will pay us for all undisputed fees and expenses related to the software and/or services you have received, or we have incurred or delivered, prior to the effective date of termination. Any disputed fees and expenses must have been submitted to the Invoice Dispute process set forth in Section F(2) at the time of termination in order to be withheld at termination. You will not be entitled to a refund or offset of previously paid license and other fees. 5. Termination for Convenience. Upon no less than thirty (30) days’ advance written notice to us, you may, without cause and without prejudice to any other right or remedy of ours, elect to terminate the Agreement. In such case, we shall be paid (without duplication of any items) for all undisputed fees and expenses related to the software, products, and/or services you have received, or we have incurred or delivered, prior to the effective date of termination. Any disputed fees and expenses must have been submitted to the Invoice Dispute process set forth in Section F(2) at the time of termination in order to be withheld at termination. You will not be entitled to a refund or offset of previously paid license and other fees. 6. O.C.G.A. §36-60-13. You may terminate this Agreement in accordance with O.C.G.A. §36-60-13 et seq. Unless you take affirmative action to terminate this Agreement in accordance with O.C.G.A. §36-60-13, this Agreement will continue for the duration of the initial five (5) year term and will automatically renew thereafter in accordance with Section G(1) of this Agreement. You will pay us for all undisputed fees and expenses related to the software, products, and/or services you have received, or we have incurred or delivered, prior to the effective date of termination. Any disputed fees and expenses must have been submitted to the Invoice Dispute process set forth in Section F(2) at the time of termination in order to be withheld at termination. You will not be entitled to a refund or offset of previously paid license and other fees. SECTION H – INDEMNIFICATION, LIMITATION OF LIABILITY AND INSURANCE 1. Intellectual Property Infringement Indemnification. 2.1 We will defend you against any third party claim(s) that the Tyler Software or Documentation infringes that third party’s patent, copyright, or trademark, or misappropriates its trade secrets, and will pay the amount of any resulting adverse final judgment (or settlement to which we consent). You must notify us promptly in writing of the claim and give us sole control over its 8 defense or settlement. You agree to provide us with reasonable assistance, cooperation, and information in defending the claim at our expense; however, Tyler shall obtain Client’s written consent prior to settling a claim that requires payment by Client or other affirmative act, such consent not to be unreasonably withheld, conditioned, or delayed. 1.1 Our obligations under this Section H(1) will not apply to the extent the claim or adverse final judgment is based on your: (a) use of a previous version of the Tyler Software and the claim would have been avoided had you installed and used the current version of the Tyler Software, and we provided notice of that requirement to you; (b) combining the Tyler Software with any product or device not provided, contemplated, or approved by us; (c) altering or modifying the Tyler Software, including any modification by third parties at your direction or otherwise permitted by you; (d) use of the Tyler Software in contradiction of this Agreement, including with non-licensed third parties; or (e) willful infringement, including use of the Tyler Software after we notify you to discontinue use due to such a claim. 1.2 If we receive information concerning an infringement or misappropriation claim related to the Tyler Software, we may, at our expense and without obligation to do so, either: (a) procure for you the right to continue its use; (b) modify it to make it non-infringing; or (c) replace it with a functional equivalent, in which case you will stop running the allegedly infringing Tyler Software immediately. Alternatively, we may decide to litigate the claim to judgment, in which case you may continue to use the Tyler Software consistent with the terms of this Agreement. 1.3 If an infringement or misappropriation claim is fully litigated and your use of the Tyler Software is enjoined by a court of competent jurisdiction, in addition to paying any adverse final judgment (or settlement to which we consent), we will, at our option, either: (a) procure the right to continue its use; (b) modify it to make it non-infringing; (c) replace it with a functional equivalent; or (d) terminate your license and refund the license fees paid for the infringing Tyler Software, as depreciated on a straight-line basis measured over seven (7) years from the Effective Date. We will pursue those options in the order listed herein. This section provides your exclusive remedy for third party copyright, patent, or trademark infringement and trade secret misappropriation claims. 2. Property Damage and Personal Injury Indemnification. 2.2 We will indemnify and hold harmless you and your agents, officials, and employees from and against any and all third-party claims, losses, liabilities, damages, costs, and expenses (including reasonable attorney's fees and costs) for (a) personal injury, death, or property damage to the extent caused by our negligence or willful misconduct; or (b) our violation of PCI DSS requirements or a law applicable to our performance under this Agreement. You must notify us promptly in writing of the claim and give us sole control over its defense or settlement. You agree to provide us with reasonable assistance, cooperation, and information in defending the claim at our expense; however, Tyler shall obtain Client’s written consent prior to settling a claim that requires payment by Client or other affirmative act, such consent not to be unreasonably withheld, conditioned, or delayed. 2.3 To the extent permitted by applicable law, you will indemnify and hold harmless us and our agents, officials, and employees from and against any and all third-party claims, losses, liabilities, damages, costs, and expenses (including reasonable attorney's fees and costs) for (a) personal injury or property damage to the extent caused by your negligence or willful 9 misconduct; or (b) your violation of a law applicable to your performance under this Agreement. We will notify you promptly in writing of the claim and will give you sole control over its defense or settlement. We agree to provide you with reasonable assistance, cooperation, and information in defending the claim at your expense. 3. DISCLAIMER. EXCEPT FOR THE EXPRESS WARRANTIES PROVIDED IN THIS AGREEMENT AND TO THE MAXIMUM EXTENT PERMITTED BY APPLICABLE LAW, WE HEREBY DISCLAIM ALL OTHER WARRANTIES AND CONDITIONS, WHETHER EXPRESS, IMPLIED, OR STATUTORY, INCLUDING, BUT NOT LIMITED TO, ANY IMPLIED WARRANTIES, DUTIES, OR CONDITIONS OF MERCHANTABILITY OR FITNESS FOR A PARTICULAR PURPOSE. 4. LIMITATION OF LIABILITY. EXCEPT AS OTHERWISE EXPRESSLY SET FORTH IN THIS AGREEMENT, OUR LIABILITY FOR DAMAGES ARISING OUT OF THIS AGREEMENT, WHETHER BASED ON A THEORY OF CONTRACT OR TORT, INCLUDING NEGLIGENCE AND STRICT LIABILITY, SHALL BE LIMITED TO YOUR ACTUAL DIRECT DAMAGES, NOT TO EXCEED (A) PRIOR TO FORMAL TRANSITION TO MAINTENANCE AND SUPPORT, THE TOTAL ONE-TIME FEES SET FORTH IN THE INVESTMENT SUMMARY; OR (B) AFTER FORMAL TRANSITION TO MAINTENANCE AND SUPPORT, THE THEN- CURRENT ANNUAL MAINTENANCE AND SUPPORT FEE. THE PARTIES ACKNOWLEDGE AND AGREE THAT THE PRICES SET FORTH IN THIS AGREEMENT ARE SET IN RELIANCE UPON THIS LIMITATION OF LIABILITY AND TO THE MAXIMUM EXTENT ALLOWED UNDER APPLICABLE LAW, THE EXCLUSION OF CERTAIN DAMAGES, AND EACH SHALL APPLY REGARDLESS OF THE FAILURE OF AN ESSENTIAL PURPOSE OF ANY REMEDY. THE FOREGOING LIMITATION OF LIABILITY SHALL NOT APPLY TO CLAIMS THAT ARE SUBJECT TO SECTIONS H(1) AND H(2). 5. EXCLUSION OF CERTAIN DAMAGES. TO THE MAXIMUM EXTENT PERMITTED BY APPLICABLE LAW, IN NO EVENT SHALL WE BE LIABLE FOR ANY SPECIAL, INCIDENTAL, PUNITIVE, INDIRECT, OR CONSEQUENTIAL DAMAGES WHATSOEVER. 6. Insurance. During the course of performing services under this Agreement, we agree to maintain the following levels of insurance: (a) Commercial General Liability of at least $1,000,000; (b) Automobile Liability of at least $1,000,000; (c) Professional Liability of at least $1,000,000; (d) Workers Compensation complying with applicable statutory requirements; and (e) Excess/Umbrella Liability of at least $5,000,000. We will add you as an additional insured to our Commercial General Liability and Automobile Liability policies, which will automatically add you as an additional insured to our Excess/Umbrella Liability policy as well. We will provide you with copies of certificates of insurance within ten (10) business days of the execution of this Agreement. SECTION I – GENERAL TERMS AND CONDITIONS 1. Additional Products and Services. You may purchase additional products and services at the rates set forth in the Investment Summary for twelve (12) months from the Effective Date, and thereafter at our then-current list price, by executing a mutually agreed addendum. If no rate is provided in the Investment Summary, or those twelve (12) months have expired, you may purchase additional products and services at our then-current list price, also by executing a mutually agreed addendum. The terms of this Agreement will control any such additional purchase(s), unless otherwise specifically provided in the addendum. 2. Optional Items. Pricing for any listed optional products and services in the Investment Summary will be valid for twelve (12) months from the Effective Date. 10 3. Dispute Resolution. You agree to provide us with written notice within thirty (30) days of becoming aware of a dispute. You agree to cooperate with us in trying to reasonably resolve all disputes, including, if requested by either party, appointing a senior representative to meet and engage in good faith negotiations with our appointed senior representative. Senior representatives will convene within thirty (30) days of the written dispute notice, unless otherwise agreed. All meetings and discussions between senior representatives will be deemed confidential settlement discussions not subject to disclosure under Federal Rule of Evidence 408 or any similar applicable state rule. If we fail to resolve the dispute, either of us may assert our respective rights and remedies in a court of competent jurisdiction. All claims, disputes and other matters in question between the parties which are not resolved pursuant to this Section I(3) arising out of or relating to the Agreement, or the breach thereof, shall be decided in the Superior Court of Richmond County, Georgia or the federal courts for the Southern District of Georgia. By executing this Agreement, we specifically consent to jurisdiction and venue in Richmond County and waive any right to contest the jurisdiction and venue in the Superior Court of Richmond County, Georgia or the federal courts for the Southern District of Georgia. Nothing in this section shall prevent you or us from seeking necessary injunctive relief during the dispute resolution procedures. 4. Taxes. The fees in the Investment Summary do not include any taxes, including, without limitation, sales, use, or excise tax. If you are a tax-exempt entity, you agree to provide us with a tax-exempt certificate. Otherwise, we will pay all applicable taxes to the proper authorities and you will reimburse us for such taxes. If you have a valid direct-pay permit, you agree to provide us with a copy. For clarity, we are responsible for paying our income taxes, both federal and state, as applicable, arising from our performance of this Agreement. 5. Nondiscrimination. We will not discriminate against any person employed or applying for employment concerning the performance of our responsibilities under this Agreement. This discrimination prohibition will apply to all matters of initial employment, tenure, and terms of employment, or otherwise with respect to any matter directly or indirectly relating to employment concerning race, color, religion, national origin, age, sex, sexual orientation, ancestry, disability that is unrelated to the individual's ability to perform the duties of a particular job or position, height, weight, marital status, or political affiliation. We will post, where appropriate, all notices related to nondiscrimination as may be required by applicable law. 6. E-Verify. We have complied, and will comply, with the E-Verify procedures administered by the U.S. Citizenship and Immigration Services Verification Division for all of our employees assigned to your project. Tyler is required to execute an Affidavit, as provided in Rule 300-10-01-.07 or a substantially similar form, verifying its compliance with OCGA §13-10-91, stating affirmatively that the individual, firm, or corporation which is contracting with Client has registered with and is participating in a federal work authorization program. Tyler and its subcontractors, if any, must provide their E-Verify number and must be in compliance with the electronic verification of work authorized programs operated by the United States Department of Homeland Security or any equivalent federal work authorization program operated by the United States Department of Homeland Security to verify information of newly hired employees, pursuant to the Immigration Reform and Control Act of 1986 (IRCA), P.L. 99-603, in accordance with the applicability provisions and deadlines established in OCGA §13-10-91 and shall continue to use the federal authorization program throughout the term of the Agreement. Tyler shall further agree that, should it employ or contract with any subcontractor(s) in connection with the physical performance of services pursuant 11 to this Agreement, Tyler will secure from such subcontractor(s) each subcontractor’s E-Verify number as evidence of verification of compliance with OCGA §13-10-91 on the subcontractor affidavit provided in Rule 300-10-01-.08 or a substantially similar form. Tyler further agrees to maintain records of such compliance and provide a copy of each such verification to Client at the time the subcontractor(s) is retained to perform such physical services. 7. Subcontractors. We will not subcontract any services under this Agreement without your prior written consent, not to be unreasonably withheld. 8. Binding Effect; No Assignment. This Agreement shall be binding on, and shall be for the benefit of, either your or our successor(s) or permitted assign(s). Neither party may sell, transfer, or assign this Agreement without the prior written consent of the other party, which shall not be unreasonably withheld. Notwithstanding the foregoing, Client’s consent is not required for any assignment by Tyler as a result of a corporate reorganization, merger, acquisition, or purchase of substantially all of Tyler’s assets (a “Change of Control”) and written notice of a Change of Control shall be provided to Client as soon as practicable and in compliance with applicable federal securities laws. In the event of an assignment by Tyler as a result of a Change of Control, Client may terminate this Agreement pursuant to Section G(5). 9. Force Majeure. Except for your payment obligations, neither party will be liable for delays in performing its obligations under this Agreement to the extent that the delay is caused by Force Majeure; provided, however, that within ten (10) business days of the Force Majeure event, the party whose performance is delayed provides the other party with written notice explaining the cause and extent thereof, as well as a request for a reasonable time extension equal to the estimated duration of the Force Majeure event. 10. No Intended Third Party Beneficiaries. This Agreement is entered into solely for the benefit of you and us. No third party will be deemed a beneficiary of this Agreement, and no third party will have the right to make any claim or assert any right under this Agreement. This provision does not affect the rights of third parties under any Third Party Terms. 11. Conflicts of Interest; Prohibited Interest. Tyler maintains and warrants that it has not employed or retained any company or person, other than a bona fide employee working solely for Tyler, to solicit or secure this Agreement. Further, Tyler warrants that it has not paid or agreed to pay any company or person, other than a bona fide employee working solely for Tyler, any fee, commission, percentage, brokerage fee, gift or other consideration contingent upon or resulting from the award or making of this Agreement. For breach or violation of this warranty, Client shall have the right to terminate this Agreement in accordance with Section G. 12. Entire Agreement; Amendment. This Agreement represents the entire agreement between you and us with respect to the subject matter hereof, and supersedes any prior agreements, understandings, and representations, whether written, oral, expressed, implied, or statutory. Purchase orders submitted by you, if any, are for your internal administrative purposes only, and the terms and conditions contained in those purchase orders will have no force or effect. This Agreement may only be modified by a written amendment signed by an authorized representative of each party. 13. Modification Requires Legislative Approval. “Tyler acknowledges that this contract and any changes to it by amendment, modification, change order or other similar document may have required or may require the legislative authorization of the Board of Commissioners and approval of the Mayor. 12 Under Georgia law, Tyler is deemed to possess knowledge concerning Augusta, Georgia's ability to assume contractual obligations and the consequences of Tyler's provision of goods or services to Augusta, Georgia under an unauthorized contract, amendment, modification, change order or other similar document, including the possibility that Tyler may be precluded from recovering payment for such unauthorized goods or services. Accordingly, Tyler agrees that if it provides goods or services to Augusta, Georgia under a contract that has not received proper legislative authorization or if Tyler provides goods or services to Augusta, Georgia in excess of the any contractually authorized goods or services, as required by Augusta, Georgia's Charter and Code, Augusta, Georgia may withhold payment for any unauthorized goods or services provided by Tyler. Tyler assumes all risk of non- payment for the provision of any unauthorized goods or services to Augusta, Georgia, and it waives all claims to payment or to other remedies for the provision of any unauthorized goods or services to Augusta, Georgia, however characterized, including, without limitation, all remedies at law or equity." This acknowledgement shall be a mandatory provision in all Augusta, Georgia contracts for goods and services, except revenue producing contracts. 14. Severability. If any term or provision of this Agreement is held invalid or unenforceable, the remainder of this Agreement will be considered valid and enforceable to the fullest extent permitted by law. 15. No Waiver. In the event that the terms and conditions of this Agreement are not strictly enforced by either party, such non-enforcement will not act as or be deemed to act as a waiver or modification of this Agreement, nor will such non-enforcement prevent such party from enforcing each and every term of this Agreement thereafter. 16. Independent Contractor. Each party will perform its duties under this Agreement as an independent contractor. The parties and their personnel will not be considered to be employees or agents of the other party. Nothing in this Agreement will be interpreted as granting either party the right or authority to make commitments of any kind for the other. This Agreement will not constitute, create, or be interpreted as a joint venture, partnership or formal business organization of any kind. 17. Notices. All notices or communications required or permitted as a part of this Agreement, such as notice of an alleged material breach for a termination for cause or a dispute that must be submitted to dispute resolution, must be in writing and will be deemed delivered upon the earlier of the following: (a) actual receipt by the receiving party; (b) upon receipt by sender of a certified mail, return receipt signed by an employee or agent of the receiving party; (c) upon receipt by sender of proof of email delivery; or (d) if not actually received, five (5) days after deposit with the United States Postal Service authorized mail center with proper postage (certified mail, return receipt requested) affixed and addressed to the other party at the address set forth on the signature page hereto or such other address as the party may have designated by proper notice. The consequences for the failure to receive a notice due to improper notification by the intended receiving party of a change in address will be borne by the intended receiving party. 18. Client Lists. You agree that we may identify you by name in client lists, marketing presentations, and promotional materials. 19. Confidentiality and Georgia Open Records Act. Both parties recognize that their respective employees and agents, in the course of performance of this Agreement, may be exposed to confidential information and that disclosure of such information could violate rights to private individuals and entities, including the parties. Confidential information is nonpublic information 13 that a reasonable person would believe to be confidential and includes, without limitation, personal identifying information (e.g., social security numbers) and trade secrets, each as defined by applicable state law. Each party agrees that it will not disclose any confidential information of the other party and further agrees to take all reasonable and appropriate action to prevent such disclosure by its employees or agents. The confidentiality covenants contained herein will survive the termination or cancellation of this Agreement. This obligation of confidentiality will not apply to information that: (a) is in the public domain, either at the time of disclosure or afterwards, except by breach of this Agreement by a party or its employees or agents; (b) a party can establish by reasonable proof was in that party's possession at the time of initial disclosure; (c) a party receives from a third party who has a right to disclose it to the receiving party; or (d) is the subject of a legitimate disclosure request under the open records laws or similar applicable public disclosure laws governing this Agreement; provided, however, that in the event you receive an open records or other similar applicable request, you will give us prompt notice and otherwise perform the functions required by applicable law. We acknowledge that this Agreement and certain documentation may be subject to the Georgia Open Records Act (OCGA §50-18-70, et seq.). We shall cooperate fully in responding to such requests and shall make all records, not exempt, available for inspection and copying as required by law. 20. Business License. In the event a local business license is required for us to perform services hereunder, you will promptly notify us and provide us with the necessary paperwork and/or contact information so that we may timely obtain such license. 21. Governing Law. This Agreement will be governed by and construed in accordance with the laws of the State of Georgia. 22. Multiple Originals and Authorized Signatures. This Agreement may be executed in multiple originals, any of which will be independently treated as an original document. Any electronic, faxed, scanned, photocopied, or similarly reproduced signature on this Agreement or any amendment hereto will be deemed an original signature and will be fully enforceable as if an original signature. Each party represents to the other that the signatory set forth below is duly authorized to bind that party to this Agreement. 23. Cooperative Procurement. To the maximum extent permitted by applicable law, we agree that this Agreement may be used as a cooperative procurement vehicle by eligible jurisdictions. We reserve the right to negotiate and customize the terms and conditions set forth herein, including but not limited to pricing, to the scope and circumstances of that cooperative procurement. 24. Prohibition on Contingent Fees. Tyler warrants that no person or selling agency has been employed or retained to solicit or secure this Agreement upon an agreement or understanding for a commission, percentage, brokerage, or contingent fee, excepting bona fide employees or bona fide established commercial or selling agencies maintained by Tyler for the purpose of securing business and that Tyler has not received any non-Client fee related to this Agreement without the prior written consent of Client. For breach or violation of this warranty, Client shall have the right to terminate this Agreement pursuant to Section G(2) or at its discretion to deduct from the 14 Agreement, the full amount of such commission, percentage, brokerage or contingent fee. 25. Performance Bond. Tyler shall secure a performance bond (“Bond”) agreeable to both parties within ten (10) Business Days after execution of this Agreement in the face amount of $370,870. The cost of the Bond, equal to $6,120, is based on the total contract dollar amount of this Agreement for an initial term of twenty-four (24) months and is payable in accordance with the terms set forth in Exhibit B. Client acknowledges and agrees that it will be responsible for any increase in Bond premiums during the first two years of the Agreement caused by Client’s election to increase the Agreement and Bond dollar amount. In the event that implementation activities are not complete after the expiration of the initial twenty-four (24) month term, Client may elect to renew or extend the term of the performance bond, and Client shall be solely responsible for providing us with notice and for any additional bond premiums. All bond renewals shall be subject to underwriting or surety approval. 26. Contract Documents. This Agreement includes the following exhibits: Exhibit A Investment Summary Exhibit B Invoicing and Payment Policy Schedule 1: Business Travel Policy Exhibit C Maintenance and Support Agreement Schedule 1: Support Call Process Exhibit D Statement of Work Schedule 1: Eagle Solution System Requirements Schedule 2: Eagle Solution Functional Requirements Exhibit E Project Timeline In the event of a conflict between the Agreement and the above stated exhibits, the terms of the Agreement shall control. With respect to the exhibits, in the event of a conflict between the exhibits, then Exhibit D shall take precedence, and then thereafter the order of precedence shall be the descending order in which the exhibits are set forth above. IN WITNESS WHEREOF, a duly authorized representative of each party has executed this Agreement as of the date(s) set forth below. Tyler Technologies, Inc. Augusta, Georgia By: By: Name: Name: Title: Title: Date: Date: Attest: __________________________________ Lena J. Bonner, Clerk of Commission 15 Address for Notices: Address for Notices: Tyler Technologies, Inc. Augusta, Georgia One Tyler Drive 735 James Brown Boulevard Yarmouth, ME 04096 Augusta, GA 30901 Attention: Chief Legal Officer Attention: Hattie Holmes-Sullivan With copies to: Tameka Allen, IT Director 535 Telfair Street, Bldg 2000 Augusta, GA 30901 General Counsel Augusta Law Department 535 Telfair Street, Bldg 3000 Augusta, GA 30901 Exhibit A 16 Exhibit A Investment Summary The following Investment Summary details the software, products, and services to be delivered by us to you under the Agreement. This Investment Summary is effective as of the Effective Date. Capitalized terms not otherwise defined will have the meaning assigned to such terms in the Agreement. Exhibit A 17 Exhibit B 18 Exhibit B Invoicing and Payment Policy We will provide you with the software and services set forth in the Investment Summary. Capitalized terms not otherwise defined will have the meaning assigned to such terms in the Agreement. Invoicing: We will invoice you for the applicable license and services fees in the Investment Summary as set forth below. Your rights to dispute any invoice are set forth in the Agreement. 1. Tyler Software. 1.1 License Fees: License fees are invoiced as follows: (a) 20% on the Effective Date; (b) 30% on the commencement of Stage 3 as described in the Statement of Work, but in no event later than March 31, 2019; and (c) 50% on the earlier of use of the Tyler Software in live production or 180 days after the later of commencement of Stage 3 as described in the Statement of Work or March 31, 2019. 1.2 Maintenance and Support Fees: Year 1 maintenance and support fees are waived through fifteen (15) months from the Effective Date. Year 2 maintenance and support fees, at our then-current rates, are payable on the anniversary of that date, and subsequent maintenance and support fees are invoiced annually in advance of each anniversary thereof. Your fees for each subsequent year will be set at our then-current rates. 2. Professional Services. 2.1 Implementation and Other Professional Services (including training): Implementation and other professional services (including training) are billed and invoiced as delivered. Professional services fees for the services within the scope defined in the Investment Summary and further defined in the Implementation Plan will not exceed a maximum as provided in Exhibit A. Additional Services will only be provided in accordance with Section C(3) of the Agreement. 2.2 Consulting Services: If you have purchased any Business Process Consulting services, if they have been quoted as fixed-fee services, they will be invoiced 50% upon delivery of the Best Practice Recommendations, by module, and 50% upon delivery of custom desktop procedures, by module. If you have purchased any Business Process Consulting services and they are quoted as an estimate, then we will bill you the actual services delivered on a time and materials basis. 2.3 Conversions: Fixed-fee conversions are invoiced 50% upon initial delivery of the converted data, by conversion option, and 50% upon Client acceptance to load the converted data into Live/Production environment, by conversion option. Where conversions are quoted as estimated, we will bill you the actual services delivered on a time and materials basis. Exhibit B 19 2.4 Requested Modifications to the Tyler Software: Requested modifications to the Tyler Software are invoiced 50% upon delivery of specifications and 50% upon delivery of the applicable modification. You must report any failure of the modification to conform to the specifications within thirty (30) days of delivery; otherwise, the modification will be deemed to be in compliance with the specifications after the 30-day window has passed. You may still report Defects to us as set forth in the Maintenance and Support Agreement. 2.5 Other Fixed Price Services: Except as otherwise provided, other fixed price services identified in the Investment Summary are invoiced upon complete delivery of the service. For the avoidance of doubt, where “Project Planning Services” are provided, payment will be due upon delivery of the Implementation Planning document. Dedicated Project Management services, if any, will be billed monthly in arrears, beginning on the first day of the month immediately following the project kick-off meeting. 2.6 Change Management Services: If you have purchased any change management services, those services will be invoiced in the following amounts and upon the following milestones: Acceptance of Change Management Discovery Analysis 15% Delivery of Change Management Plan and Strategy Presentation 10% Acceptance of Executive Playbook 15% Acceptance of Resistance Management Plan 15% Acceptance of Procedural Change Communications Plan 10% Change Management Coach Training 20% Change Management After-Action Review 15% 3. Other Services and Fees. 3.1 Disaster Recovery Services: Disaster Recovery Services are invoiced annually in advance upon our receipt of your data. Disaster Recovery services will renew automatically for additional one (1) year terms at our then-current Disaster Recovery fee, unless terminated in writing by either party at least thirty (30) days prior to the end of the then-current term. 3.2 Performance Bond: We will invoice you the fees for the performance bond, set forth in the Investment Summary, within ten (10) days of the Effective Date. 4. Third Party Products. 4.1 Third Party Software License Fees: License fees for Third Party Software, if any, are invoiced when we make it available to you for downloading. 4.2 Third Party Software Maintenance: The first year maintenance fees for the Third Party Software, if any, is invoiced when we make that Third Party Software available to you for Exhibit B 20 downloading. 4.3 Third Party Hardware: Third Party Hardware costs, if any, are invoiced upon delivery. 5. Expenses. The service rates in the Investment Summary do not include travel expenses. Expenses will be billed as incurred and only in accordance with our then-current Business Travel Policy, plus a 10% travel agency processing fee. Notwithstanding the foregoing, Tyler’s travel expenses shall not exceed Twelve Thousand Five Hundred Dollars ($12,500). In the event travel expenses will exceed said amount, Tyler shall obtain Client’s prior written consent, such consent not to be unreasonably withheld, before incurring additional travel expenses. Our current Business Travel Policy is attached to this Exhibit B at Schedule 1. Copies of receipts will be provided upon request; we reserve the right to charge you an administrative fee depending on the extent of your requests. Receipts for miscellaneous items less than twenty-five dollars and mileage logs are not available. Payment. Payment for undisputed invoices is due within forty-five (45) days of the invoice date. We prefer to receive payments electronically. Our electronic payment information is: Bank: Wells Fargo Bank, N.A. 420 Montgomery San Francisco, CA 94104 ABA: 121000248 Account: 4124302472 Beneficiary: Tyler Technologies, Inc. – Operating Exhibit B Schedule 1 21 Exhibit B Schedule 1 Business Travel Policy 1. Air Travel A. Reservations & Tickets Tyler’s Travel Management Company (TMC) will provide an employee with a direct flight within two hours before or after the requested departure time, assuming that flight does not add more than three hours to the employee’s total trip duration and the fare is within $100 (each way) of the lowest logical fare. If a net savings of $200 or more (each way) is possible through a connecting flight that is within two hours before or after the requested departure time and that does not add more than three hours to the employee’s total trip duration, the connecting flight should be accepted. Employees are encouraged to make advanced reservations to take full advantage of discount opportunities. Employees should use all reasonable efforts to make travel arrangements at least two (2) weeks in advance of commitments. A seven (7) day advance booking requirement is mandatory. When booking less than seven (7) days in advance, management approval will be required. Except in the case of international travel where a segment of continuous air travel is six (6) or more consecutive hours in length, only economy or coach class seating is reimbursable. Employees shall not be reimbursed for “Basic Economy Fares” because these fares are non- refundable and have many restrictions that outweigh the cost-savings. B. Baggage Fees Reimbursement of personal baggage charges are based on trip duration as follows: • Up to five (5) days = one (1) checked bag • Six (6) or more days = two (2) checked bags Baggage fees for sports equipment are not reimbursable. 2. Ground Transportation A. Private Automobile Mileage Allowance – Business use of an employee’s private automobile will be reimbursed Exhibit B Schedule 1 22 at the current IRS allowable rate, plus out of pocket costs for tolls and parking. Mileage will be calculated by using the employee's office as the starting and ending point, in compliance with IRS regulations. Employees who have been designated a home office should calculate miles from their home. B. Rental Car Employees are authorized to rent cars only in conjunction with air travel when cost, convenience, and the specific situation reasonably require their use. When renting a car for Tyler business, employees should select a “mid-size” or “intermediate” car. “Full” size cars may be rented when three or more employees are traveling together. Tyler carries leased vehicle coverage for business car rentals; except for employees traveling to Alaska and internationally (excluding Canada), additional insurance on the rental agreement should be declined. C. Public Transportation Taxi or airport limousine services may be considered when traveling in and around cities or to and from airports when less expensive means of transportation are unavailable or impractical. The actual fare plus a reasonable tip (15-18%) are reimbursable. In the case of a free hotel shuttle to the airport, tips are included in the per diem rates and will not be reimbursed separately. D. Parking & Tolls When parking at the airport, employees must use longer term parking areas that are measured in days as opposed to hours. Park and fly options located near some airports may also be used. For extended trips that would result in excessive parking charges, public transportation to/from the airport should be considered. Tolls will be reimbursed when receipts are presented. 3. Lodging Tyler’s TMC will select hotel chains that are well established, reasonable in price, and conveniently located in relation to the traveler's work assignment. Typical hotel chains include Courtyard, Fairfield Inn, Hampton Inn, and Holiday Inn Express. If the employee has a discount rate with a local hotel, the hotel reservation should note that discount and the employee should confirm the lower rate with the hotel upon arrival. Employee memberships in travel clubs such as AAA should be noted in their travel profiles so that the employee can take advantage of any lower club rates. “No shows” or cancellation fees are not reimbursable if the employee does not comply with the hotel’s cancellation policy. Tips for maids and other hotel staff are included in the per diem rate and are not reimbursed separately. Exhibit B Schedule 1 23 Employees are not authorized to reserve non-traditional short-term lodging, such as Airbnb, VRBO, and HomeAway. Employees who elect to make such reservations shall not be reimbursed. 4. Meals and Incidental Expenses Employee meals and incidental expenses while on travel status within the continental U.S. are in accordance with the federal per diem rates published by the General Services Administration. Incidental expenses include tips to maids, hotel staff, and shuttle drivers and other minor travel expenses. Per diem rates are available at www.gsa.gov/perdiem. Per diem for Alaska, Hawaii, U.S. protectorates and international destinations are provided separately by the Department of Defense and will be determined as required. A. Overnight Travel For each full day of travel, all three meals are reimbursable. Per diems on the first and last day of a trip are governed as set forth below. Departure Day Depart before 12:00 noon Lunch and dinner Depart after 12:00 noon Return Day Dinner Return before 12:00 noon Breakfast Return between 12:00 noon & 7:00 p.m. Breakfast and lunch Return after 7:00 p.m.* Breakfast, lunch and dinner *7:00 p.m. is defined as direct travel time and does not include time taken to stop for dinner. The reimbursement rates for individual meals are calculated as a percentage of the full day per diem as follows: Breakfast 15% Lunch 25% Dinner 60% B. Same Day Travel Employees traveling at least 100 miles to a site and returning in the same day are eligible to claim lunch on an expense report. Employees on same day travel status are eligible to claim dinner in the event they return home after 7:00 p.m.* *7:00 p.m. is defined as direct travel time and does not include time taken to stop for dinner. Exhibit B Schedule 1 24 5. Internet Access – Hotels and Airports Employees who travel may need to access their e-mail at night. Many hotels provide free high speed internet access and Tyler employees are encouraged to use such hotels whenever possible. If an employee’s hotel charges for internet access it is reimbursable up to $10.00 per day. Charges for internet access at airports are not reimbursable. 6. International Travel All international flights with the exception of flights between the U.S. and Canada should be reserved through TMC using the “lowest practical coach fare” with the exception of flights that are six (6) or more consecutive hours in length. In such event, the next available seating class above coach shall be reimbursed. When required to travel internationally for business, employees shall be reimbursed for photo fees, application fees, and execution fees when obtaining a new passport book, but fees related to passport renewals are not reimbursable. Visa application and legal fees, entry taxes and departure taxes are reimbursable. The cost of vaccinations that are either required for travel to specific countries or suggested by the U.S. Department of Health & Human Services for travel to specific countries, is reimbursable. Section 4, Meals & Incidental Expenses, and Section 2.b., Rental Car, shall apply to this section. Exhibit C 25 Exhibit C Maintenance and Support Agreement We will provide you with the following maintenance and support services for the Tyler Software. Capitalized terms not otherwise defined will have the meaning assigned to such terms in the Agreement. 1. Term. We provide maintenance and support services on an annual basis. The initial term commences on the Effective Date, and remains in effect for one (1) year. The term will renew automatically for additional one (1) year terms unless terminated in writing by either party at least thirty (30) days prior to the end of the then-current term. We will adjust the term to match your first use of the Tyler Software in live production if that event precedes the one (1) year anniversary of the Effective Date. 2. Maintenance and Support Fees. Your year 1 maintenance and support fees for the Tyler Software are listed in the Investment Summary, and your payment obligations are set forth in the Invoicing and Payment Policy. We reserve the right to suspend maintenance and support services if you fail to pay undisputed maintenance and support fees within thirty (30) days of our written notice. We will reinstate maintenance and support services only if you pay all past due maintenance and support fees, including all fees for the periods during which services were suspended. 3. Maintenance and Support Services. As long as you are not using the Help Desk as a substitute for our training services on the Tyler Software, and you timely pay your maintenance and support fees, we will, consistent with our then-current Support Call Process: 3.1 perform our maintenance and support obligations in a professional, good, and workmanlike manner, consistent with industry standards, to resolve Defects in the Tyler Software (limited to the then-current version and the immediately prior version); provided, however, that if you modify the Tyler Software without our consent, our obligation to provide maintenance and support services on and warrant the Tyler Software will be void; 3.2 provide telephone support during our established support hours; 3.3 maintain personnel that are sufficiently trained to be familiar with the Tyler Software and Third Party Software, if any, in order to provide maintenance and support services; 3.4 provide you with a copy of all major and minor releases to the Tyler Software (including updates and enhancements) that we make generally available without additional charge to customers who have a maintenance and support agreement in effect; and 3.5 provide non-Defect resolution support of prior releases of the Tyler Software in accordance with our then-current release life cycle policy. 4. Client Responsibilities. We will use all reasonable efforts to perform any maintenance and support Exhibit C 26 services remotely. Currently, we use a third-party secure unattended connectivity tool called Bomgar, as well as GotoAssist by Citrix. Therefore, you agree to maintain a high-speed internet connection capable of connecting us to your PCs and server(s). You agree to provide us with a login account and local administrative privileges as we may reasonably require to perform remote services. We will, at our option, use the secure connection to assist with proper diagnosis and resolution, subject to any reasonably applicable security protocols. If we cannot resolve a support issue remotely, we may be required to provide onsite services. In such event, we will be responsible for our travel expenses, unless it is determined that the reason onsite support was required was a reason outside our control. Either way, you agree to provide us with full and free access to the Tyler Software, working space, adequate facilities within a reasonable distance from the equipment, and use of machines, attachments, features, or other equipment reasonably necessary for us to provide the maintenance and support services, all at no charge to us. We strongly recommend that you also maintain a VPN for backup connectivity purposes. 5. Hardware and Other Systems. If you are a self-hosted customer and, in the process of diagnosing a software support issue, it is discovered that one of your peripheral systems or other software is the cause of the issue, we will notify you so that you may contact the support agency for that peripheral system. We cannot support or maintain Third Party Products except as expressly set forth in the Agreement. In order for us to provide the highest level of software support, you bear the following responsibility related to hardware and software: (a) All infrastructure executing Tyler Software shall be managed by you; (b) You will maintain support contracts for all non-Tyler software associated with Tyler Software (including operating systems and database management systems, but excluding Third-Party Software, if any); and (c) You will perform daily database backups and verify that those backups are successful. 6. Other Excluded Services. Maintenance and support fees do not include fees for the following services: (a) initial installation or implementation of the Tyler Software; (b) onsite maintenance and support (unless Tyler cannot remotely correct a Defect in the Tyler Software, as set forth above); (c) application design; (d) other consulting services; (e) maintenance and support of an operating system or hardware, unless you are a hosted customer; (f) support outside our normal business hours as listed in our then-current Support Call Process; or (g) installation, training services, or third party product costs related to a new release. Requested maintenance and support services such as those outlined in this section will be billed to you on a time and materials basis at our then current rates. You must request those services with at least one (1) weeks’ advance notice. 7. Current Support Call Process. Our current Support Call Process for the Tyler Software is attached to this Exhibit C at Schedule 1. Exhibit C Schedule 1 27 Exhibit C Schedule 1 Support Call Process Support Channels Tyler Technologies, Inc. provides the following channels of software support: (1) Tyler Community – an on-line resource, Tyler Community provides a venue for all Tyler clients with current maintenance agreements to collaborate with one another, share best practices and resources, and access documentation. (2) On-line submission (portal) – for less urgent and functionality-based questions, users may create unlimited support incidents through the customer relationship management portal available at the Tyler Technologies website. (3) Email – for less urgent situations, users may submit unlimited emails directly to the software support group. (4) Telephone – for urgent or complex questions, users receive toll-free, unlimited telephone software support. Support Resources A number of additional resources are available to provide a comprehensive and complete support experience: (1) Tyler Website – www.tylertech.com – for accessing client tools and other information including support contact information. (2) Tyler Community – available through login, Tyler Community provides a venue for clients to support one another and share best practices and resources. (3) Knowledgebase – A fully searchable depository of thousands of documents related to procedures, best practices, release information, and job aides. (4) Program Updates – where development activity is made available for client consumption Support Availability Tyler Technologies support is available during the local business hours of 8 AM to 5 PM (Monday – Friday) across four US time zones (Pacific, Mountain, Central and Eastern). Clients may receive coverage across these time zones. Tyler’s holiday schedule is outlined below. There will be no support coverage on these days. New Year’s Day Thanksgiving Day Memorial Day Day after Thanksgiving Independence Day Christmas Day Labor Day Exhibit C Schedule 1 28 Issue Handling Incident Tracking Every support incident is logged into Tyler’s Customer Relationship Management System and given a unique incident number. This system tracks the history of each incident. The incident tracking number is used to track and reference open issues when clients contact support. Clients may track incidents, using the incident number, through the portal at Tyler’s website or by calling software support directly. Incident Priority Each incident is assigned a priority number, which corresponds to the client’s needs and deadlines. The client is responsible for reasonably setting the priority of the incident per the chart below. This chart is not intended to address every type of support incident, and certain “characteristics” may or may not apply depending on whether the Tyler software has been deployed on customer infrastructure or the Tyler cloud. The goal is to help guide the client towards clearly understanding and communicating the importance of the issue and to describe generally expected responses and resolutions. Priority Level Characteristics of Support Incident Resolution Targets 1 Critical Support incident that causes (a) complete application failure or application unavailability; (b) application failure or unavailability in one or more of the client’s remote location; or (c) systemic loss of multiple essential system functions. Tyler shall provide an initial response to Priority Level 1 incidents within one (1) business hour of receipt of the support incident. Tyler shall use commercially reasonable efforts to resolve such support incidents or provide a circumvention procedure within one (1) business day. For non- hosted customers, Tyler’s responsibility for lost or corrupted data is limited to assisting the client in restoring its last available database. 2 High Support incident that causes (a) repeated, consistent failure of essential functionality affecting more than one user or (b) loss or corruption of data. Tyler shall provide an initial response to Priority Level 2 incidents within four (4) business hours of receipt of the support incident. Tyler shall use commercially reasonable efforts to resolve such support incidents or provide a circumvention procedure within ten (10) business days. For non- hosted customers, Tyler’s responsibility for loss or corrupted data is limited to assisting the client in restoring its last available database. Exhibit C Schedule 1 29 Priority Level Characteristics of Support Incident Resolution Targets 3 Medium Priority Level 1 incident with an existing circumvention procedure, or a Priority Level 2 incident that affects only one user or for which there is an existing circumvention procedure. Tyler shall provide an initial response to Priority Level 3 incidents within one (1) business day of receipt of the support incident. Tyler shall use commercially reasonable efforts to resolve such support incidents without the need for a circumvention procedure with the next published maintenance update or service pack. For non- hosted customers, Tyler’s responsibility for lost or corrupted data is limited to assisting the client in restoring its last available database. 4 Non- critical Support incident that causes failure of non-essential functionality or a cosmetic or other issue that does not qualify as any other Priority Level. Tyler shall provide an initial response to Priority Level 4 incidents within two (2) business days. Tyler shall use commercially reasonable efforts to resolve such support incidents, as well as cosmetic issues, with a future version release. Incident Escalation Tyler Technology’s software support consists of four levels of personnel: (1) Level 1: front-line representatives (2) Level 2: more senior in their support role, they assist front-line representatives and take on escalated issues (3) Level 3: assist in incident escalations and specialized client issues (4) Level 4: responsible for the management of support teams for either a single product or a product group If a client feels they are not receiving the service needed, they may contact the appropriate Software Support Manager. After receiving the incident tracking number, the manager will follow up on the open issue and determine the necessary action to meet the client’s needs. On occasion, the priority or immediacy of a software support incident may change after initiation. Tyler encourages clients to communicate the level of urgency or priority of software support issues so that we can respond appropriately. A software support incident can be escalated by any of the following methods: (1) Telephone – for immediate response, call toll-free to either escalate an incident’s priority or to escalate an issue through management channels as described above. (2) Email – clients can send an email to software support in order to escalate the priority of an issue (3) On-line Support Incident Portal – clients can also escalate the priority of an issue by logging into the client incident portal and referencing the appropriate incident tracking number. Remote Support Tool Some support calls require further analysis of the client’s database, process or setup to diagnose a problem or to assist with a question. Tyler will, at its discretion, use an industry-standard remote support tool. Support is able to quickly connect to the client’s desktop and view the site’s setup, diagnose problems, or assist with screen navigation. More information about the remote support tool Tyler uses is available upon request. Exhibit D 30 Exhibit D Statement of Work Statement of WorkStatement of WorkStatement of WorkStatement of Work Enterprise Group, Tyler TechnologiesEnterprise Group, Tyler TechnologiesEnterprise Group, Tyler TechnologiesEnterprise Group, Tyler Technologies Prepared for:Prepared for:Prepared for:Prepared for: AugustaAugustaAugustaAugusta----Richmond County GeorgiaRichmond County GeorgiaRichmond County GeorgiaRichmond County Georgia Hattie Holmes-Sullivan 735 James Brown Blvd., Augusta, GA 30901 Prepared by:Prepared by:Prepared by:Prepared by: TimTimTimTim UptonUptonUptonUpton 5519 53rd Street, Lubbock, TX 79414 Tyler Technologies, Inc. www.tylertech.com Exhibit D 31 Table of ContentsTable of ContentsTable of ContentsTable of Contents 1 EXECUTIVE SUMMARY .............................................................................................................. 34 1.1 PROJECT OVERVIEW .................................................................................................................................... 34 1.2 PRODUCT SUMMARY ................................................................................................................................... 34 1.3 PROJECT TIMELINE ...................................................................................................................................... 34 1.4 PROJECT METHODOLOGY OVERVIEW .............................................................................................................. 34 2 PROJECT GOVERNANCE ............................................................................................................. 35 2.1 CLIENT GOVERNANCE................................................................................................................................... 35 2.1.1 Client Project Manager .................................................................................................................... 35 2.1.2 Steering Committee ......................................................................................................................... 35 2.1.3 Executive Sponsor(s) ........................................................................................................................ 36 2.2 TYLER GOVERNANCE .................................................................................................................................... 36 2.2.1 Tyler Project Manager ..................................................................................................................... 36 2.2.2 Tyler Implementation Management ............................................................................................... 36 2.2.3 Tyler Executive Management .......................................................................................................... 36 2.3 ACCEPTANCE AND ACKNOWLEDGMENT PROCESS .............................................................................................. 36 3 OVERALL PROJECT ASSUMPTIONS ............................................................................................. 38 3.1 PROJECT, RESOURCES AND SCHEDULING ......................................................................................................... 38 3.2 DATA CONVERSION ..................................................................................................................................... 38 3.3 DATA EXCHANGES, MODIFICATIONS, FORMS AND REPORTS ............................................................................... 39 3.4 HARDWARE AND SOFTWARE ......................................................................................................................... 39 3.5 EDUCATION ................................................................................................................................................ 39 4 IMPLEMENTATION STAGES ........................................................................................................ 41 4.1 WORK BREAKDOWN STRUCTURE (WBS) ........................................................................................................ 41 4.2 INITIATE & PLAN (STAGE 1) .......................................................................................................................... 43 4.2.1 Tyler Internal Coordination & Planning ........................................................................................... 43 4.2.2 System Infrastructure Planning ....................................................................................................... 44 4.2.3 Project/Phase Planning ................................................................................................................... 45 4.2.4 Project Schedule .............................................................................................................................. 46 4.2.5 Stakeholder Presentation ................................................................................................................ 47 4.2.6 Control Point 1: Initiate & Plan Stage Acceptance .......................................................................... 48 4.3 ASSESS & DEFINE (STAGE 2) ......................................................................................................................... 49 4.3.1 Fundamentals Review...................................................................................................................... 49 4.3.2 Current/Future State Analysis ......................................................................................................... 50 4.3.3 Data Conversion Planning & Mapping ............................................................................................ 51 4.3.4 Standard 3rd Party Data Exchange Planning .................................................................................. 52 Exhibit D 32 4.3.5 Customization Analysis & Specification, if contracted .................................................................... 53 4.3.6 Forms & Reports Planning ............................................................................................................... 54 4.3.7 System Deployment ......................................................................................................................... 55 4.3.8 Control Point 2: Assess & Define Stage Acceptance ........................................................................ 56 4.4 BUILD & VALIDATE (STAGE 3) ....................................................................................................................... 58 4.4.1 Configuration & Power User Training ............................................................................................. 58 4.4.2 Data Conversion & Validation ......................................................................................................... 59 4.4.3 Standard 3rd Party Data Exchange Validation ................................................................................ 60 4.4.4 Customization Delivery & Validation, if contracted ........................................................................ 61 4.4.5 Forms & Reports Validation ............................................................................................................. 62 4.4.6 Control Point 3: Build & Validate Stage Acceptance ....................................................................... 63 4.5 FINAL TESTING & TRAINING (STAGE 4) ........................................................................................................... 64 4.5.1 Cutover Planning ............................................................................................................................. 64 4.5.2 User Acceptance Testing (UAT) ....................................................................................................... 65 4.5.3 End User Training ............................................................................................................................ 66 4.5.4 Control Point 4: Final Testing & Training Stage Acceptance ........................................................... 67 4.6 PRODUCTION CUTOVER (STAGE 5) ................................................................................................................. 68 4.6.1 Final Data Conversion, if applicable ................................................................................................ 68 4.6.2 Production Processing & Assistance ................................................................................................ 69 4.6.3 Transition to Tyler Support .............................................................................................................. 70 4.6.4 Schedule Post-Production Services, if applicable ............................................................................. 71 4.6.5 Control Point 5: Production Cutover Stage Acceptance .................................................................. 72 4.7 PHASE/PROJECT CLOSURE (STAGE 6) ............................................................................................................. 73 4.7.1 Close Phase/Project ......................................................................................................................... 73 4.7.2 Control Point 6: Phase/Project Closure Stage Acceptance .............................................................. 74 5 ROLES AND RESPONSIBILITIES ................................................................................................... 75 5.1 TYLER ROLES AND RESPONSIBILITIES ............................................................................................................... 75 5.1.1 Tyler Executive Management .......................................................................................................... 75 5.1.2 Tyler Implementation Management ............................................................................................... 75 5.1.3 Tyler Project Manager ..................................................................................................................... 75 5.1.4 Tyler Implementation Consultant .................................................................................................... 76 5.1.5 Tyler Sales ........................................................................................................................................ 77 5.1.6 Tyler Software Support .................................................................................................................... 77 5.1.7 ............................................................................................................................................................... 77 5.2 AUGUSTA-RICHMOND COUNTY ROLES AND RESPONSIBILITIES ............................................................................ 77 5.2.1 Augusta-Richmond County Executive Sponsor ................................................................................ 77 5.2.2 Augusta-Richmond County Steering Committee ............................................................................. 77 5.2.3 Augusta-Richmond County Project Manager .................................................................................. 78 5.2.4 Augusta-Richmond County Functional Leads .................................................................................. 79 5.2.5 Augusta-Richmond County Power Users ......................................................................................... 80 5.2.6 Augusta-Richmond County End Users ............................................................................................. 80 Exhibit D 33 5.2.7 Augusta-Richmond County Technical Support ................................................................................ 80 5.2.8 Augusta-Richmond County Upgrade Coordinator ........................................................................... 81 5.2.9 Augusta-Richmond County Project Toolset Coordinator ................................................................. 81 5.2.10 Augusta-Richmond County Change Management Lead ................................................................. 81 6 CUSTOM INTEGRATIONS/ENHANCEMENTS ................................................................................ 82 6.1 PROPOSED CUSTOM INTEGRATIONS/ENHANCEMENTS FOR AUGUSTA-RICHMOND COUNTY ..................................... 82 6.1.1 FiFa Integration ............................................................................................................................... 82 6.1.2 Rekey Verification Enhancements ................................................................................................... 84 6.1.3 Email Copy Enhancement ................................................................................................................ 85 7 GLOSSARY ................................................................................................................................. 87 8 EAGLE RECORDER CONVERSION SUMMARY ............................................................................... 90 8.1 EAGLE RECORDER – STANDARD ..................................................................................................................... 90 Exhibit D 34 1111 Executive SummaryExecutive SummaryExecutive SummaryExecutive Summary 1.11.11.11.1 Project OverviewProject OverviewProject OverviewProject Overview The Statement of Work (SOW) documents the Project Scope, methodology, roles and responsibilities, implementation stages, and deliverables for the implementation of Tyler products. The Project goals are to offer Augusta-Richmond County Georgia the opportunity to make Augusta-Richmond County more accessible and responsive to external and internal customer needs and more efficient in its operations through: · Streamlining, automating, and integrating business processes and practices · Providing tools to produce and access information in a real-time environment · Enabling and empowering users to become more efficient, productive and responsive · Successfully overcoming current challenges and meeting future goals 1.21.21.21.2 Product SummaryProduct SummaryProduct SummaryProduct Summary Below, is a summary of the products included in this Project, as well as reference to the Augusta-Richmond County’s functional area utilizing the Tyler product(s). Refer to the Implementation Stages section of this SOW for information containing detailed service components. [PRODUCT] [APPLICATION] Eagle Recorder 1.31.31.31.3 ProjectProjectProjectProject Timeline Timeline Timeline Timeline The Project Timeline establishes a start and end date for each Stage of the Project. Developed during the Initiate & Plan Stage and revised as mutually agreed to, if needed, the timeline accounts for resource availability, business goals, size and complexity of the Project, and task duration requirements. 1.41.41.41.4 ProjectProjectProjectProject Methodology Overview Methodology Overview Methodology Overview Methodology Overview Tyler bases its implementation methodology on the Project Management Institute’s (PMI) Process Groups (Initiating, Planning, Executing, Monitoring & Controlling, and Closing). Using this model, Tyler developed a 6- stage process specifically designed to focus on critical project success measurement factors. Tailored specifically for Tyler’s Public Sector clients, the project methodology contains Stage Acceptance Control Points throughout each Phase to ensure adherence to scope, budget, timeline controls, effective communications, and quality standards. Clearly defined, the project methodology repeats consistently across Phases, and is scaled to meet Augusta-Richmond County’s complexity, and organizational needs. Exhibit D 35 2222 ProjectProjectProjectProject GovernanceGovernanceGovernanceGovernance The purpose of this section is to define the resources required to adequately establish the business needs, objectives, and priorities for the Project; communicate the goals to other project participants; and provide support and guidance to accomplish these goals. Project governance also defines the structure for issue escalation and resolution, Change Control review and authority, and organizational Change Management activities. The preliminary governance structure establishes a clear escalation path when issues and risks require escalation above the Project Manager level. Further refinement of the governance structure, related processes, and specific roles and responsibilities occurs during the Initiate & Plan Stage. The path below illustrates an overall team perspective where Tyler and Augusta-Richmond County collaborate to resolve project challenges according to defined escalation paths. In the event Project Managers do not possess authority to determine a solution, resolve an issue, or mitigate a risk, Tyler implementation management and the Augusta-Richmond County steering committee become the escalation points to triage responses prior to escalation to the Augusta-Richmond County and Tyler executive sponsors. As part of the escalation process, each project governance tier presents recommendations and supporting information to facilitate knowledge transfer and issue resolution. Augusta-Richmond County and Tyler executive sponsors serve as the final escalation point. 2.12.12.12.1 Client GovernanceClient GovernanceClient GovernanceClient Governance Depending on Augusta-Richmond County’s organizational structure and size, the following governance roles may be filled by one or more people: 2.1.12.1.12.1.12.1.1 Client Client Client Client ProjectProjectProjectProject ManagerManagerManagerManager The Augusta-Richmond County’s Project Manager(s) coordinate project team members, subject matter experts, and the overall implementation schedule and serves as the primary point of contact with Tyler. The Augusta- Richmond County Project Manager(s) will be responsible for reporting to the Augusta-Richmond County steering committee and determining appropriate escalation points. 2.1.22.1.22.1.22.1.2 Steering Committee Steering Committee Steering Committee Steering Committee The Augusta-Richmond County steering committee understands and supports the cultural change necessary for the Project and fosters an appreciation of the Project’s value throughout the organization. Oversees the Augusta-Richmond County Project Manager(s) and the Project as a whole and through participation in regular internal meetings, the Augusta-Richmond County steering committee remains updated on all project progress, project decisions, and achievement of project milestones. The Augusta-Richmond County steering committee also provides support to the Augusta-Richmond County Project Manager(s) by communicating the importance of the Project to all impacted departments. The Augusta-Richmond County steering committee is responsible for ensuring the Project has appropriate resources, provides strategic direction to the project team, for making timely decisions on critical project issues or policy decisions. The Augusta-Richmond County steering committee also serves as primary level of issue resolution for the Project. Exhibit D 36 2.1.32.1.32.1.32.1.3 Executive Sponsor(s)Executive Sponsor(s)Executive Sponsor(s)Executive Sponsor(s) The Augusta-Richmond County’s executive sponsor provides support to the Project by allocating resources, providing strategic direction, and communicating key issues about the Project and the Project’s overall importance to the organization. When called upon, the executive sponsor also acts as the final authority on all escalated project issues. The executive sponsor engages in the Project, as needed, in order to provide necessary support, oversight, guidance, and escalation, but does not participate in day-to-day project activities. The executive sponsor empowers the Augusta-Richmond County steering committee, Project Manager(s), and Functional Leads to make critical business decisions for Augusta-Richmond County. 2.22.22.22.2 Tyler GovernanceTyler GovernanceTyler GovernanceTyler Governance 2.2.12.2.12.2.12.2.1 Tyler Tyler Tyler Tyler ProjectProjectProjectProject ManagerManagerManagerManager The Tyler Project Manager(s) have direct involvement with the Project and coordinates Tyler project team members, subject matter experts, the overall implementation schedule, and serves as the primary point of contact with Augusta-Richmond County. As requested by Augusta-Richmond County, the Tyler Project Manager(s) provide regular updates to the Augusta-Richmond County’s steering committee and other Tyler governance members. 2.2.22.2.22.2.22.2.2 Tyler Implementation Tyler Implementation Tyler Implementation Tyler Implementation ManagementManagementManagementManagement Tyler implementation management has indirect involvement with the Project and is part of the Tyler escalation process. Tyler Project Manager(s) consult implementation management on issues and outstanding decisions critical to the Project. Implementation management works toward a solution with the Tyler Project Manager(s) or with Augusta-Richmond County management, as appropriate. Tyler executive management is the escalation point for any issues not resolved at this level. The name(s) and contact information for this resource will be provided and available to the project team. 2.2.32.2.32.2.32.2.3 Tyler Executive ManagementTyler Executive ManagementTyler Executive ManagementTyler Executive Management Tyler executive management has indirect involvement with the Project and is part of the Tyler escalation process. This team member offers additional support to the project team and collaborates with other Tyler department managers, as needed, in order to escalate and facilitate implementation project tasks and decisions. The name(s) and contact information for this resource will be provided and available to the project team. 2.32.32.32.3 Acceptance Acceptance Acceptance Acceptance and Acknowledgment and Acknowledgment and Acknowledgment and Acknowledgment ProcessProcessProcessProcess All Deliverables and Control Points must be accepted or acknowledged following the process below. Acceptance requires a formal sign-off while acknowledgement may be provided without formal sign-off at the time of delivery. The following process will be used for accepting or acknowledging Deliverables and Control Points: · Augusta-Richmond County shall have five (5) business days from the date of delivery, or as otherwise mutually agreed upon by the parties in writing, to accept or acknowledge each Deliverable or Control Point. If Augusta-Richmond County does not provide acceptance or acknowledgement within five (5) Exhibit D 37 business days, or the otherwise agreed upon timeframe, not to be unreasonably withheld, Tyler deems the Deliverable or Control Point as accepted. · If Augusta-Richmond County does not agree the particular Deliverable or Control Point meets requirements, Augusta-Richmond County shall notify Tyler Project Manager(s), in writing, with reasoning within five (5) business days, or the otherwise agreed-upon timeframe, not to be unreasonably withheld, of receipt of the Deliverable. · Tyler shall address any deficiencies and redeliver the Deliverable or Control Point. Augusta-Richmond County shall then have two (2) business days from receipt of the redelivered Deliverable or Control Point to accept or again submit written notification of reasons for rejecting the milestone. If Augusta- Richmond County does not provide acceptance or acknowledgement within two (2) business days, or the otherwise agreed upon timeframe, not to be unreasonably withheld, Tyler deems the Deliverable or Control Point as accepted. Exhibit D 38 3333 Overall Overall Overall Overall ProjectProjectProjectProject AAAAssumptionsssumptionsssumptionsssumptions 3.13.13.13.1 ProjectProjectProjectProject, Resources and Scheduling, Resources and Scheduling, Resources and Scheduling, Resources and Scheduling · Project activities will begin, as mutually agreed to, after the Agreement has been fully executed. · Augusta-Richmond County and Tyler can allocate additional internal resources if needed. Augusta- Richmond County also ensures the alignment of their budget and Scope expectations. · Augusta-Richmond County and Tyler ensure that the assigned resources are available, they buy-into the change process, and they possess the required business knowledge to complete their assigned tasks successfully. Should there be a change in resources, the replacement resource should have a comparable level of availability, buy-in, and knowledge. · Tyler and Augusta-Richmond County provide adequate resources to support the efforts to complete the Project as scheduled and within the constraints of the project budget. · Abbreviated timelines and overlapped Phases can result in project delays if there are not sufficient resources assigned to complete all required work as scheduled. · Changes to Project Plan, availability of resources or changes in Scope may result in schedule delays, which may result in additional charges to the Project. · Tyler provides a written agenda and notice of any prerequisites to the Augusta-Richmond County Project Manager(s) ten (10) business days prior to any scheduled on site or remote sessions. · Tyler provides notice of any prerequisites to the Augusta-Richmond County Project Manager(s) a minimum of ten (10) business days prior to any key deliverable due dates. · Augusta-Richmond County users complete prerequisites prior to applicable scheduled activities. · Tyler provides guidance for configuration and processing options available within the Tyler software. Augusta-Richmond County is responsible for making decisions based on the options available. · In the event Augusta-Richmond County may elect to add and/or modify current business policies during the course of this Project, such policy changes are solely Augusta-Richmond County’s responsibility to define, document, and implement. · Augusta-Richmond County makes timely Project related decisions in order to achieve scheduled due dates on tasks and prepare for subsequent training sessions. Decisions left unmade may affect the schedule, as each analysis and implementation session builds on the decisions made in prior sessions. · Tyler considers additional services out of Scope and requires additional time and costs be requested via Change Request approved through the Change Control process. · Augusta-Richmond County will respond to information requests in a comprehensive and timely manner, in accordance with the Project Plan. 3.23.23.23.2 Data ConversionData ConversionData ConversionData Conversion · Augusta-Richmond County is readily able to produce the needed data files from a static database for conversion from the Legacy System to provide them to Tyler on the specified due date(s). At the time the Legacy System data file is extracted, Augusta-Richmond County will produce reports and detail screen captures to reconcile the converted data. · Each Legacy System data file submitted for conversion includes all associated records in a single approved file layout. · Augusta-Richmond County will grant Tyler access to the Legacy System to assist with understanding data relationships to improve the accuracy and quality of the converted data. Exhibit D 39 · Augusta-Richmond County understands the Legacy System data file must be in the same format each time unless changes are mutually agreed upon in advance. If not, negative impacts to the schedule, budget, and resource availability may occur and/or data in the new system may be incorrect. · During this process, Augusta-Richmond County may need to correct data scenarios in their Legacy System prior to the final data pull. This is a complex activity and requires due diligence by Augusta- Richmond County to ensure all data pulled includes all required data and the Tyler system contains properly mapped data. · During Production Cutover, Augusta-Richmond County may need to manually add or correct data after data has been loaded into the production database as mutually agreed to prior to the load. 3.33.33.33.3 Data Exchanges, Data Exchanges, Data Exchanges, Data Exchanges, ModificationsModificationsModificationsModifications, Forms and Reports, Forms and Reports, Forms and Reports, Forms and Reports · Augusta-Richmond County ensures the 3rd party data received conforms to a Tyler standard format. · The 3rd party possesses the knowledge of how to program their portion of the interaction and understands how to manipulate the data received. · Client is on a supported, compatible version of the 3rd party software or Tyler Standard Data Exchange tools may not be available. · Augusta-Richmond County is willing to make reasonable business process changes rather than expecting the product to conform to every aspect of their current system/process. · Any Modification requests not expressly stated in the contract are out of Scope. Modifications requested after contract signing have the potential to change cost, Scope, schedule, and production dates for project Phases. Modification requests not in Scope must follow the Project Change Control process. · Augusta-Richmond County is responsible for verifying the performance of the Modification as defined by the specification 3.43.43.43.4 Hardware and SoftwareHardware and SoftwareHardware and SoftwareHardware and Software · Tyler will initially install the most current generally available version of the purchased Tyler software. · Augusta-Richmond County will provide network access for Tyler modules, printers, and Internet access to all applicable Augusta-Richmond County and Tyler project staff. · Augusta-Richmond County has in place all hardware, software, and technical infrastructure necessary to support the Project as set forth in Exhibit C-1 Schedule 1, Eagle Solution System Requirements. · Augusta-Richmond County’s system hardware and software meet Tyler standards to ensure sufficient speed and operability of Tyler software. Tyler will not support use of software if Augusta-Richmond County does not meet minimum standards of Tyler’s published specifications. Tyler’s current published specifications are set forth in Exhibit C-1 Schedule 1. Any changes to Exhibit C-1 Schedule 1 during the Project shall be made pursuant to Section I(11) of the Agreement. 3.53.53.53.5 EdEdEdEducationucationucationucation · Throughout the Project lifecycle, Augusta-Richmond County provides a training room for Tyler staff to transfer knowledge to the Augusta-Richmond County’s resources, for both onsite and remote sessions. Augusta-Richmond County will provide staff with a location to practice what they have learned without distraction. If Phases overlap, Augusta-Richmond County will provide multiple training facilities to allow for independent sessions scheduling without conflict. Exhibit D 40 · The training room is set up in a classroom setting. Augusta-Richmond County determines the number of workstations in the room. Tyler recommends every person attending a scheduled session with a Tyler Consultant or Trainer have their own workstation. However, Tyler requires there be no more than two (2) people at a given workstation. · Augusta-Richmond County provides a workstation which connects to the Tyler system for the Tyler trainer conducting the session. The computer connects to an Augusta-Richmond County provided projector, allowing all attendees the ability to actively engage in the training session. · Tyler is responsible for providing formal training on all functional areas of the software to the Augusta- Richmond County’s designated Power Users. Augusta-Richmond County will designate up to fifteen (15) Power Users for any specific class. The Power Users will vary based on agenda topics and area of the assessment office that the class pertains to. Power Users will then be empowered with the knowledge to conduct training to Augusta-Richmond County End Users. In addition, informal education will occur leading up to the formal training sessions. Every time Tyler resources work with Augusta-Richmond County staff to demonstrate a specific function/feature/executable with Augusta-Richmond County is an opportunity to better understand and appreciate the Tyler solution. · Tyler will conduct one (1) formal training session for each of the functional areas of the software. The functional areas covered will allow Augusta-Richmond County to utilize the software. Augusta- Richmond County is responsible for assigning the appropriate Power Users to attend these sessions. · Tyler follows a train-the-trainer approach to allow Augusta-Richmond County Power Users attending the sessions to disseminate the knowledge being learned during Tyler lead sessions to other Augusta- Richmond County users. · Users performing User Acceptance Testing (UAT) have attended all applicable training sessions prior to performing UAT. Exhibit D 41 4444 ImplementationImplementationImplementationImplementation StagesStagesStagesStages 4.14.14.14.1 Work BreakdownWork BreakdownWork BreakdownWork Breakdown Structure (WBS)Structure (WBS)Structure (WBS)Structure (WBS) The Work Breakdown Structure (WBS) is a hierarchical representation of a Project or Stage broken down into smaller, more manageable components. The top level components are called “Stages” and the second level components are called “work packages.” The work packages, shown below each Stage, contain the high-level work to be done. The detailed Project Plan, developed during Initiate & Plan and finalized during Assess & Define, will list the tasks to be completed within each work package. Each Stage ends with a “Control Point”, confirming the work performed during that Stage of the Project. Exhibit D 42 Exhibit D 43 4.24.24.24.2 Initiate & Plan (Stage 1)Initiate & Plan (Stage 1)Initiate & Plan (Stage 1)Initiate & Plan (Stage 1) The Initiate & Plan Stage creates a foundation for the Project through identification of Augusta-Richmond County and Tyler Project management teams, development of implementation management plans, and the provision and discussion of system infrastructure requirements. Augusta-Richmond County participation in gathering information is critical. Tyler Project management teams present initial plans to stakeholder teams at Stage end. 4.2.14.2.14.2.14.2.1 Tyler Internal Coordination & PlanningTyler Internal Coordination & PlanningTyler Internal Coordination & PlanningTyler Internal Coordination & Planning Prior to Project commencement, Tyler management staff assigns Project Manager(s). Tyler provides the Augusta-Richmond County with initial Project documents used in gathering basic information, which aids in preliminary planning and scheduling. Augusta-Richmond County participation in gathering requested information by provided deadlines ensures the Project moves forward in a timely fashion. Internally, the Tyler Project Manager(s) coordinate with Sales to ensure transfer of vital information from the sales process prior to scheduling a Project Planning Meeting with the Augusta-Richmond County’s team. During this step, Tyler will work with the Client to establish the date(s) for the Project/Phase Planning session. RACI MATRIX KEY: RRRR = Responsible AAAA = Accountable CCCC = Consulted IIII = Informed STAGE 1STAGE 1STAGE 1STAGE 1 Tyler Internal Coordination & PlanningTyler Internal Coordination & PlanningTyler Internal Coordination & PlanningTyler Internal Coordination & Planning TYLER CLIENT TASKS Ty l e r E x e c u t i v e M a n a g e r Ty l e r I m p l e m e n t a t i o n M a n a g e r Ty l e r P r o j e c t M a n a g e r Ty l e r I m p l e m e n t a t i o n C o n s u l t a n t Ty l e r D a t a C o n v e r s i o n E x p e r t s Ty l e r F o r m s & R e p o r t s E x p e r t s Ty l e r C u s t o m i z a t i o n P r o g r a m m e r s Ty l e r T e c h n i c a l S u p p o r t Ty l e r S a l e s Cl i e n t E x e c u t i v e S p o n s o r Cl i e n t S t e e r i n g C o m m i t t e e Cl i e n t P r o j e c t M a n a g e r Cl i e n t F u n c t i o n a l L e a d s Cl i e n t C h a n g e M a n a g e m e n t L e a d s Cl i e n t P o w e r U s e r s Cl i e n t D e p a r t m e n t H e a d s Cl i e n t E n d U s e r s Cl i e n t T e c h n i c a l L e a d s Cl i e n t P r o j e c t T o o l s e t C o o r d i n a t o r Cl i e n t Up g r a d e C o o r d i n a t o r Assign Tyler Project Manager A R I I I Provide initial Project documents to Client A I R C I Sales to Implementation knowledge transfer A I R C Internal planning and phase coordination A R C Exhibit D 44 4.2.24.2.24.2.24.2.2 System Infrastructure PlanningSystem Infrastructure PlanningSystem Infrastructure PlanningSystem Infrastructure Planning Augusta-Richmond County provides, purchases or acquires hardware according to hardware specifications provided by Tyler and ensures it is available at Augusta-Richmond County’s site. Exhibit C-1 Schedule 1 sets forth Tyler’s current published specifications as of the Effective Date. Augusta-Richmond County completes the system infrastructure audit, ensuring vital system infrastructure information is available to the Tyler implementation team, and verifies all hardware compatibility with Tyler solutions. RACI MATRIX KEY: RRRR = Responsible AAAA = Accountable CCCC = Consulted IIII = Informed STAGE 1STAGE 1STAGE 1STAGE 1 Tyler Internal Coordination & PlanningTyler Internal Coordination & PlanningTyler Internal Coordination & PlanningTyler Internal Coordination & Planning TYLER CLIENT TASKS Ty l e r E x e c u t i v e M a n a g e r Ty l e r Im p l e m e n t a t i o n M a n a g e r Ty l e r P r o j e c t M a n a g e r Ty l e r I m p l e m e n t a t i o n C o n s u l t a n t Ty l e r D a t a C o n v e r s i o n E x p e r t s Ty l e r F o r m s & R e p o r t s E x p e r t s Ty l e r C u s t o m i z a t i o n P r o g r a m m e r s Ty l e r T e c h n i c a l S u p p o r t Ty l e r S a l e s Cl i e n t E x e c u t i v e S p o n s o r Cl i e n t S t e e r i n g C o m m i t t e e Cl i e n t P r o j e c t M a n a g e r Cl i e n t F u n c t i o n a l L e a d s Cl i e n t C h a n g e M a n a g e m e n t L e a d s Cl i e n t P o w e r U s e r s Cl i e n t D e p a r t m e n t H e a d s Cl i e n t E n d U s e r s Cl i e n t T e c h n i c a l L e a d s Cl i e n t P r o j e c t T o o l s e t C o o r d i n a t o r Cl i e n t U p g r a d e C o o r d i n a t o r Provide system hardware specifications I R A I C Make hardware available for Installation I C A R Install system hardware, if applicable I C A R Complete system infrastructure audit I C A R Exhibit D 45 4.2.34.2.34.2.34.2.3 Project/Phase PlanningProject/Phase PlanningProject/Phase PlanningProject/Phase Planning Project and Phase planning provides an opportunity to review the contract, software, data conversions and services purchased, identify Applications to implement in each Phase (if applicable), and discuss implementation timeframes. The Tyler Project Manager(s) deliver an Implementation Management Plan, which is mutually agreeable by Augusta-Richmond County and Tyler. RACI MATRIX KEY: RRRR = Responsible AAAA = Accountable CCCC = Consulted IIII = Informed STSTSTSTAGE 1AGE 1AGE 1AGE 1 Tyler Internal Coordination & PlanningTyler Internal Coordination & PlanningTyler Internal Coordination & PlanningTyler Internal Coordination & Planning TYLER CLIENT TASKS Ty l e r E x e c u t i v e M a n a g e r Ty l e r I m p l e m e n t a t i o n M a n a g e r Ty l e r P r o j e c t M a n a g e r Ty l e r I m p l e m e n t a t i o n C o n s u l t a n t Ty l e r D a t a C o n v e r s i o n E x p e r t s Ty l e r F o r m s & R e p o r t s E x p e r t s Ty l e r C u s t o m i z a t i o n Pr o g r a m m e r s Ty l e r T e c h n i c a l S u p p o r t Ty l e r S a l e s Cl i e n t E x e c u t i v e S p o n s o r Cl i e n t S t e e r i n g C o m m i t t e e Cl i e n t P r o j e c t M a n a g e r Cl i e n t F u n c t i o n a l L e a d s Cl i e n t C h a n g e M a n a g e m e n t L e a d s Cl i e n t P o w e r U s e r s Cl i e n t D e p a r t m e n t H e a d s Cl i e n t E n d U s e r s Cl i e n t T e c h n i c a l Le a d s Cl i e n t P r o j e c t T o o l s e t C o o r d i n a t o r Cl i e n t U p g r a d e C o o r d i n a t o r Perform Project/Phase Planning A R I C C I Deliver implementation management plan A R C C I Exhibit D 46 4.2.44.2.44.2.44.2.4 Project ScheduleProject ScheduleProject ScheduleProject Schedule Client and Tyler will mutually develop an initial Project schedule. The initial schedule includes, at minimum, enough detail to begin Project activities while the detailed Project Plan/schedule is being developed and refined. RACI MATRIX KEY: RRRR = Responsible AAAA = Accountable CCCC = Consulted IIII = Informed STAGE 1STAGE 1STAGE 1STAGE 1 Tyler Internal Coordination & PlanningTyler Internal Coordination & PlanningTyler Internal Coordination & PlanningTyler Internal Coordination & Planning TYLER CLIENT TASKS Ty l e r E x e c u t i v e M a n a g e r Ty l e r I m p l e m e n t a t i o n M a n a g e r Ty l e r P r o j e c t M a n a g e r Ty l e r I m p l e m e n t a t i o n C o n s u l t a n t Ty l e r D a t a C o n v e r s i o n E x p e r t s Ty l e r F o r m s & R e p o r t s E x p e r t s Ty l e r C u s t o m i z a t i o n P r o g r a m m e r s Ty l e r T e c h n i c a l S u p p o r t Ty l e r S a l e s Cl i e n t E x e c u t i v e S p o n s o r Cl i e n t S t e e r i n g C o m m i t t e e Cl i e n t P r o j e c t M a n a g e r Cl i e n t F u n c t i o n a l L e a d s Cl i e n t C h a n g e M a n a g e m e n t L e a d s Cl i e n t P o w e r U s e r s Cl i e n t De p a r t m e n t H e a d s Cl i e n t E n d U s e r s Cl i e n t T e c h n i c a l L e a d s Cl i e n t P r o j e c t T o o l s e t C o o r d i n a t o r Cl i e n t U p g r a d e C o o r d i n a t o r Develop initial Project schedule A R I C I I Deliver Project Plan and schedule for Project Phase A R I I I C C I I I Client reviews Project Plan & initial schedule C I A R C C C Client approves Project Plan & initial schedule I I A R C C I I I I I Exhibit D 47 4.2.54.2.54.2.54.2.5 Stakeholder PresentationStakeholder PresentationStakeholder PresentationStakeholder Presentation Augusta-Richmond County stakeholders join Tyler Project Management to communicate successful Project criteria, Project goals, Deliverables, a high-level milestone schedule, and roles and responsibilities of Project participants. RACI MATRIX KEY: RRRR = Responsible AAAA = Accountable CCCC = Consulted IIII = Informed STAGE 1STAGE 1STAGE 1STAGE 1 Tyler Internal Coordination & PlanningTyler Internal Coordination & PlanningTyler Internal Coordination & PlanningTyler Internal Coordination & Planning TYLER CLIENT TASKS Ty l e r E x e c u t i v e M a n a g e r Ty l e r I m p l e m e n t a t i o n M a n a g e r Ty l e r P r o j e c t M a n a g e r Ty l e r I m p l e m e n t a t i o n C o n s u l t a n t Ty l e r D a t a C o n v e r s i o n E x p e r t s Ty l e r Fo r m s & R e p o r t s E x p e r t s Ty l e r C u s t o m i z a t i o n P r o g r a m m e r s Ty l e r T e c h n i c a l S u p p o r t Ty l e r S a l e s Cl i e n t E x e c u t i v e S p o n s o r Cl i e n t S t e e r i n g C o m m i t t e e Cl i e n t P r o j e c t M a n a g e r Cl i e n t F u n c t i o n a l L e a d s Cl i e n t C h a n g e M a n a g e m e n t L e a d s Cl i e n t P o w e r U s e r s Cl i e n t De p a r t m e n t H e a d s Cl i e n t E n d U s e r s Cl i e n t T e c h n i c a l L e a d s Cl i e n t P r o j e c t T o o l s e t C o o r d i n a t o r Cl i e n t U p g r a d e C o o r d i n a t o r Present overview of Project Deliverables, project schedule and roles and responsibilities A R I I I I C I I I I I I I Communicate successful Project criteria and goals I R C A C I I C I I Exhibit D 48 4.2.64.2.64.2.64.2.6 Control Point 1: Initiate & Plan Stage AcceptanceControl Point 1: Initiate & Plan Stage AcceptanceControl Point 1: Initiate & Plan Stage AcceptanceControl Point 1: Initiate & Plan Stage Acceptance Acceptance criteria for this Stage includes completion of all criteria listed below. Advancement to the Assess & Define Stage is dependent upon Tyler’s receipt of the Stage Acceptance. 4.2.6.14.2.6.14.2.6.14.2.6.1 IIIInitiate & Plan Stage Deliverablesnitiate & Plan Stage Deliverablesnitiate & Plan Stage Deliverablesnitiate & Plan Stage Deliverables · Implementation Management Plan o Objective: Update and deliver baseline management plans to reflect the approach to the Augusta-Richmond County’s Project. o Scope: The Implementation Management addresses how communication, quality control, risks/issues, resources and schedules, and Software Upgrades (if applicable) will be managed throughout the lifecycle of the Project. o Acceptance criteria: Augusta-Richmond County reviews and acknowledges Implementation Management Plan. · Project Plan/Schedule o Objective: Provide a comprehensive list of tasks, timelines and assignments related to the Deliverables of the Project. o Scope: Task list, assignments and due dates. o Acceptance criteria: Augusta-Richmond County acceptance of schedule based on Augusta- Richmond County resource availability and Project budget and goals. 4.2.6.24.2.6.24.2.6.24.2.6.2 IIIInitiate & Plan Stage Acceptance Criterianitiate & Plan Stage Acceptance Criterianitiate & Plan Stage Acceptance Criterianitiate & Plan Stage Acceptance Criteria · Hardware Installed · System infrastructure audit complete and verified · Implementation Management Plan delivered · Project Plan/Schedule delivered; dates confirmed · Stakeholder Presentation complete Exhibit D 49 4.34.34.34.3 Assess & Define (Stage 2)Assess & Define (Stage 2)Assess & Define (Stage 2)Assess & Define (Stage 2) The primary objective of Assess & Define is to gather information about current Augusta-Richmond County business processes and translate the material into future business processes using Tyler Applications. Tyler uses a variety of methods for obtaining the information, all requiring Augusta-Richmond County collaboration. Augusta-Richmond County shall provide complete and accurate information to Tyler staff for analysis and understanding of current workflows and business processes. 4.3.14.3.14.3.14.3.1 Fundamentals ReviewFundamentals ReviewFundamentals ReviewFundamentals Review Fundamentals Review provides functional leads and Power Users an overall understanding of software capabilities prior to beginning current and future state analysis. The primary goal is to provide a basic understanding of system functionality, which provides a foundation for upcoming conversations regarding future state processing. Tyler utilizes a variety of methods for completing fundamentals training including the use of eLearning, videos, documentation, and walkthroughs. RACI MATRIX KEY: RRRR = Responsible AAAA = Accountable CCCC = Consulted IIII = Informed STAGE 2STAGE 2STAGE 2STAGE 2 Tyler Internal Coordination & PlanningTyler Internal Coordination & PlanningTyler Internal Coordination & PlanningTyler Internal Coordination & Planning TYLER CLIENT TASKS Ty l e r E x e c u t i v e M a n a g e r Ty l e r I m p l e m e n t a t i o n M a n a g e r Ty l e r P r o j e c t M a n a g e r Ty l e r I m p l e m e n t a t i o n C o n s u l t a n t Ty l e r D a t a C o n v e r s i o n E x p e r t s Ty l e r F o r m s & R e p o r t s E x p e r t s Ty l e r C u s t o m i z a t i o n P r o g r a m m e r s Ty l e r T e c h n i c a l S u p p o r t Ty l e r Sa l e s Cl i e n t E x e c u t i v e S p o n s o r Cl i e n t S t e e r i n g C o m m i t t e e Cl i e n t P r o j e c t M a n a g e r Cl i e n t F u n c t i o n a l L e a d s Cl i e n t C h a n g e M a n a g e m e n t L e a d s Cl i e n t P o w e r U s e r s Cl i e n t D e p a r t m e n t H e a d s Cl i e n t E n d U s e r s Cl i e n t T e c h n i c a l L e a d s Cl i e n t P r o j e c t T o o l s e t C o o r d i n a t o r Cl i e n t U p g r a d e C o o r d i n a t o r Schedule fundamentals review & provide fundamentals materials & prerequisites, if applicable A R I C I I I Complete fundamentals materials review and prerequisites I A R I C Ensure all scheduled attendees are present I I A R C I Facilitate fundamentals review A R I I I Exhibit D 50 4.3.24.3.24.3.24.3.2 Current/Future State AnalysisCurrent/Future State AnalysisCurrent/Future State AnalysisCurrent/Future State Analysis Augusta-Richmond County and Tyler evaluate current state processes, options within the new software, pros and cons of each option based on current or desired state, and make decisions about future state configuration and processing. RACI MATRIX KEY: RRRR = Responsible AAAA = Accountable CCCC = Consulted IIII = Informed STAGE 2STAGE 2STAGE 2STAGE 2 Tyler InternalTyler InternalTyler InternalTyler Internal Coordination & PlanningCoordination & PlanningCoordination & PlanningCoordination & Planning TYLER CLIENT TASKS Ty l e r E x e c u t i v e M a n a g e r Ty l e r I m p l e m e n t a t i o n M a n a g e r Ty l e r P r o j e c t M a n a g e r Ty l e r I m p l e m e n t a t i o n C o n s u l t a n t Ty l e r D a t a C o n v e r s i o n E x p e r t s Ty l e r F o r m s & R e p o r t s E x p e r t s Ty l e r C u s t o m i z a t i o n P r o g r a m m e r s Ty l e r Te c h n i c a l S u p p o r t Ty l e r S a l e s Cl i e n t E x e c u t i v e S p o n s o r Cl i e n t S t e e r i n g C o m m i t t e e Cl i e n t P r o j e c t M a n a g e r Cl i e n t F u n c t i o n a l L e a d s Cl i e n t C h a n g e M a n a g e m e n t L e a d s Cl i e n t P o w e r U s e r s Cl i e n t D e p a r t m e n t H e a d s Cl i e n t E n d U s e r s Cl i e n t T e c h n i c a l L e a d s Cl i e n t P r o j e c t T o o l s e t C o o r d i n a t o r Cl i e n t U p g r a d e C o o r d i n a t o r Provide Current/Future State analysis materials to the Augusta-Richmond County, as applicable A R I C I I Conduct Current & Future State analysis A R I C I C Provide pros and cons of Tyler software options A R I C I C Make Future State Decisions according to due date in the Project Plan I I C A R I C I Record Future State decisions A R I C I C Exhibit D 51 4.3.34.3.34.3.34.3.3 Data Conversion Planning & MappingData Conversion Planning & MappingData Conversion Planning & MappingData Conversion Planning & Mapping This entails the activities performed to prepare to convert data from the Augusta-Richmond County’s Legacy System Applications to the Tyler system. Tyler staff and Augusta-Richmond County work together to complete Data Mapping for each piece of data (as outlined in the Agreement) from the Legacy System to a location in the Tyler system. RACI MATRIX KEY: RRRR = Responsible AAAA = Accountable CCCC = Consulted IIII = Informed STAGE 2STAGE 2STAGE 2STAGE 2 Tyler Internal Coordination & PlanningTyler Internal Coordination & PlanningTyler Internal Coordination & PlanningTyler Internal Coordination & Planning TYLER CLIENT TASKS Ty l e r E x e c u t i v e M a n a g e r Ty l e r I m p l e m e n t a t i o n M a n a g e r Ty l e r P r o j e c t M a n a g e r Ty l e r I m p l e m e n t a t i o n C o n s u l t a n t Ty l e r D a t a C o n v e r s i o n E x p e r t s Ty l e r F o r m s & R e p o r t s E x p e r t s Ty l e r C u s t o m i z a t i o n P r o g r a m m e r s Ty l e r T e c h n i c a l S u p p o r t Ty l e r S a l e s Cl i e n t E x e c u t i v e S p o n s o r Cl i e n t S t e e r i n g C o m m i t t e e Cl i e n t P r o j e c t M a n a g e r Cl i e n t F u n c t i o n a l L e a d s Cl i e n t C h a n g e M a n a g e m e n t L e a d s Cl i e n t P o w e r U s e r s Cl i e n t D e p a r t m e n t H e a d s Cl i e n t E n d U s e r s Cl i e n t T e c h n i c a l L e a d s Cl i e n t P r o j e c t T o o l s e t C o o r d i n a t o r Cl i e n t Up g r a d e C o o r d i n a t o r Review contracted data conversion(s) options A R I C C C C Map data from Legacy System to Tyler system I C I A C C R Pull conversion data extract I I A C C R Run balancing Reports for data pulled and provide to Tyler I I A C R I Review and approve initial data extract A I C R I I Correct issues with data extract, if needed I C C A C C R Exhibit D 52 4.3.44.3.44.3.44.3.4 Standard 3rd Party Data Exchange PlanningStandard 3rd Party Data Exchange PlanningStandard 3rd Party Data Exchange PlanningStandard 3rd Party Data Exchange Planning Standard Data Exchange tools are available to allow clients to get data in and out of the Tyler system with external systems. Data exchange tools can take the form of Imports and Exports, and Interfaces. A Standard Interface is a real-time or automated exchange of data between two systems. This could be done programmatically or through an API. It is Tyler’s responsibility to ensure the Tyler programs operate correctly. It is Augusta-Richmond County’s responsibility to ensure the third party program operates or accesses the data correctly. The Augusta-Richmond County and Tyler Project Manager(s) will work together to define/confirm which Data Exchanges are needed (if not outlined in the Agreement). Tyler will provide a file layout for each Standard Data Exchange. RACI MATRIX KEY: RRRR = Responsible AAAA = Accountable CCCC = Consulted IIII = Informed STAGE 2STAGE 2STAGE 2STAGE 2 Tyler Internal Coordination & PlanningTyler Internal Coordination & PlanningTyler Internal Coordination & PlanningTyler Internal Coordination & Planning TYLER CLIENT TASKS Ty l e r E x e c u t i v e M a n a g e r Ty l e r I m p l e m e n t a t i o n M a n a g e r Ty l e r Pr o j e c t M a n a g e r Ty l e r I m p l e m e n t a t i o n C o n s u l t a n t Ty l e r D a t a C o n v e r s i o n E x p e r t s Ty l e r F o r m s & R e p o r t s E x p e r t s Ty l e r C u s t o m i z a t i o n P r o g r a m m e r s Ty l e r T e c h n i c a l S u p p o r t Ty l e r S a l e s Cl i e n t E x e c u t i v e S p o n s o r Cl i e n t S t e e r i n g C o m m i t t e e Cl i e n t P r o j e c t M a n a g e r Cl i e n t F u n c t i o n a l L e a d s Cl i e n t C h a n g e M a n a g e m e n t L e a d s Cl i e n t P o w e r U s e r s Cl i e n t D e p a r t m e n t H e a d s Cl i e n t E n d U s e r s Cl i e n t T e c h n i c a l L e a d s Cl i e n t P r o j e c t T o o l s e t C o o r d i n a t o r Cl i e n t U p g r a d e C o o r d i n a t o r Review Standard or contracted Data Exchanges A R C I I C Define or confirm needed Data Exchanges I C A C C R Exhibit D 53 4.3.54.3.54.3.54.3.5 Customization Analysis & Specification, if contractedCustomization Analysis & Specification, if contractedCustomization Analysis & Specification, if contractedCustomization Analysis & Specification, if contracted Tyler staff conducts additional analysis and develops specifications based on information discovered during this Stage. Augusta-Richmond County reviews the specifications and confirms they meet Augusta-Richmond County’s needs prior to acceptance. Out of Scope items or changes to specifications after acceptance may require a Change Request. Tyler’s intention is to minimize Customizations by using Standard functionality within the Application, which may require an Augusta-Richmond County business process change. It is the responsibility of Augusta-Richmond County to detail all of their needs during the Assess and Define Stage. Tyler will write up specifications (for Augusta-Richmond County approval) for contracted program Customizations. Upon approval, Tyler will make the agreed upon Customizations to the respective program(s). Once the Customizations have been delivered, Augusta-Richmond County will test and approve those changes during the Build and Validate Stage. RACI MATRIX KEY: RRRR = Responsible AAAA = Accountable CCCC = Consulted IIII = Informed STAGE 2STAGE 2STAGE 2STAGE 2 Tyler Internal Coordination & PlanningTyler Internal Coordination & PlanningTyler Internal Coordination & PlanningTyler Internal Coordination & Planning TYLER CLIENT TASKS Ty l e r E x e c u t i v e M a n a g e r Ty l e r I m p l e m e n t a t i o n M a n a g e r Ty l e r P r o j e c t M a n a g e r Ty l e r I m p l e m e n t a t i o n C o n s u l t a n t Ty l e r D a t a C o n v e r s i o n E x p e r t s Ty l e r F o r m s & R e p o r t s E x p e r t s Ty l e r C u s t o m i z a t i o n P r o g r a m m e r s Ty l e r T e c h n i c a l S u p p o r t Ty l e r S a l e s Cl i e n t E x e c u t iv e S p o n s o r Cl i e n t S t e e r i n g C o m m i t t e e Cl i e n t P r o j e c t M a n a g e r Cl i e n t F u n c t i o n a l L e a d s Cl i e n t C h a n g e M a n a g e m e n t L e a d s Cl i e n t P o w e r U s e r s Cl i e n t D e p a r t m e n t H e a d s Cl i e n t E n d U s e r s Cl i e n t T e c h n i c a l L e a d s Cl i e n t P r o j e c t T o o l s e t C o o r d i n a t o r Cl i e n t U p g r a d e Co o r d i n a t o r Analyze contracted custom program requirements A C R C C I C C Develop specification document(s) A I C R I I I I Review specification document(s); provide changes to Tyler, if applicable I C C A R I C C Sign-off on specification document(s) and authorize work I I A R C I I C Exhibit D 54 4.3.64.3.64.3.64.3.6 Forms & Reports PlanningForms & Reports PlanningForms & Reports PlanningForms & Reports Planning Augusta-Richmond County and Tyler Project Manager(s) review Forms and Reporting needs. Items that may be included in the Agreement are either Standard Forms and Reports or known/included Customization(s). Items not included in the Agreement could be either Augusta-Richmond County-developed Reports or a newly discovered Customization that will require a Change Request. RACI MATRIX KEY: RRRR = Responsible AAAA = Accountable CCCC = Consulted IIII = Informed STAGE 2STAGE 2STAGE 2STAGE 2 Tyler Internal Coordination & PlanningTyler Internal Coordination & PlanningTyler Internal Coordination & PlanningTyler Internal Coordination & Planning TYLER CLIENT TASKS Ty l e r E x e c u t i v e M a n a g e r Ty l e r I m p l e m e n t a t i o n M a n a g e r Ty l e r P r o j e c t M a n a g e r Ty l e r Im p l e m e n t a t i o n C o n s u l t a n t Ty l e r D a t a C o n v e r s i o n E x p e r t s Ty l e r F o r m s & R e p o r t s E x p e r t s Ty l e r C u s t o m i z a t i o n P r o g r a m m e r s Ty l e r T e c h n i c a l S u p p o r t Ty l e r S a l e s Cl i e n t E x e c u t i v e S p o n s o r Cl i e n t S t e e r i n g C o m m i t t e e Cl i e n t P r o j e c t M a n a g e r Cl i e n t F u n c t i o n a l L e a d s Cl i e n t C h a n g e M a n a g e m e n t L e a d s Cl i e n t P o w e r U s e r s Cl i e n t D e p a r t m e n t H e a d s Cl i e n t E n d U s e r s Cl i e n t T e c h n i c a l L e a d s Cl i e n t P r o j e c t T o o l s e t C o o r d i n a t o r Cl i e n t U p g r a d e C o o r d i n a t o r Review required Forms output A R C I C I Review and complete Forms options and submit to Tyler I I A R C Review in Scope Reports A R I C C Identify additional Report needs I C A R C Add applicable tasks to Project schedule A R I C C I I I Exhibit D 55 4.3.74.3.74.3.74.3.7 System DeploymentSystem DeploymentSystem DeploymentSystem Deployment The Tyler Technical Services team installs Tyler Applications on the server (hosted or client-based) and ensures the platform operates as expected. RACI MATRIX KEY: RRRR = Responsible AAAA = Accountable CCCC = Consulted IIII = Informed STAGE 2STAGE 2STAGE 2STAGE 2 Tyler Internal Coordination & PlanningTyler Internal Coordination & PlanningTyler Internal Coordination & PlanningTyler Internal Coordination & Planning TYLER CLIENT TASKS Ty l e r E x e c u t i v e M a n a g e r Ty l e r I m p l e m e n t a t i o n M a n a g e r Ty l e r P r o j e c t M a n a g e r Ty l e r I m p l e m e n t a t i o n C o n s u l t a n t Ty l e r D a t a C o n v e r s i o n E x p e r t s Ty l e r F o r m s & Re p o r t s E x p e r t s Ty l e r C u s t o m i z a t i o n P r o g r a m m e r s Ty l e r T e c h n i c a l S u p p o r t Ty l e r S a l e s Cl i e n t E x e c u t i v e S p o n s o r Cl i e n t S t e e r i n g C o m m i t t e e Cl i e n t P r o j e c t M a n a g e r Cl i e n t F u n c t i o n a l L e a d s Cl i e n t C h a n g e M a n a g e m e n t L e a d s Cl i e n t P o w e r U s e r s Cl i e n t D e p a r t m e n t H e a d s Cl i e n t E n d U s e r s Cl i e n t T e c h n i c a l L e a d s Cl i e n t P r o j e c t T o o l s e t C o o r d i n a t o r Cl i e n t U p g r a d e C o o r d i n a t o r Install contracted software on server A I R I C Ensure platform operates as expected A I R I C Exhibit D 56 4.3.84.3.84.3.84.3.8 Control Point 2: Assess & Define Stage AcceptanceControl Point 2: Assess & Define Stage AcceptanceControl Point 2: Assess & Define Stage AcceptanceControl Point 2: Assess & Define Stage Acceptance Acceptance criteria for this Stage includes completion of all criteria listed below. Advancement to the Build & Validate Stage is dependent upon Tyler’s receipt of the Stage Acceptance. 4.3.8.14.3.8.14.3.8.14.3.8.1 Assess & Assess & Assess & Assess & Define Stage DeliverablesDefine Stage DeliverablesDefine Stage DeliverablesDefine Stage Deliverables · Completed analysis Questionnaire o Objective: Gather and document information related to Augusta-Richmond County business processes for current/future state analysis as it relates to Tyler approach/solution. o Scope: Provide comprehensive answers to all questions on Questionnaire(s). o Acceptance criteria: Augusta-Richmond County acceptance of completed Questionnaire based on thoroughness of capturing all Augusta-Richmond County business practices to be achieved through Tyler solution. · Data conversion summary and specification documents o Objective: Define data conversion approach and strategy o Scope: Data conversion approach defined, data extract strategy, conversion and reconciliation strategy. o Acceptance criteria: Data conversion document(s) delivered to Augusta-Richmond County, reflecting complete and accurate conversion decisions. · Customization specification documents, if contracted o Objective: Provide comprehensive outline of identified gaps, and how the custom program meets Augusta-Richmond County’s needs. o Scope: Design solution for Customization. o Acceptance criteria: Augusta-Richmond County accepts Custom Specification Document(s) and agrees that the proposed solution meets their requirements. · Completed Forms options and/or packages o Objective: Provide specifications for each Augusta-Richmond County in Scope form, Report, and output requirements. o Scope: Complete Forms package(s) included in agreement and identify Reporting needs. o Acceptance criteria: Identify Forms choices and receive supporting documentation. · Installation checklist o Objective: Installation of purchased Tyler software. o Scope: Tyler will conduct an initial coordination call, perform an installation of the software included in the Agreement, conduct follow up to ensure all tasks are complete, and complete server system administration training, unless Augusta-Richmond County is hosted. o Acceptance criteria: Tyler software is successfully installed and available to authorized users, Augusta-Richmond County team members are trained on applicable system administration tasks. 4.3.8.24.3.8.24.3.8.24.3.8.2 Assess & Define Stage Acceptance CriteriaAssess & Define Stage Acceptance CriteriaAssess & Define Stage Acceptance CriteriaAssess & Define Stage Acceptance Criteria · Tyler software is installed Exhibit D 57 · Fundamentals review is complete · Required Form information complete and provided to Tyler · Current/Future state analysis completed; Questionnaires delivered and reviewed · Data conversion mapping and extractions completed and provided to Tyler Exhibit D 58 4.44.44.44.4 Build & Validate (Stage 3)Build & Validate (Stage 3)Build & Validate (Stage 3)Build & Validate (Stage 3) The objective of the Build & Validate Stage is to prepare the software for use in accordance with Augusta- Richmond County’s needs identified during the Assess and Define Stage, preparing Augusta-Richmond County for Final Testing and Training. 4.4.14.4.14.4.14.4.1 Configuration & Power User TrainingConfiguration & Power User TrainingConfiguration & Power User TrainingConfiguration & Power User Training Tyler staff collaborates with Augusta-Richmond County to complete software configuration based on the outputs of the future state analysis performed during the Assess and Define Stage. Tyler staff will train the Augusta-Richmond County Power Users to prepare them for the Validation of the software. Augusta-Richmond County collaborates with Tyler staff iteratively to validate software configuration. RACI MATRIX KEY: RRRR = Responsible AAAA = Accountable CCCC = Consulted IIII = Informed STAGE 3STAGE 3STAGE 3STAGE 3 Tyler Internal Coordination & PlanningTyler Internal Coordination & PlanningTyler Internal Coordination & PlanningTyler Internal Coordination & Planning TYLER CLIENT TASKS Ty l e r E x e c u t i v e Ma n a g e r Ty l e r I m p l e m e n t a t i o n M a n a g e r Ty l e r P r o j e c t M a n a g e r Ty l e r I m p l e m e n t a t i o n C o n s u l t a n t Ty l e r D a t a C o n v e r s i o n E x p e r t s Ty l e r F o r m s & R e p o r t s E x p e r t s Ty l e r C u s t o m i z a t i o n P r o g r a m m e r s Ty l e r T e c h n i c a l S u p p o r t Ty l e r S a l e s Cl i e n t E x e c u t i v e S p o n s o r Cl i e n t S t e e r in g C o m m i t t e e Cl i e n t P r o j e c t M a n a g e r Cl i e n t F u n c t i o n a l L e a d s Cl i e n t C h a n g e M a n a g e m e n t L e a d s Cl i e n t P o w e r U s e r s Cl i e n t D e p a r t m e n t H e a d s Cl i e n t E n d U s e r s Cl i e n t T e c h n i c a l L e a d s Cl i e n t P r o j e c t T o o l s e t C o o r d i n a t o r Cl i e n t U p g r a d e C o o r d i n a t o r Perform configuration A R I R I Power User process and Validation training A R I C I C I Validate configuration I C A C R C Exhibit D 59 4.4.24.4.24.4.24.4.2 Data Conversion & Validation Data Conversion & Validation Data Conversion & Validation Data Conversion & Validation Tyler completes an initial review of the converted data for errors. With assistance from Augusta-Richmond County, the Tyler Data Conversion Team addresses items within the conversion program to provide the most efficient data conversion possible. With guidance from Tyler, Augusta-Richmond County reviews specific data elements within the system and identifies and Reports discrepancies in writing. Iteratively, Tyler collaborates with Augusta-Richmond County to address conversion discrepancies prior to acceptance. RACI MATRIX KEY: RRRR = Responsible AAAA = Accountable CCCC = Consulted IIII = Informed STAGE 3STAGE 3STAGE 3STAGE 3 Tyler Internal Coordination & PlanningTyler Internal Coordination & PlanningTyler Internal Coordination & PlanningTyler Internal Coordination & Planning TYLER CLIENT TASKS Ty l e r E x e c u t i v e M a n a g e r Ty l e r I m p l e m e n t a t i o n M a n a g e r Ty l e r P r o j e c t M a n a g e r Ty l e r I m p l e m e n t a t i o n C o n s u l t a n t Ty l e r D a t a C o n v e r s i o n E x p e r t s Ty l e r F o r m s & R e p o r t s E x p e r t s Ty l e r C u s t o m i z a t i o n P r o g r a m m e r s Ty l e r T e c h n i c a l S u p p o r t Ty l e r S a l e s Cl i e n t E x e c u t i v e S p o n s o r Cl i e n t S t e e r i n g C o m m i t t e e Cl i e n t P r o j e c t M a n a g e r Cl i e n t F u n c t i o n a l L e a d s Cl i e n t C h a n g e M a n a g e m e n t L e a d s Cl i e n t P o w e r U s e r s Cl i e n t D e p a r t m e n t H e a d s Cl i e n t E n d U s e r s Cl i e n t T e c h n i c a l L e a d s Cl i e n t P r o j e c t T o o l s e t C o o r d i n a t o r Cl i e n t U p g r a d e C o o r d i n a t o r Write and run data conversion program against Client data A I C R C Complete initial review of data errors A I C R I I C Review data conversion and submit needed corrections I C I A C R C Revise conversion program(s) to correct error(s) A I C R I I C C Exhibit D 60 4.4.34.4.34.4.34.4.3 Standard 3rd Party Data Standard 3rd Party Data Standard 3rd Party Data Standard 3rd Party Data Exchange ValidationExchange ValidationExchange ValidationExchange Validation Tyler provides training on Data Exchange(s) and Augusta-Richmond County tests each Data Exchange. RACI MATRIX KEY: RRRR = Responsible AAAA = Accountable CCCC = Consulted IIII = Informed STAGE 3STAGE 3STAGE 3STAGE 3 Tyler Internal Coordination & PlanningTyler Internal Coordination & PlanningTyler Internal Coordination & PlanningTyler Internal Coordination & Planning TYLER CLIENT TASKS Ty l e r E x e c u t i v e M a n a g e r Ty l e r I m p l e m e n t a t i o n M a n a g e r Ty l e r P r o j e c t M a n a g e r Ty l e r I m p l e m e n t a t i o n C o n s u l t a n t Ty l e r D a t a C o n v e r s i o n E x p e r t s Ty l e r F o r m s & R e p o r t s E x p e r t s Ty l e r C u s t o m i z a t i o n P r o g r a m m e r s Ty l e r T e c h n i c a l S u p p o r t Ty l e r S a l e s Cl i e n t E x e c u ti v e S p o n s o r Cl i e n t S t e e r i n g C o m m i t t e e Cl i e n t P r o j e c t M a n a g e r Cl i e n t F u n c t i o n a l L e a d s Cl i e n t C h a n g e M a n a g e m e n t L e a d s Cl i e n t P o w e r U s e r s Cl i e n t D e p a r t m e n t H e a d s Cl i e n t E n d U s e r s Cl i e n t T e c h n i c a l L e a d s Cl i e n t P r o j e c t T o o l s e t C o o r d i n a t o r Cl i e n t U p g r a d e Co o r d i n a t o r Train Data Exchange(s) processing in Tyler software A R C I I I C I Coordinate 3rd Party Data Exchange activities I I A C C R Test all Standard 3rd party Data Exchange(s) I C A C I R C Exhibit D 61 4.4.44.4.44.4.44.4.4 Customization Delivery & Validation, if contractedCustomization Delivery & Validation, if contractedCustomization Delivery & Validation, if contractedCustomization Delivery & Validation, if contracted Tyler delivers in Scope Customization(s) to Augusta-Richmond County for preliminary testing. Final acceptance will occur during the Final Testing and Training Stage. RACI MATRIX KEY: RRRR = Responsible AAAA = Accountable CCCC = Consulted IIII = Informed STAGE 3STAGE 3STAGE 3STAGE 3 Tyler Internal Coordination & PlanningTyler Internal Coordination & PlanningTyler Internal Coordination & PlanningTyler Internal Coordination & Planning TYLER CLIENT TASKS Ty l e r E x e c u t i v e M a n a g e r Ty l e r I m p l e m e n t a t i o n M a n a g e r Ty l e r P r o j e c t M a n a g e r Ty l e r I m p l e m e n t a t i o n C o n s u l t a n t Ty l e r D a t a Co n v e r s i o n E x p e r t s Ty l e r F o r m s & R e p o r t s E x p e r t s Ty l e r C u s t o m i z a t i o n P r o g r a m m e r s Ty l e r T e c h n i c a l S u p p o r t Ty l e r S a l e s Cl i e n t E x e c u t i v e S p o n s o r Cl i e n t S t e e r i n g C o m m i t t e e Cl i e n t P r o j e c t M a n a g e r Cl i e n t F u n c t i o n a l L e a d s Cl i e n t C h a n g e M a n a g e m e n t L e a d s Cl i e n t Po w e r U s e r s Cl i e n t D e p a r t m e n t H e a d s Cl i e n t E n d U s e r s Cl i e n t T e c h n i c a l L e a d s Cl i e n t P r o j e c t T o o l s e t C o o r d i n a t o r Cl i e n t U p g r a d e C o o r d i n a t o r Develop and deliver contracted custom program(s) A I C I R I C I C I C Test contracted custom program(s) in isolated database I C C A C R C Report discrepancies between specification and delivered contracted custom program(s) I I I A R C C Make corrections to contracted custom program(s) as required A I C I R I C C I Exhibit D 62 4.4.54.4.54.4.54.4.5 Forms & Reports ValidationForms & Reports ValidationForms & Reports ValidationForms & Reports Validation Tyler provides training on Standard Forms/Reports and Augusta-Richmond County tests each Standard Form/Report. RACI MATRIX KEY: RRRR = Responsible AAAA = Accountable CCCC = Consulted IIII = Informed STAGE 3STAGE 3STAGE 3STAGE 3 Tyler Internal Coordination & PlanningTyler Internal Coordination & PlanningTyler Internal Coordination & PlanningTyler Internal Coordination & Planning TYLER CLIENT TASKS Ty l e r E x e c u t i v e M a n a g e r Ty l e r I m p l e m e n t a t i o n M a n a g e r Ty l e r P r o j e c t M a n a g e r Ty l e r I m p l e m e n t a t i o n C o n s u l t a n t Ty l e r D a t a C o n v e r s i o n E x p e r t s Ty l e r F o r m s & R e p o r t s E x p e r t s Ty l e r Cu s t o m i z a t i o n P r o g r a m m e r s Ty l e r T e c h n i c a l S u p p o r t Ty l e r S a l e s Cl i e n t E x e c u t i v e S p o n s o r Cl i e n t S t e e r i n g C o m m i t t e e Cl i e n t P r o j e c t M a n a g e r Cl i e n t F u n c t i o n a l L e a d s Cl i e n t C h a n g e M a n a g e m e n t L e a d s Cl i e n t P o w e r U s e r s Cl i e n t D e p a r t m e n t H e a d s Cl i e n t E n d U s e r s Cl i e n t T e c h n i c a l L e a d s Cl i e n t P r o j e c t T o o l s e t C o o r d i n a t o r Cl i e n t U p g r a d e C o o r d i n a t o r Standard Forms & Report Training A R I C C I Test Standard Forms & Reports I C C A C R C Exhibit D 63 4.4.64.4.64.4.64.4.6 Control Point 3: Build &Control Point 3: Build &Control Point 3: Build &Control Point 3: Build & Validate Stage AcceptanceValidate Stage AcceptanceValidate Stage AcceptanceValidate Stage Acceptance Acceptance criteria for this Stage includes all criteria listed below. Advancement to the Final Testing & Training Stage is dependent upon Tyler’s receipt of the Stage Acceptance. 4.4.6.14.4.6.14.4.6.14.4.6.1 Build & Validate Stage DeliverablesBuild & Validate Stage DeliverablesBuild & Validate Stage DeliverablesBuild & Validate Stage Deliverables · Initial data conversion o Objective: Convert Legacy System data into Tyler system. o Scope: Data conversion program complete; deliver converted data for review. o Acceptance criteria: Initial error log available for review. · Data conversion verification document o Objective: Provide instructions to Augusta-Richmond County to verify converted data for accuracy. o Scope: Provide self-guided instructions to verify specific data components in Tyler system. o Acceptance criteria: Augusta-Richmond County accepts data conversion delivery; Augusta- Richmond County completes data issues log. · Installation of Customizations the Augusta-Richmond County’s server(s) *except for hosted Clients o Objective: Deliver Customization(s) in Tyler software. o Scope: Program for Customization is complete and available in Tyler software, Customization testing. o Acceptance criteria: Delivery of Customization(s) results in objectives described in the Augusta- Richmond County-signed specification. · Standard Forms & Reports Delivered o Objective: Provide Standard Forms & Reports for review. o Scope: Installation of all Standard Forms & Reports included in the Agreement. o Acceptance criteria: Standard Forms & Reports available in Tyler software for testing in Stage 4. 4.4.6.24.4.6.24.4.6.24.4.6.2 Build & Validate Stage Acceptance CriteriaBuild & Validate Stage Acceptance CriteriaBuild & Validate Stage Acceptance CriteriaBuild & Validate Stage Acceptance Criteria · Application configuration completed · Standard Forms & Reports delivered and available for testing in Stage 4 · Data conversions (except final pass) delivered · Standard 3rd party Data Exchange training provided · Customizations delivered and available for testing in Stage 4 · Augusta-Richmond County and Tyler have done a review of primary configuration areas to validate completeness and readiness for testing and acceptance in Stage 4. · Augusta-Richmond County, at its request, and Tyler to review Functional Requirements as stated in Exhibit C-1 Schedule 2. Exhibit D 64 4.54.54.54.5 Final Testing & Training (Stage 4)Final Testing & Training (Stage 4)Final Testing & Training (Stage 4)Final Testing & Training (Stage 4) During Final Testing and Training, Tyler and Augusta-Richmond County review the final Cutover plan. A critical Project success factor is Augusta-Richmond County understanding the importance of Final Testing and Training and dedicating the resources required for testing and training efforts in order to ensure a successful Production Cutover. 4.5.14.5.14.5.14.5.1 Cutover PlanningCutover PlanningCutover PlanningCutover Planning Augusta-Richmond County and Tyler Project Manager(s) discuss final preparations and critical dates for Production Cutover. Tyler delivers a Production Cutover Checklist to outline Cutover tasks to help prepare Augusta-Richmond County for success. RACI MATRIX KEY: RRRR = Responsible AAAA = Accountable CCCC = Consulted IIII = Informed STAGE 4STAGE 4STAGE 4STAGE 4 Tyler Internal Coordination & PlanningTyler Internal Coordination & PlanningTyler Internal Coordination & PlanningTyler Internal Coordination & Planning TYLER CLIENT TASKS Ty l e r E x e c u t i v e M a n a g e r Ty l e r I m p l e m e n t a t i o n M a n a g e r Ty l e r P r o j e c t M a n a g e r Ty l e r I m p l e m e n t a t i o n C o n s u l t a n t Ty l e r D a t a C o n v e r s i o n E x p e r t s Ty l e r F o r m s & R e p o r t s E x p e r t s Ty l e r C u s t o m i z a t i o n P r o g r a m m e r s Ty l e r T e c h n i c a l S u p p o r t Ty l e r S a l e s Cl i e n t E x e c u t i v e S p o n s o r Cl i e n t S t e e r i n g C o m m i t t e e Cl i e n t P r o j e c t M a n a g e r Cl i e n t F u n c t i o n a l L e a d s Cl i e n t C h a n g e M a n a g e m e n t L e a d s Cl i e n t P o w e r U s e r s Cl i e n t De p a r t m e n t H e a d s Cl i e n t E n d U s e r s Cl i e n t T e c h n i c a l L e a d s Cl i e n t P r o j e c t T o o l s e t C o o r d i n a t o r Cl i e n t U p g r a d e C o o r d i n a t o r Cutover Planning Session A R C I C C C C C C Develop Production Cutover Checklist A R C I I C C I I C Exhibit D 65 4.5.24.5.24.5.24.5.2 User Acceptance Testing (UAT)User Acceptance Testing (UAT)User Acceptance Testing (UAT)User Acceptance Testing (UAT) Augusta-Richmond County performs User Acceptance Testing to verify software readiness for day-to-day business processing. Tyler provides a Test Plan for users to follow to ensure proper validation of the system. RACI MATRIX KEY: RRRR = Responsible AAAA = Accountable CCCC = Consulted IIII = Informed STAGE 4STAGE 4STAGE 4STAGE 4 Tyler Internal Coordination & PlanningTyler Internal Coordination & PlanningTyler Internal Coordination & PlanningTyler Internal Coordination & Planning TYLER CLIENT TASKS Ty l e r E x e c u t i v e M a n a g e r Ty l e r I m p l e m e n t a t i o n M a n a g e r Ty l e r P r o j e c t M a n a g e r Ty l e r I m p l e m e n t a t i o n C o n s u l t a n t Ty l e r D a t a C o n v e r s i o n E x p e r t s Ty l e r F o r m s & R e p o r t s E x p e r t s Ty l e r C u s t o m i z a t i o n P r o g r a m m e r s Ty l e r T e c h n i c a l S u p p o r t Ty l e r S a l e s Cl i e n t E x e c u t i v e S p o n s o r Cl i e n t S t e e r i n g C o m m i t t e e Cl i e n t P r o j e c t M a n a g e r Cl i e n t F u n c t i o n a l L e a d s Cl i e n t C h a n g e M a n a g e m e n t L e a d s Cl i e n t P o w e r U s e r s Cl i e n t D e p a r t m e n t H e a d s Cl i e n t E n d U s e r s Cl i e n t T e c h n i c a l L e a d s Cl i e n t P r o j e c t T o o l s e t C o o r d i n a t o r Cl i e n t U p g r a d e C o o r d i n a t o r Deliver Test Plan for User Acceptance Testing A R C I I Perform User Acceptance Testing I C A R C C C I I C I Accept custom program(s), if applicable I I I A R C I C C Validate Report performance I C C A C R C Exhibit D 66 4.5.34.5.34.5.34.5.3 End User TrainingEnd User TrainingEnd User TrainingEnd User Training End Users attend training sessions to learn how to utilize Tyler software. Training focuses primarily on day-to- day Augusta-Richmond County processes that will be delivered via group training, webinar, eLearnings, and/or live training sessions. Unless stated otherwise in the Agreement, Tyler provides one occurrence of each scheduled training or implementation topic with up to the maximum number of users as defined in the Agreement, or as otherwise mutually agreed. Augusta-Richmond County users who attended the Tyler sessions may train any Augusta- Richmond County users not able to attend the Tyler sessions or additional sessions may be contracted at the applicable rates for training. RACI MATRIX KEY: RRRR = Responsible AAAA = Accountable CCCC = Consulted IIII = Informed STAGE 4STAGE 4STAGE 4STAGE 4 Tyler Internal Coordination & PlanningTyler Internal Coordination & PlanningTyler Internal Coordination & PlanningTyler Internal Coordination & Planning TYLER CLIENT TASKS Ty l e r E x e c u t i v e M a n a g e r Ty l e r I m p l e m e n t a t i o n M a n a g e r Ty l e r P r o j e c t M a n a g e r Ty l e r I m p l e m e n t a t i o n C o n s u l t a n t Ty l e r D a t a C o n v e r s i o n E x p e r t s Ty l e r F o r m s & R e p o r t s E x p e r t s Ty l e r Cu s t o m i z a t i o n P r o g r a m m e r s Ty l e r T e c h n i c a l S u p p o r t Ty l e r S a l e s Cl i e n t E x e c u t i v e S p o n s o r Cl i e n t S t e e r i n g C o m m i t t e e Cl i e n t P r o j e c t M a n a g e r Cl i e n t F u n c t i o n a l L e a d s Cl i e n t C h a n g e M a n a g e m e n t L e a d s Cl i e n t P o w e r U s e r s Cl i e n t D e p a r t m e n t H e a d s Cl i e n t E n d U s e r s Cl i e n t T e c h n i c a l L e a d s Cl i e n t P r o j e c t T o o l s e t C o o r d i n a t o r Cl i e n t U p g r a d e C o o r d i n a t o r Conduct user training sessions A R C I I I I I Conduct additional End User training sessions I I A C I R I I I I Exhibit D 67 4.5.44.5.44.5.44.5.4 Control Control Control Control Point 4: Final Testing & Training Stage AcceptancePoint 4: Final Testing & Training Stage AcceptancePoint 4: Final Testing & Training Stage AcceptancePoint 4: Final Testing & Training Stage Acceptance Acceptance criteria for this Stage includes all criteria listed below. Advancement to the Production Cutover Stage is dependent upon Tyler’s receipt of the Stage Acceptance. 4.5.4.14.5.4.14.5.4.14.5.4.1 Final Testing & Training StageFinal Testing & Training StageFinal Testing & Training StageFinal Testing & Training Stage DeliverablesDeliverablesDeliverablesDeliverables · Production Cutover checklist o Objective: Provide a detailed checklist outlining tasks necessary for production Cutover. o Scope: Dates for final conversion, date(s) to cease system processing in Legacy System, date(s) for first processing in Tyler system, contingency plan for processing. o Acceptance criteria: Definition of all pre-production tasks, assignment of owners and establishment of due dates. · User Acceptance Test Plan o Objective: Provide testing steps to guide users through testing business processes in Tyler software. o Scope: Testing steps for Standard business processes. o Acceptance criteria: Testing steps have been provided for Standard business processes. 4.5.4.24.5.4.24.5.4.24.5.4.2 Final Testing & Training Stage Acceptance CriteriaFinal Testing & Training Stage Acceptance CriteriaFinal Testing & Training Stage Acceptance CriteriaFinal Testing & Training Stage Acceptance Criteria · Production Cutover Checklist delivered and reviewed · Customization(s) tested and accepted, if applicable · Standard 3rd party Data Exchange programs tested and accepted · Standard Forms & Reports tested and accepted · User acceptance testing completed · End User training completed Exhibit D 68 4.64.64.64.6 ProductionProductionProductionProduction Cutover (Stage 5)Cutover (Stage 5)Cutover (Stage 5)Cutover (Stage 5) Augusta-Richmond County and Tyler resources complete tasks as outlined in the Production Cutover Plan and Augusta-Richmond County begins processing day-to-day business transactions in the Tyler software. Following production Cutover, Augusta-Richmond County transitions to the Tyler support team for ongoing support of the Application. 4.6.14.6.14.6.14.6.1 Final Data Conversion, if applicableFinal Data Conversion, if applicableFinal Data Conversion, if applicableFinal Data Conversion, if applicable Augusta-Richmond County provides final data extract and Reports from the Legacy System for data conversion and Tyler executes final data conversion. Augusta-Richmond County may need to manually enter into the Tyler system any data added to the Legacy System after final data extract. RACI MATRIX KEY: RRRR = Responsible AAAA = Accountable CCCC = Consulted IIII = Informed STAGE 5STAGE 5STAGE 5STAGE 5 Tyler Internal Coordination & PlanningTyler Internal Coordination & PlanningTyler Internal Coordination & PlanningTyler Internal Coordination & Planning TYLER CLIENT TASKS Ty l e r E x e c u t i v e M a n a g e r Ty l e r I m p l e m e n t a t i o n M a n a g e r Ty l e r P r o j e c t M a n a g e r Ty l e r I m p l e m e n t a t i o n C o n s u l t a n t Ty l e r D a t a C o n v e r s i o n E x p e r t s Ty l e r F o r m s & R e p o r t s E x p e r t s Ty l e r C u s t o m i z a t i o n Pr o g r a m m e r s Ty l e r T e c h n i c a l S u p p o r t Ty l e r S a l e s Cl i e n t E x e c u t i v e S p o n s o r Cl i e n t S t e e r i n g C o m m i t t e e Cl i e n t P r o j e c t M a n a g e r Cl i e n t F u n c t i o n a l L e a d s Cl i e n t C h a n g e M a n a g e m e n t L e a d s Cl i e n t P o w e r U s e r s Cl i e n t D e p a r t m e n t H e a d s Cl i e n t E n d U s e r s Cl i e n t T e c h n i c a l Le a d s Cl i e n t P r o j e c t T o o l s e t C o o r d i n a t o r Cl i e n t U p g r a d e C o o r d i n a t o r Provide final data extract C I I A C I I I I R Provide final extract balancing Reports I I A C R I Convert and deliver final pass of data A I I R I I I C Validate final pass of data I C C I A C R C Load final conversion pass to Production environment I I I A C I C R Exhibit D 69 4.6.24.6.24.6.24.6.2 Production Processing & AssistanceProduction Processing & AssistanceProduction Processing & AssistanceProduction Processing & Assistance Tyler staff collaborates with Augusta-Richmond County during Production Cutover activities. Augusta-Richmond County transitions to Tyler software for day-to day business processing. RACI MATRIX KEY: RRRR = Responsible AAAA = Accountable CCCC = Consulted IIII = Informed STAGE 5STAGE 5STAGE 5STAGE 5 Tyler Internal Tyler Internal Tyler Internal Tyler Internal Coordination & PlanningCoordination & PlanningCoordination & PlanningCoordination & Planning TYLER CLIENT TASKS Ty l e r E x e c u t i v e M a n a g e r Ty l e r I m p l e m e n t a t i o n M a n a g e r Ty l e r P r o j e c t M a n a g e r Ty l e r I m p l e m e n t a t i o n C o n s u l t a n t Ty l e r D a t a C o n v e r s i o n E x p e r t s Ty l e r F o r m s & R e p o r t s E x p e r t s Ty l e r C u s t o m i z a t i o n P r o g r a m m e r s Ty l e r Te c h n i c a l S u p p o r t Ty l e r S a l e s Cl i e n t E x e c u t i v e S p o n s o r Cl i e n t S t e e r i n g C o m m i t t e e Cl i e n t P r o j e c t M a n a g e r Cl i e n t F u n c t i o n a l L e a d s Cl i e n t C h a n g e M a n a g e m e n t L e a d s Cl i e n t P o w e r U s e r s Cl i e n t D e p a r t m e n t H e a d s Cl i e n t E n d U s e r s Cl i e n t T e c h n i c a l L e a d s Cl i e n t P r o j e c t T o o l s e t C o o r d i n a t o r Cl i e n t U p g r a d e C o o r d i n a t o r Production processing C C I I A R R R R R R I I Provide production assistance A R C I C C C C C C Exhibit D 70 4.6.34.6.34.6.34.6.3 Transition to Tyler SupportTransition to Tyler SupportTransition to Tyler SupportTransition to Tyler Support Tyler Project Manager(s) introduce Augusta-Richmond County to the Tyler Support team, who provides Augusta-Richmond County with day-to-day assistance following Production Cutover. RACI MATRIX KEY: RRRR = Responsible AAAA = Accountable CCCC = Consulted IIII = Informed STAGE 5STAGE 5STAGE 5STAGE 5 Tyler Internal CoordinationTyler Internal CoordinationTyler Internal CoordinationTyler Internal Coordination & Planning& Planning& Planning& Planning TYLER CLIENT TASKS Ty l e r E x e c u t i v e M a n a g e r Ty l e r I m p l e m e n t a t i o n M a n a g e r Ty l e r P r o j e c t M a n a g e r Ty l e r I m p l e m e n t a t i o n C o n s u l t a n t Ty l e r D a t a C o n v e r s i o n E x p e r t s Ty l e r F o r m s & R e p o r t s E x p e r t s Ty l e r C u s t o m i z a t i o n P r o g r a m m e r s Ty l e r T e c h n i c a l Su p p o r t Ty l e r S a l e s Cl i e n t E x e c u t i v e S p o n s o r Cl i e n t S t e e r i n g C o m m i t t e e Cl i e n t P r o j e c t M a n a g e r Cl i e n t F u n c t i o n a l L e a d s Cl i e n t C h a n g e M a n a g e m e n t L e a d s Cl i e n t P o w e r U s e r s Cl i e n t D e p a r t m e n t H e a d s Cl i e n t E n d U s e r s Cl i e n t T e c h n i c a l L e a d s Cl i e n t P r o j e c t T o o l s e t Co o r d i n a t o r Cl i e n t U p g r a d e C o o r d i n a t o r Develop internal support plan I A R C C C C C C C Conduct transfer to Support meeting A I C R C C C C I I C I I Exhibit D 71 4.6.44.6.44.6.44.6.4 Schedule PostSchedule PostSchedule PostSchedule Post----PPPProduction Services, if applicableroduction Services, if applicableroduction Services, if applicableroduction Services, if applicable Tyler provides post-production services if included in the Agreement. Prior to scheduling services, the Tyler Project Manager(s) collaborate with the Augusta-Richmond County Project Manager(s) to identify needs. RACI MATRIX KEY: RRRR = Responsible AAAA = Accountable CCCC = Consulted IIII = Informed STAGE 5STAGE 5STAGE 5STAGE 5 Tyler Internal Coordination & PlanningTyler Internal Coordination & PlanningTyler Internal Coordination & PlanningTyler Internal Coordination & Planning TYLER CLIENT TASKS Ty l e r E x e c u t i v e M a n a g e r Ty l e r I m p l e m e n t a t i o n M a n a g e r Ty l e r P r o j e c t M a n a g e r Ty l e r I m p l e m e n t a t i o n C o n s u l t a n t Ty l e r D a t a C o n v e r s i o n E x p e r t s Ty l e r Fo r m s & R e p o r t s E x p e r t s Ty l e r C u s t o m i z a t i o n P r o g r a m m e r s Ty l e r T e c h n i c a l S u p p o r t Ty l e r S a l e s Cl i e n t E x e c u t i v e S p o n s o r Cl i e n t S t e e r i n g C o m m i t t e e Cl i e n t P r o j e c t M a n a g e r Cl i e n t F u n c t i o n a l L e a d s Cl i e n t C h a n g e M a n a g e m e n t L e a d s Cl i e n t P o w e r U s e r s Cl i e n t De p a r t m e n t H e a d s Cl i e n t E n d U s e r s Cl i e n t T e c h n i c a l L e a d s Cl i e n t P r o j e c t T o o l s e t C o o r d i n a t o r Cl i e n t U p g r a d e C o o r d i n a t o r Identify topics for post-production services C C A R I C I Schedule services for post-production topics A R I C C I C I Exhibit D 72 4.6.54.6.54.6.54.6.5 Control Point 5: Production Cutover Stage AcceptanceControl Point 5: Production Cutover Stage AcceptanceControl Point 5: Production Cutover Stage AcceptanceControl Point 5: Production Cutover Stage Acceptance Acceptance criteria for this Stage includes all criteria listed below. Advancement to the Phase/Project Closure Stage is dependent upon Tyler’s receipt of this Stage Acceptance. 4.6.5.14.6.5.14.6.5.14.6.5.1 Production Cutover Stage DeliverablesProduction Cutover Stage DeliverablesProduction Cutover Stage DeliverablesProduction Cutover Stage Deliverables · Final data conversion, if applicable o Objective: Ensure (in Scope) Legacy System data is available in Tyler software in preparation for production processing. o Scope: Final passes of all conversions completed in this Phase. o Acceptance criteria: Data is available in production environment. · Support transition documents o Objective: Define strategy for on-going Tyler support. o Scope: Define support strategy for day-to-day processing, conference call with Augusta- Richmond County Project Manager(s) and Tyler support team, define roles and responsibilities, define methods for contacting support. o Acceptance criteria: Augusta-Richmond County receives tools to contact support and understands proper support procedures. 4.6.5.24.6.5.24.6.5.24.6.5.2 Production Cutover Stage Acceptance CriteriaProduction Cutover Stage Acceptance CriteriaProduction Cutover Stage Acceptance CriteriaProduction Cutover Stage Acceptance Criteria · Final data conversion(s) delivered · Processing is being done in Tyler production · Transition to Tyler support is completed · Post-live services have been scheduled, if applicable Exhibit D 73 4.74.74.74.7 Phase/Project Closure (Stage Phase/Project Closure (Stage Phase/Project Closure (Stage Phase/Project Closure (Stage 6)6)6)6) Project or Phase closure signifies full implementation of all products purchased and encompassed in the Phase or Project. Augusta-Richmond County moves into the next cycle of their relationship with Tyler (next Phase of implementation or long-term relationship with Tyler Support). 4.7.14.7.14.7.14.7.1 Close Phase/ProjectClose Phase/ProjectClose Phase/ProjectClose Phase/Project Augusta-Richmond County and Tyler Project Manager(s) review the list of outstanding Project activities and develop a plan to address them. The Tyler Project Manager(s) review the Project budget and status of each contract Deliverable with the Augusta-Richmond County Project Manager(s) prior to closing the Phase or Project. RACI MATRIX KEY: RRRR = Responsible AAAA = Accountable CCCC = Consulted IIII = Informed STAGE 6STAGE 6STAGE 6STAGE 6 Tyler Internal Coordination & PlanningTyler Internal Coordination & PlanningTyler Internal Coordination & PlanningTyler Internal Coordination & Planning TYLER CLIENT TASKS Ty l e r E x e c u t i v e M a n a g e r Ty l e r I m p l e m e n t a t i o n M a n a g e r Ty l e r P r o j e c t M a n a g e r Ty l e r I m p l e m e n t a t i o n C o n s u l t a n t Ty l e r D a t a C o n v e r s i o n E x p e r t s Ty l e r F o r m s & R e p o r t s E x p e r t s Ty l e r C u s t o m i z a t i o n P r o g r a m m e r s Ty l e r T e c h n i c a l S u p p o r t Ty l e r S a l e s Cl i e n t Ex e c u t i v e S p o n s o r Cl i e n t S t e e r i n g C o m m i t t e e Cl i e n t P r o j e c t M a n a g e r Cl i e n t F u n c t i o n a l L e a d s Cl i e n t C h a n g e M a n a g e m e n t L e a d s Cl i e n t P o w e r U s e r s Cl i e n t D e p a r t m e n t H e a d s Cl i e n t E n d U s e r s Cl i e n t T e c h n i c a l L e a d s Cl i e n t P r o j e c t T o o l s e t C o o r d i n a t o r Cl i e n t U p g r a d e Co o r d i n a t o r Review outstanding Project activities and develop action plan A R C C C I C I C Review Project budget and status of contract Deliverables A R I I C Exhibit D 74 4.7.24.7.24.7.24.7.2 Control Point 6: Phase/Project Control Point 6: Phase/Project Control Point 6: Phase/Project Control Point 6: Phase/Project Closure Stage AcceptanceClosure Stage AcceptanceClosure Stage AcceptanceClosure Stage Acceptance Acceptance criteria for this Stage includes all criteria listed below. This is the final acceptance for the Phase/Project. 4.7.2.14.7.2.14.7.2.14.7.2.1 Phase/Project Closure Stage DeliverablesPhase/Project Closure Stage DeliverablesPhase/Project Closure Stage DeliverablesPhase/Project Closure Stage Deliverables · Phase/Project reconciliation report o Objective: Provide comparison of contract Scope and Project budget. o Scope: Contract Scope versus actual, analysis of services provided and remaining budget, identify any necessary Change Requests or Project activity. o Acceptance criteria: Acceptance of services and budget analysis and plan for changes, if needed. 4.7.2.24.7.2.24.7.2.24.7.2.2 Phase/Project Closure Stage Acceptance CriteriaPhase/Project Closure Stage Acceptance CriteriaPhase/Project Closure Stage Acceptance CriteriaPhase/Project Closure Stage Acceptance Criteria · Outstanding Phase or Project activities have been documented and assigned · Phase/final Project budget has been reconciled · Tyler Deliverables for the Phase/Project are complete Exhibit D 75 5555 RoleRoleRoleRoles and Responsibilitiess and Responsibilitiess and Responsibilitiess and Responsibilities 5.15.15.15.1 Tyler Roles and ResponsibilitiesTyler Roles and ResponsibilitiesTyler Roles and ResponsibilitiesTyler Roles and Responsibilities Tyler assigns Project Manager(s) prior to the start of each Phase of the project. The Project Manager assigns additional Tyler resources as the schedule develops and as needs arise. One person may fill multiple project roles. 5.1.15.1.15.1.15.1.1 Tyler Executive ManagementTyler Executive ManagementTyler Executive ManagementTyler Executive Management · Provides clear direction for Tyler staff on executing on the project deliverables to align with satisfying Augusta-Richmond County’s overall organizational strategy · Authorizes required project resources · Resolves all decisions and/or issues not resolved at the implementation management level as part of the escalation process · Offers additional support to the project team and is able to work with other Tyler department managers in order to escalate and facilitate implementation project tasks and decisions · Acts as the counterpart to the Augusta-Richmond County’s executive sponsor 5.1.25.1.25.1.25.1.2 Tyler Implementation ManagementTyler Implementation ManagementTyler Implementation ManagementTyler Implementation Management · Acts as the counterpart to the Augusta-Richmond County steering committee · Assigns initial Tyler project personnel · Works to resolve all decisions and/or issues not resolved at the project Management level as part of the escalation process · Attends Augusta-Richmond County steering committee meetings as necessary · Provides support for the project team · Provides management support for the project to ensure it is staffed appropriately and staff have necessary resources · Monitors project progress including progress towards agreed upon goals and objectives 5.1.35.1.35.1.35.1.3 Tyler Tyler Tyler Tyler Project ManagerProject ManagerProject ManagerProject Manager The Tyler Project Manager(s) provides oversight of the project, coordination of resources between departments, management of the project budget and schedule, effective risk and issue management, and is the primary point of contact for all project related items. · Contract Management o Validates contract compliance throughout the project o Ensures Deliverables meet contract requirements o Acts as primary point of contact for all contract and invoicing questions o Prepares and presents contract milestone sign-offs for acceptance by Augusta-Richmond County Project Manager(s) o Coordinates Change Requests, if needed, to ensure proper Scope and budgetary compliance · Planning Exhibit D 76 o Updates and deliver Implementation Management Plan o Defines project tasks and resource requirements o Develops initial project schedule and full scale Project Plan o Collaborates with the Augusta-Richmond County Project Manager(s) to plan and schedule project timelines to achieve on-time implementation · Implementation Management o Tightly manages Scope and budget of project; establishes process and approval matrix with Augusta-Richmond County to ensure Scope changes and budget planned versus actual are transparent and handled effectively and efficiently o Establishes and manages a schedule and resource plan that properly supports the project Plan as a whole that is also in balance with Scope/budget o Establishes risk/issue tracking/reporting process between Augusta-Richmond County and Tyler and takes all necessary steps to proactively mitigate these items or communicates with transparency to Augusta-Richmond County any items that may negatively impact the outcomes of the project o Collaborates with the Augusta-Richmond County’s Project Manager(s) to establish key business drivers and success indicators that will help to govern project activities and key decisions to ensure a quality outcome of the project o Sets a routine communication plan that will aide all project team members, of both Augusta- Richmond County and Tyler, in understanding the goals, objectives, current status and health of the project · Team Management o Acts as liaison between project team and Tyler manager(s) o Identifies and coordinates all Tyler resources across all modules, Phases, and activities including development, conversions, forms, installation, reports, implementation, and billing o Provides direction and support to project team o Builds partnerships among the various stakeholders, negotiating authority to move the project forward o Manages the appropriate assignment and timely completion of tasks as defined in the project Plan, task list, and Production Cutover checklist o Assesses team performance and adjusts as necessary o Interfaces closely with Tyler developers to coordinate program Modification activities o Coordinates with in Scope 3rd party providers to align activities with ongoing project tasks 5.1.45.1.45.1.45.1.4 Tyler Implementation ConsultantTyler Implementation ConsultantTyler Implementation ConsultantTyler Implementation Consultant · Completes tasks as assigned by the Tyler Project Manager(s) · Performs problem solving and troubleshooting · Follows up on issues identified during sessions · Documents activities for on site services performed by Tyler · Provides conversion Validation and error resolution assistance · Recommends guidance for testing Forms and Reports · Tests software functionality with the Augusta-Richmond County following configuration · Assists during Production Cutover process and provides production support until Augusta-Richmond County transitions to Tyler Support · Provides product related education Exhibit D 77 · Effectively facilitates training sessions and discussions with Augusta-Richmond County and Tyler staff to ensure adequate discussion of the appropriate agenda topics during the allotted time · Conducts training (configuration, process, conversion Validation) for Power Users and the Augusta- Richmond County’s designated trainers for End Users · Clearly documents homework tasks with specific due dates and owners, supporting and reconciling with the final project plan · Keeps Tyler Project Manager(s) proactively apprised of any and all issues which may result in the need for additional training, change in schedule, change in process decisions, or which have the potential to adversely impact the success of the project prior to taking action 5.1.55.1.55.1.55.1.5 Tyler SaTyler SaTyler SaTyler Salesleslesles · Provide Sales background information to Implementation during Project Initiation · Support Sales transition to Implementation · Provide historical information, as needed, throughout implementation 5.1.65.1.65.1.65.1.6 Tyler Software SupportTyler Software SupportTyler Software SupportTyler Software Support · Manages incoming client issues via phone, email, and online customer incident portal · Documents and prioritizes issues in Tyler’s Customer Relationship Management (CRM) system · Provides issue analysis and general product guidance · Tracks issues and tickets to timely and effective resolution · Identifies options for resolving reported issues · Reports and escalates defects to Tyler Development · Communicates with Augusta-Richmond County on the status and resolution of reported issues 5.1.75.1.75.1.75.1.7 5.25.25.25.2 AugustaAugustaAugustaAugusta----Richmond County Roles and ResponsibilitiesRichmond County Roles and ResponsibilitiesRichmond County Roles and ResponsibilitiesRichmond County Roles and Responsibilities Augusta-Richmond County resources will be assigned prior to the start of each Phase of the project. One person may be assigned to multiple project roles. 5.2.15.2.15.2.15.2.1 AugustaAugustaAugustaAugusta----Richmond County Executive SponsorRichmond County Executive SponsorRichmond County Executive SponsorRichmond County Executive Sponsor · Provides clear direction for the Project and how the Project applies to the organization’s overall strategy · Champions the project at the executive level to secure buy-in · Authorizes required project resources · Resolves all decisions and/or issues not resolved at the Augusta-Richmond County steering committee level as part of the escalation process · Actively participates in organizational change communications 5.2.25.2.25.2.25.2.2 AugustaAugustaAugustaAugusta----Richmond CountyRichmond CountyRichmond CountyRichmond County Steering CommitteeSteering CommitteeSteering CommitteeSteering Committee · Works to resolve all decisions and/or issues not resolved at the Project Manager level as part of the escalation process Exhibit D 78 · Attends all scheduled steering committee meetings · Provides support for the project team · Assists with communicating key project messages throughout the organization · Prioritizes the project within the organization · Provides management support for the project to ensure it is staffed appropriately and staff have necessary resources · Monitors project progress including progress towards agreed upon goals and objectives · Has the authority to approve or deny changes impacting the following areas: o Cost o Scope o Schedule o Project Goals o Augusta-Richmond County Policies 5.2.35.2.35.2.35.2.3 AugustaAugustaAugustaAugusta----Richmond CountyRichmond CountyRichmond CountyRichmond County Project ManagerProject ManagerProject ManagerProject Manager Augusta-Richmond County shall assign Project Manager(s) prior to the start of this project with overall responsibility and authority to make decisions related to project Scope, scheduling, and task assignment, and communicates decisions and commitments to the Tyler Project Manager(s) in a timely and efficient manner. When the Augusta-Richmond County Project Manager(s) do not have the knowledge or authority to make decisions, he or she engages the correct resources from Augusta-Richmond County to participate in discussions and make decisions in a timely fashion to avoid project delays. · Contract Management o Validates contract compliance throughout the project o Ensures invoicing and Deliverables meet contract requirements o Acts as primary point of contact for all contract and invoicing questions o Signs off on contract milestone acknowledgment documents o Collaborates on and approves Change Requests, if needed, to ensure proper Scope and budgetary compliance · Planning o Reviews and acknowledge Implementation Management Plan o Defines project tasks and resource requirements for County project team o Collaborates in the development and approval of the initial Project Plan and Project Plan o Collaborates with Tyler Project Manager(s) to plan and schedule project timelines to achieve on- time implementation · Implementation Management o Tightly manages project budget and Scope and collaborates with Tyler Project Manager(s) to establish a process and approval matrix to ensure Scope changes and budget planned versus actual are transparent and handled effectively and efficiently o Collaborates with Tyler Project Manager to establish and manage a schedule and resource plan that properly supports the project Plan, as a whole, that is also in balance with Scope/budget o Collaborates with Tyler Project Manager(s) to establishes risk/issue tracking/reporting process between the Augusta-Richmond County and Tyler and takes all necessary steps to proactively Exhibit D 79 mitigate these items or communicates with transparency to Tyler any items that may impact the outcomes of the project o Collaborates with Tyler Project Manager(s) to establish key business drivers and success indicators that will help to govern project activities and key decisions to ensure a quality outcome of the project o Routinely communicates with both Augusta-Richmond County staff and Tyler, aiding in the understanding of goals, objectives, current status, and health of the project by all team members · Team Management o Acts as liaison between project team and stakeholders o Identifies and coordinates all Augusta-Richmond County resources across all modules, Phases, and activities including data conversions, forms design, hardware and software installation, reports building, and satisfying invoices o Provides direction and support to project team o Builds partnerships among the various stakeholders, negotiating authority to move the project forward o Manages the appropriate assignment and timely completion of tasks as defined in the project plan, task list, and production cutover checklist o Assesses team performance and takes corrective action, if needed o Provides guidance to Augusta-Richmond County technical teams to ensure appropriate response and collaboration with Tyler technical support teams to ensure timely response and appropriate resolution o Coordinates in Scope 3rd party providers to align activities with ongoing project tasks 5.2.45.2.45.2.45.2.4 AugustaAugustaAugustaAugusta----Richmond Richmond Richmond Richmond County Functional LeadsCounty Functional LeadsCounty Functional LeadsCounty Functional Leads · Makes business process change decisions under time sensitive conditions · Communicates existing business processes and procedures to Tyler consultants · Assists in identifying business process changes that may require escalation · Attends and contributes business process expertise for current/future state analysis sessions · Identifies and includes additional subject matter experts to participate in current/future state analysis sessions · Provides business process change support during Power User and End User training · Completes performance tracking review with client project team on End User competency on trained topics · Provides Power and End Users with dedicated time to complete required homework tasks · Acts as an ambassador/champion of change for the new process. · Identifies and communicates any additional training needs or scheduling conflicts to the Augusta- Richmond County Project Manager · Prepares and Validates Forms · Actively participates in all aspects of the implementation, including, but not limited to, the following key activities: o Task completion o Stakeholder Presentation o Implementation Management Plan development o Schedule development o Maintenance and monitoring of risk register Exhibit D 80 o Escalation of issues o Communication with Tyler project team o Coordination of Augusta-Richmond County resources o Attendance at scheduled sessions o Change Management activities o Customization specification, demonstrations, testing and approval assistance o Conversion Analysis and Verification Assistance o Decentralized End User Training o Process Testing o User Acceptance Testing 5.2.55.2.55.2.55.2.5 AugustaAugustaAugustaAugusta----Richmond County Power UsersRichmond County Power UsersRichmond County Power UsersRichmond County Power Users · Participate in project activities as required by the project team and Project Manager(s) · Provide subject matter expertise on Augusta-Richmond County business processes and requirements · Act as subject matter experts and attend current/future state and validation sessions as needed · Attend all scheduled training sessions · Participate in all required post-training processes as needed throughout project · Participate in conversion Validation · Test all Application configuration to ensure it satisfies business process requirements · Become Application experts · Participate in User Acceptance Testing · Adopt and support changed procedures · Complete all Deliverables by the due dates defined in the Project Plan · Demonstrate competency with Tyler products processing prior to Production Cutover · Provide knowledge transfer to Augusta-Richmond County staff during and after implementation 5.2.65.2.65.2.65.2.6 AugustaAugustaAugustaAugusta----Richmond County End UsersRichmond County End UsersRichmond County End UsersRichmond County End Users · Attend all scheduled training sessions · Become proficient in Application functions related to job duties · Adopt and utilize changed procedures · Complete all Deliverables by the due dates defined in the Project Plan · Utilize software to perform job functions at and beyond Production Cutover 5.2.75.2.75.2.75.2.7 AugustaAugustaAugustaAugusta----Richmond County Technical SupportRichmond County Technical SupportRichmond County Technical SupportRichmond County Technical Support · Coordinates updates and releases with Tyler as needed · Coordinates the copying of source databases to training/testing databases as needed for training days · Extracts and transmits conversion data and control reports from Augusta-Richmond County’s Legacy System per the conversion schedule set forth in the Project Plan · Coordinates and adds new users and printers and other Peripherals as needed · Validates all users understand log-on process and have necessary permission for all training sessions · Coordinates Interface development for Augusta-Richmond County 3rd party Data Exchanges. · Develops or assists in creating Reports as needed Exhibit D 81 · Ensures onsite system hardware meets specifications provided by Tyler · Assists with software deployment as needed 5.2.85.2.85.2.85.2.8 AugustaAugustaAugustaAugusta----Richmond County Upgrade CoordinatorRichmond County Upgrade CoordinatorRichmond County Upgrade CoordinatorRichmond County Upgrade Coordinator · Becomes familiar with the Software Upgrade process and required steps · Becomes familiar with Tyler’s releases and updates · Utilizes Tyler Community to stay abreast of the latest Tyler releases and updates, as well as the latest helpful tools to manage the Augusta-Richmond County’s Software Upgrade process · Assists with the Software Upgrade process during implementation · Manages Software Upgrade activities post-implementation · Manages Software Upgrade plan activities · Coordinates Software Upgrade plan activities with Augusta-Richmond County and Tyler resources · Communicates changes affecting users and department stakeholders · Obtains department stakeholder sign-offs to upgrade production environment 5.2.95.2.95.2.95.2.9 AugustaAugustaAugustaAugusta----Richmond County Project Toolset CoordinatorRichmond County Project Toolset CoordinatorRichmond County Project Toolset CoordinatorRichmond County Project Toolset Coordinator · Ensures users have appropriate access to Tyler project toolsets such as Tyler University, Tyler Community, Tyler Product Knowledgebase, SharePoint, etc. · Conducts training on proper use of toolsets · Validates completion of required assignments using toolsets 5.2.105.2.105.2.105.2.10 AugustaAugustaAugustaAugusta----Richmond County Change Management LeadRichmond County Change Management LeadRichmond County Change Management LeadRichmond County Change Management Lead · Validates users receive timely and thorough communication regarding process changes · Provides coaching to Supervisors to prepare them to support users through the project changes · Identifies the impact areas resulting from project activities and develops a plan to address them proactively · Identifies areas of resistance and develops a plan to reinforce the change · Monitors post-production performance and new process adherence Exhibit D 82 6666 Custom Integrations/EnhancementsCustom Integrations/EnhancementsCustom Integrations/EnhancementsCustom Integrations/Enhancements 6.16.16.16.1 Proposed Custom Integrations/Enhancements for AugustaProposed Custom Integrations/Enhancements for AugustaProposed Custom Integrations/Enhancements for AugustaProposed Custom Integrations/Enhancements for Augusta----Richmond Richmond Richmond Richmond CouCouCouCountyntyntynty 6.1.16.1.16.1.16.1.1 FiFa IntegrationFiFa IntegrationFiFa IntegrationFiFa Integration Modification Scope Eagle Recorder will create an integration point for the VCS tax system (Augusta-Richmond’s current tax system, so that FiFa processes and documents can be recorded in Eagle. Additionally, VCS will need an update once the documents are recorded to change statuses of FiFa documents and processes. At a high level, the process will be as follows: an extract (delimited file) from VCS will be placed in a directory. This file will be picked up from Eagle Recorder and sent through the proper workflow to be cashiered, indexed (optional), and verified. Upon completion of workflow, Eagle Recorder will place a file in the same location for VCS to pick up and update the FiFa database table. Analyst Scope · Our analysts will work with the county staff to determine what fields will be received from VCS. o Our analyst will work with the Eagle Recorder Development team to define the format for the file. Delimiters will be added for documents that might have multiple instances of information, if present. Development Scope · Upon receiving a list of defined fields and confirming the format with the county, Tyler will write a “converter” that maps the values to PRIA formats and allows the documents to be placed in the currently supported workflows. This includes cashiering, index, and verify. · Automatic receipting is an option. o If House Account selections vary per transaction, development will need to update our submission process to disable the automatic receipting, to allow for the county staff to select a house account in the cashiering workflow step. · Eagle Recorder will write a file back to the location to provide document numbers, book/page, and recording date That can be used to update VCS with the appropriate information. Exhibit D 83 Modification Scope Implementation Scope: · Implementation Consultant will update the client environment with the release version that has this functionality. · Implementation Consultant will configure the G2G processes, selecting the new converter and receipting options. · Implementation Consultant will demo and review with client the functionality. · Implementation Consultant will train County Power Users on functionality. · County to test functionality. · Implementation Consultant to move to production and transition to Tyler Support Team. Assumptions of Limitation of Scope 1. This integration will work for FiFa processes with the VCS tax system. 2. The integration between iasWorld and Eagle Recorder (for FiFa processes) may differ. IMPACT OF MODIFICATION Schedule Tyler will work with the client to schedule the indicated work after the signed agreement has been received. The completion of this Modification Request does not affect project closure and may be delivered post Go Live as defined in the SOW. Resources Multiple resources from Tyler’s development and implementation teams may be involved as appropriate. Exhibit D 84 6.1.26.1.26.1.26.1.2 Rekey Verification EnhancementsRekey Verification EnhancementsRekey Verification EnhancementsRekey Verification Enhancements Modification Scope Eagle Recorder will enhance the behavior of the verification process, so that the order in which names (e.g, grantee/grantor) are verified does not constitute as an error or mistake for the indexer. This will also improve reporting attached to this process. Development scope 1. Enhance the rekey verification process so that when a value is entered, the system checks all values from the indexing presentation to find a match, rather than the next value in the list. a. If the user enters a value not in the list, display a comparison for the user. (e.g., all values that have not yet been matched). b. Update reporting for indexing errors and user productivity to calculate errors based on the changes above. 2. When statistics are gathered, the following will information will be collected: a. Values that are spelled incorrectly (not found in list) will show as changes/errors. b. Values that have been deleted will show as deletions/ errors. c. Values that have been added will show as omissions/ errors. d. Values that find a positive match in the list will show as correct. 3. Rekey features will be quality tested by an analyst on the development team. Implementation Scope 1. Re-Key will be configured as part of the original scope agreement. a. Fields that need to be configured will be identified during the Current Future State Analysis. 2. The Implementation Consultant and Project Manager will work with the client to schedule and complete the follow tasks: User Acceptance Testing, End User Training, and Production Cutover Support for the work defined in this agreement, as referenced in the SOW. Assumptions of Limitation of Scope 1. The functionality and reporting described in the scope above is specific to names where multiple instance may occur. IMPACT OF MODIFICATION Schedule Tyler will work with the client to schedule the indicated work after the signed agreement has been received. The completion of this Modification Request will be part of a post-go live deliverable as referenced in the SOW. Exhibit D 85 Resources There will be resources assigned from the Tyler Eagle Recorder Development Team and an assigned Eagle Recorder Implementation Consultant. 6.1.36.1.36.1.36.1.3 Email Copy EnhancementEmail Copy EnhancementEmail Copy EnhancementEmail Copy Enhancement Modification Scope Tyler will add functionality to Eagle Recorder to allow official records to either be printed at the counter or emailed. This development will allow copy products to be more flexible in Self Service for in-office copy requests of land records, specifically for email copies and allow for different fees to be charged. Development scope 1. Add the ability to support both regular copy products and email copy products to the Self Service configuration for the Kiosk environment. 2. Allow the public to select what type of copies they would like to receive at the counter (hardcopies or an email with PDF). 3. If the email option is selected on the Self Service Kiosk, require the user to enter in their email address. 4. When this request is processed in the Eagle Recorder Self Service queue by the county staff, the request will have the correct copy product selected. 5. For hardcopies, this will operate as it does today, allowing the staff to process the receipt, and print the copies 6. For email copies, the public’s email will copy from the Self Service request to the receipting screen. 7. Once the receipt is processed successfully for email copies, an email will generate and will include the public’s receipt, as well as the copies (in PDF format) for the transaction. Implementation Scope 1. Implementation Consultant will configure the Email Copy Document Copy Product and set up the product to represent the fees and journal codes as communicated by the county. 2. Implementation Consultant will update Self Service configuration to enable this product. 3. Implementation Consultant will test the fees and journal codes associated with the new Email Copy Product to ensure they are working properly and validate with County. This process will follow the User Acceptance Testing as defined in the SOW. 4. Implementation Consultant will train the county on new processes for emailing documents. Exhibit D 86 Assumptions of Limitation of Scope 1. This specific email feature will only work in Kiosk environments. 2. Emailing copies directly from Self Service is not included in this scope. All copies will be routed to the counter to process by county staff. 3. The emailing feature for copies will behave the same as emailing receipts through Eagle Recorder works today. IMPACT OF MODIFICATION Schedule Tyler will work with the client to schedule the indicated work after the signed agreement has been received. The completion of this Modification Request does not affect project closure. Resources Multiple resources from Tyler’s Development and Professional Services teams may be involved as appropriate. Exhibit D 87 7777 GlossaryGlossaryGlossaryGlossary Word or TermWord or TermWord or TermWord or Term DefinitionDefinitionDefinitionDefinition AccountableAccountableAccountableAccountable The person who is ultimately accountable for decisions being made on a task. ApplicationApplicationApplicationApplication A computer program designed to perform a group of coordinated functions, tasks or activities for the benefit of the user. Build BlueprintBuild BlueprintBuild BlueprintBuild Blueprint A document recording future state decisions intended to allow Tyler to satisfy business needs/requirements during the Build & Validate Stage through configuration and setups to develop the final solution. A means for the Augusta-Richmond County to Validate what was agreed to be in Scope has been Delivered. Business Requirements Business Requirements Business Requirements Business Requirements DocumentDocumentDocumentDocument A specification document used to describe Augusta-Richmond County requirements not available through Tyler software functionality, which will lead to a Modification with Augusta-Richmond County acceptance. Change ControlChange ControlChange ControlChange Control A systematic approach for managing change governing how Change Requests will be received, assessed and acted on. Change ManagementChange ManagementChange ManagementChange Management An approach for ensuring that changes are thoroughly and smoothly implemented and that the lasting benefits of change are achieved. The focus is on the global impact of change with an intense focus on people and how individuals and teams move from the current situation to the new one. Change Change Change Change RequestRequestRequestRequest A form used as part of the Change Control process whereby changes in the Scope of work, timeline, resources, and/or budget are revised and agreed upon by participating parties. ConsultedConsultedConsultedConsulted Anyone who must be consulted with prior to a decision being made and/or the task being completed ConsumablesConsumablesConsumablesConsumables Items that are used on a recurring basis, usually by Peripherals. Examples: paper stock or scanner cleaning kits. Control PointControl PointControl PointControl Point Occurring at the end of each Stage, the Control Point serves as a formal client review point. Project progress cannot continue until the client acknowledges the agreed upon Deliverables of the Stage have been met, or agree on an action plan to make the Deliverable acceptable and move to next Stage while executing final steps of current Stage. Data ExchangeData ExchangeData ExchangeData Exchange A term used to reference Imports and Exports, and Interfaces which allow data to be exchanged between an external system and Tyler software. Data MappingData MappingData MappingData Mapping The process of mapping fields from the Legacy System to the appropriate location in the new system from one or more sources. DeliverableDeliverableDeliverableDeliverable A tangible or intangible object/document produced as a result of the Project that is intended to be delivered to a client (either internal or external) or vendor at a specific time. End UserEnd UserEnd UserEnd User The person for whom the software is designed to use on a day-to-day basis. Exhibit D 88 FormsFormsFormsForms A document which is typically printed on a template background and only captures data for one record per page. Forms are provided to entity customers whether internal (employees) or external (citizens). Functional RequirementsFunctional RequirementsFunctional RequirementsFunctional Requirements Functional Requirements are listed in Schedule 2 attached to this SOW. ImportsImportsImportsImports and and and and ExportsExportsExportsExports A process within the system that a user is expected to run to consume (Import) or produce (Export) a specifically defined file format/layout. InformedInformedInformedInformed Anyone who will be updated when decisions are made or a task is completed. InstallInstallInstallInstall References the initial Installation of software files on client servers and preparing the software for use during configuration. The version currently available for general release will always be used during the initial Install. InterfaceInterfaceInterfaceInterface A real-time or automated exchange of data between two systems. Legacy Legacy Legacy Legacy SystemSystemSystemSystem The system from which a client is converting. ModificationModificationModificationModification Modification of software program package to provide individual client requirements documented within the Scope of the Agreement. PeripheralsPeripheralsPeripheralsPeripherals An auxiliary device that connects to and works with the computer in some way. Examples: mouse, keyboard, scanner, external drive, microphone, speaker, webcam, and digital camera. PhasePhasePhasePhase A portion of the Project in which specific set of related products are typically implemented. Phases each have an independent start, Production Cutover and closure dates but use the same Implementation Plans as other Phases within the Project. Phases may overlap or be sequential and may have the same Tyler Project Manager and Tyler project team or different individuals assigned. Power UserPower UserPower UserPower User An experienced client person or group who is (are) an expert(s) in the client business processes, as well as knowledgeable in the requirements and acceptance criteria. Production CutoverProduction CutoverProduction CutoverProduction Cutover The Augusta-Richmond County is using the Tyler software to conduct daily operations. ProjectProjectProjectProject The Project includes all implementation activity from Plan & Initiate to Closure for all products, Applications and functionality included in a single Agreement. The Project may be broken down into multiple Phases. Project PlanProject PlanProject PlanProject Plan The Project Plan serves as the master roadmap for the Project. The Project Plan will be the detailed task list of the essential activities to be performed to complete the Project. Each activity will have owner(s), participant(s) if applicable, start date, and due dates. The Project Plan is a living document and will be updated quarterly with the detailed tasks Exhibit D 89 for the next future quarter; only high level tasks with rough timeframes will be plotted out beyond this. Project Planning MeetingProject Planning MeetingProject Planning MeetingProject Planning Meeting Occurs during the Plan & Initiate Stage to coordinate with the Client Project Manager to discuss Scope, information needed for project scheduling and resources. RACIRACIRACIRACI A chart describing level of participation by various roles in completing tasks or Deliverables for a Project or process. Also known as a responsibility assignment matrix (RAM) or linear responsibility chart (LRC). ReportsReportsReportsReports Formatted to return information related to multiple records in a structured format. Information is typically presented in both detail and summary form for a user to consume. ResponsibleResponsibleResponsibleResponsible The person who will be completing the task. ScopeScopeScopeScope Products and services that are included in the Agreement. Software UpgradeSoftware UpgradeSoftware UpgradeSoftware Upgrade References the act of updating software files to a newer software release. StageStageStageStage The top-level components of the WBS. Each Stage is repeated for individual Phases of the Project and requires acknowledgement before continuing to the next Stage. Some tasks in the next Stage may begin before the prior Stage is complete. Stakeholder PresStakeholder PresStakeholder PresStakeholder Presentationentationentationentation Representatives of the Tyler implementation team will meet with key client representatives to present high level project expectations and outline how Tyler and the Client can successfully partner to create an environment for a successful implementation. StandardStandardStandardStandard Included in the base software (out of the box) package. Statement of Work (SOW)Statement of Work (SOW)Statement of Work (SOW)Statement of Work (SOW) Document which will provide supporting detail to the Agreement defining project -specific activities and Deliverables Tyler will provide to the client. Validation (or to validate)Validation (or to validate)Validation (or to validate)Validation (or to validate) The process of testing and approving that a specific Deliverable, process, program or product is working as expected. Work Breakdown Structure Work Breakdown Structure Work Breakdown Structure Work Breakdown Structure (WBS)(WBS)(WBS)(WBS) A hierarchical representation of a Project or Phase broken down into smaller, more manageable components. Exhibit D 90 8888 Eagle Recorder Conversion SummaryEagle Recorder Conversion SummaryEagle Recorder Conversion SummaryEagle Recorder Conversion Summary 8.18.18.18.1 Eagle Recorder Eagle Recorder Eagle Recorder Eagle Recorder –––– StandardStandardStandardStandard · All standard fields for land records, additional fields added to Notes field · Conversion from Single System · Images associated to the index records All standard fields for land records, additional fields added to Notes field · All standard fields for marriage records, additional fields added to Notes field · All standard fields for death records, additional fields added to Notes field Exhibit D Schedule 1 91 Exhibit D Schedule 1 System Requirements [Set Forth on Following Page] Exhibit D Schedule 1 92 Exhibit D Schedule 1 93 Exhibit D Schedule 1 94 Exhibit D Schedule 1 95 Exhibit D Schedule 1 96 Exhibit D Schedule 1 97 Exhibit D Schedule 1 98 Exhibit D Schedule 1 99 Exhibit D Schedule 1 100 Exhibit D Schedule 1 101 Exhibit D Schedule 1 102 Exhibit D Schedule 2 103 Exhibit D Schedule 2 Functional Requirements For all of the requirements listed on the following pages, the vendor is expected to respond in the column on the right according to the following parameters: Y Vendor is fully compliant with the requirement. If the vendor is partially compliant, they should indicate “N” rather than “Y”, and include an explanation. N Vendor is not currently compliant with the requirement and does not plan to be compliant for the foreseeable future. Please note that a response of “N” will generally not disqualify a vendor from this process. M Software currently does not meet the requirement but this can be done as a modification at no cost. M$xxx Software currently does not meet the requirement but this can be done as a modification for an additional cost. The vendor should indicate in the “xxx” what the estimated cost will be. F The software does not meet the requirement but the feature is under development and will be provided at a future date at no additional cost. If this code is used, an estimated date of availability should be supplied as well (e.g. F 8/1/2018). N/A Does not Apply (Based on the vendor’s specific solution, this is not applicable). For example, questions referring to data being hosted offsite would not apply to vendors offering a solution to be served from the Augusta IT computer room. Please note: Augusta reserves the right to automatically disqualify for consideration any vendor that is found to have answered these questions falsely with the intent to deceive in order to artificially enhance their chances of becoming the vendor of choice for this project. Exhibit D Schedule 2 104 1. Augusta Software Technology Contract Requirements Note to Vendor(s): This section is necessarily thorough in order to ensure compliance with Augusta’s prevailing technical environment. It is given that many of the items in the requirements list below may not apply to this specific solution; thus there is no penalty for a response that indicates the requirement is not applicable (N/A) for the specific situation. Several items that have no bearing on the potential response have been deleted from these requirements but others remain. Please respond appropriately and accurately. ID Requirements Response IT-1 Database Type and Schema IT-1-1 The proposed solution is: 1) A Client/Server or Intranet Browser-Based solution that utilizes an Oracle or an MS SQL Server database. 2) An Intranet Browser-Based solution that utilizes an Oracle or an MS SQL Server database. 3) A SaaS solution hosted by the Vendor. Y - 1 for the general application; 2 for Eagle Self-Service provided for public access IT-1-2 The vendor must provide an updated copy of the production database schemas for the purpose of understanding the system and generating reports. The vendor must provide current updates if/when the schemas change. This includes a data dictionary that explains table and field names, as well as identification of primary and foreign keys. Y - Tyler can update the database schema in the test environment with approximately what will be used in production prior to Go Live if Tyler is selected. Any schema changes can be reviewed in the test environment. In addition, the County will have the ability to create their own user- defined reports through the integrated Report Writer. IT-2 Database features for Archiving, Testing, Restore, and Data Integrity IT-2-1 It must be possible to restore a historical backup of the database and do a forward recovery. Y IT-2-2 Editing controls should be in place to protect data integrity by ensuring that incomplete or incorrect data cannot be entered or processed and that entries cannot be processed in the wrong sequence. Y IT-2-3 Software should able to archive and purge selected information in order to remove historical records that are not required to be retained permanently. Provides the ability to archive/purge based on date range and/or facility. Y Exhibit D Schedule 2 105 ID Requirements Response IT-2-4 Vendor should provide for a solution that permits a production environment and a test environment to reside on the same server so that upgrades and service packs can be tested prior to being implemented in production. There shall be no additional license or maintenance fees for the test system as it will be used solely for testing purposes. Augusta certifies that no production work shall take place on this server unless it is through mutual consent with the vendor and recorded in writing. Y IT-3 System Security IT-3-1 The system must include security that logs all database transactions, recording user, date and time. Y IT-3-2 Access to the system must be protected by unique user identification codes and passwords. Y IT-3-3 Software must allow assignment of access privileges by user for each system module. Y IT-3-4 The proposed software allows the System Administrator to create user “profiles” that allow granting security rights to various functions of the system. Each user can also be given read/write or read-only access to the function, where applicable. Each user can be attached to a specific profile, which gives them all of the rights of the particular group. They can also change the specific rights for any individual user. Y IT-3-5 Software offers security feature to grant/deny access to software functions for each user. Security should be configurable down to the level of each individual module, menu choice, table, or column, depending on vendor’s system architecture. Y IT-3-6 The software provides the ability to set up a user with inquiry- only access. Y IT-3-7 Software should not require users to have administrative rights to their PC in order to run the program or execute most functions. Y IT-4 Software Architecture and System Integration IT-4-1 Software will provide an audit trail of user/date/time when records are added/modified/deleted. Y IT-4-2 More than one user may update the database at the same time, in the same program. A record locking feature must prevent the loss of data when two or more users are updating the same record. Y IT-4-3 The system should use admin tables so that common information can be stored in one place and accessed from multiple modules? Y Exhibit D Schedule 2 106 ID Requirements Response IT-4-4 The proposed software allows users to set and maintain business rules for their prospective modules. Example: maximum number of participants in an activity (which may be unlimited), age limits, ability to register if they have an outstanding balance due, suspensions, etc. Y/M – After receipting, Eagle Recorder allows configuration of conditional workflows based on business rules. Development would be required to limit the number of participants in an activity. IT-4-5 Any menus, toolbar items, and buttons that are unavailable are grayed out rather than designated by “button/function not available” or other error messages that impede work- flow. Y IT-4-6 The system allows data to be shared among the different modules. This data sharing can be restricted based on user security. Example: System should have one place to store customer names and addresses, etc. Y IT-4-7 Software offers the ability to attach scanned or imported documents (in their native format) to records stored in the database. Example: scanned birth certificates, driver’s license, floor plans, pictures and layouts (in PDF, TIF, JPG, other formats), MS Office documents, CAD Drawings, etc. Y – The Eagle system stores documents as group IV compression, TIF images. Other types can be automatically converted using the built in converter. MS Office documents would need to be converted to PDF. CAD drawings can be stored, depending on the format they are saved in. IT-5 Interfaces IT-5-1 The software must have a GUI interface that provides a flexible, menu-driven environment from which the user invokes system functions. Y IT-5-2 Menus in the GUI should have a consistent “look and feel”, meaning a common arrangement of menus, buttons, boxes, etc. that are the same from one menu to another. Y IT-5-3 The proposed software must stay current with the latest releases of Microsoft Operating Systems (64-Bit) and Microsoft Office 365. Y - This is included in the Annual Maintenance Agreement. There are no additional charges. IT-5-4 Vendor intends to maintain compatibility with future updates/ modifications to Microsoft Operating Systems and Office 365 such that the software will be compatible with updates and service packs within six months after their release. Y - This is included in the Annual Maintenance Agreement. There are no additional charges. Exhibit D Schedule 2 107 ID Requirements Response IT-5-5 There must be an interface for the World Wide Web available to enable end-users and/or the public to have inquiry-only access to the data stored in the vendor’s system. Y IT-5-6 It is preferred that the software operate from a standard Internet browser (preferably Microsoft Internet Explorer) such that, in most cases, no software is required on the users’ desktop. It is permissible for hardware (digital cameras, PDAs, other handheld devices) to require software installations on the client workstations. If a pure browser- based solution is not available, then please describe the solution that your company provides. Y – Eagle’s Self-Service public access module operates in standard internet browsers including Microsoft Internet Explorer. The desktop application operates like a thin- client. It is installed on the server and downloaded to workstations. The java version is downloaded from the server to allow easy java updates on individual workstations without affecting the software. IT-6 Vendor Presentation IT-6-1 If selected to present their product to the selection committee, the vendor should be prepared to have all of their software modules ready for presentation. A vendor may be disqualified if modules / products that are “in development” or otherwise not ready to present or implement are represented as being complete in this RFP. Y IT-6-2 Vendor should make every effort to demonstrate features LIVE in the presentation to effectively illustrate their product. Examples include being prepared to scan and/or print a document if that is an integral part of a business process. Y IT-7 Maintenance and Support IT-7-1 Augusta does not expect to pay maintenance on any product in the 1st year. Billable maintenance will begin on the anniversary of the “go live date”. A response to this question indicating that the vendor will not honor Augusta’s expectation here may result in immediate disqualification. N – Maintenance and support fees on Tyler’s Eagle software shall commence fifteen (15) months from the Effective Date. IT-7-2 The Vendor provides a toll-free telephone number for technical support. It is expected that support will be available during normal business hours. Y Exhibit D Schedule 2 108 ID Requirements Response IT-7-3 Please describe levels of technical support and the turnaround time for help desk calls expected at each level. Attach additional sheet(s) as necessary to explain your Service Level Agreement (SLA). Y - See Support and Maintenance section of this response IT-7-4 Vendor has a semi/bi/annual user group meeting or conference for customers. Y – Tyler has an annual Connect conference for users. IT-7-5 Upgrades of software are covered under annual maintenance (stated another way: We will not have to re-buy the next version of the software). Y IT-7-6 Vendor shall be on-site during the official “Go-Live” of the software unless Augusta specifically agrees that they need not be present. Y IT-7-7 Vendor commits to certify their product(s) to work with the most current version of Microsoft’s Operating System (OS) within six months of the actual release date of Microsoft’s OS product. Y – See hardware specifications. IT-8 Vendor Connectivity IT-8-1 What methodology does the vendor propose to use to connect remotely to a server hosting their software, but located within our firewall? Any method used must be approved by Augusta IT. Y – Eagle uses Bomgar and/or remote desktop to connect remotely to the server. IT-8-2 If the vendor desires to connect to Augusta’s network through remote electronic means or through on-site activity, then the vendor shall sign the Augusta Information Technology Third- Party Vendor Access Agreement. This document shall be made part of any licensing, services, or maintenance contract(s) between Augusta and the vendor. A response to this RFP indicates that the vendor will sign the agreement, thereby agreeing to the stipulations and consequences therein. Vendors that will not sign the agreement should not reply to this RFP, and will be summarily disqualified if they later refuse to sign. The Agreement is attached to this RFP. Y – Tyler has agreed to and executed Augusta’s Vendor Remote Access Agreement as Exhibit H to the License and Services Agreement effective June 29, 2017. IT-9 Entirety of Agreement Exhibit D Schedule 2 109 ID Requirements Response IT-9-1 All documents, scopes of work, costs, and activities related to the project are expected to be included as part of the contract signed between Augusta and the chosen vendor. Change Order Management will be explicitly covered under the contract provisions in order to protect Augusta from unexpected costs and to protect the vendor from post- contract additions/requests from Augusta, but as a general rule it is expected that Augusta will have no additional expenses other than what is spelled out in the final contract. Y – documents, scopes of work, costs, and activities related to the implementation of Tyler’s Eagle Recorder software are set forth in Exhibit C-1 Statement of Work (Eagle Recorder); provided that additional professional services may be incurred in the future (e.g., for the integration between Eagle Recorder and iasWorld). IT-9-2 All support will be provided entirely by the vendor making this proposal. Augusta desires one point of contact for support for the proposed application(s) rather than dealing with multiple third-party vendors. Y – Eagle’s Support is included as a part of maintenance. We recommend calling the support queue for the quickest response. IT-10 Conversion and Interfaces IT-10-1 The entire cost of the conversion of data will be included in the final contract if conversion of data is necessary. This cost is not necessary as part of the vendor’s original bid, but will be REQUIRED prior to the signing of any contract. Y IT-10-2 The entire cost of all interfaces to and from the vendor’s product will be included as part of the final contract. This cost is not necessary as part of the vendor’s original bid, but will be REQUIRED prior to the signing of any contract. Y IT-11 General Technical Requirements IT-11-1 The proposed solution is compatible with operating across a wide area network. Please indicate minimum required level of connectivity (DSL, LAN, etc.) Y - Please see hardware specifications IT-11-2 Vendor should indicate recommended client workstation requirements. Y - Please see hardware specifications IT-11-3 Vendor should indicate the recommended server requirements for various components as necessary (application, database, web, and storage/SAN, etc) Y - Please see hardware specifications Exhibit D Schedule 2 110 ID Requirements Response IT-11-4 Vendor should include list of specialized equipment required for their solution, to include cards and/or peripherals such as touch screens, cash drawers, receipt printers, microphones, speakers, camera, etc, bar code readers and/or magnetic stripe readers, etc. (as needed / if applicable). Y - Please see hardware specifications IT-11-5 Vendor should indicate any 3rd party software that is required to work with their solution, including DirectX, Java, Adobe software, media players, etc. The Version number of each software should be included as well. Y - Please see hardware specifications IT-11-6 Server should operate on a Microsoft Windows-based Server unless otherwise specified. Y IT-11-7 Server should be capable of operating in a Virtual Environment. The current Augusta standard is VMWare. Y IT-11-8 If there are mobile features / modules, vendor should provide customer references that are using the modules and be prepared to demonstrate them. Y IT-11-9 The proposed solution must meet the requirements of the Payment Card Industry Data Security Standard (PCI DSS) so as to ensure a secure environment. Y – The integrated credit card solution and partner for Eagle is BridgePay, a PCI compliant company. IT-11-10 The proposed solution must be framed under an unlimited license model. Y IT-11-11 The proposed solution must be able to integrate with Active Directory for sign-on purposes. Y IT-12 General Report Characteristics IT-12-1 All reports within the software have the ability to be viewed on screen, printed, or output as RTF, Excel Spreadsheet, HTML, Text or PDF files. In addition, all reports can be emailed as an RTF, Excel Spreadsheet, HTML, Text or PDF attachment. Y - Reports within the Eagle system can be viewed on screen, printed, or output in many formats including PDF, Text, and CSV. Reports can also be configured to email. Exhibit D Schedule 2 111 ID Requirements Response IT-12-2 In addition to the standard reports, a report writer must be available to produce ad-hoc and customized reports. Further, the system must permit reporting via a third party report writer, such as Crystal Reports, or SQL Report. Y - Eagle Recorder offers over 100 standard reports. The County has the ability to create their own user-defined reports through the integrated Report Writer; additionally, Tyler support staff can assist the county with most report requests. On occasion, the client may require a custom report to be created, but this is limited, as we provide over one hundred standard, comprehensive reports, as part of the installation of Eagle Clerk. In those cases, Tyler will review the requirements and provide a cost to build the report. Due to the built-in report writer, we have found it is not necessary to report via third party reporting such as Crystal Reports or SQL. 2. Software Contract Requirements specific to the Clerk of Court Note to Vendor(s): This section is necessarily thorough in order to ensure compliance with the operations and business processes of the Clerk of Court. ID Requirements Response COC-1 Admin COC-1-1 The Vendor must provide an Administration & End-User training manual for all aspects of the system. Y - Tyler uses training videos to provide high- level application Exhibit D Schedule 2 112 ID Requirements Response training. Specific county training is provided as part of Tyler’s formal onsite training. In addition to this training, Tyler offers two tools in lieu of a manual: 1. In the application there is a Help area which provides application assistance; 2. On Tyler Community, there is a Wiki/Blog which allows Tyler users to connect and collaborate, sharing stories and best practices. Tyler will also write blog entries. COC-1-2 The proposed solution must allow for the Addition & Editing of exemption reasons to be entered in the cashiering module. Y COC-1-3 The proposed solution must allow for the Addition & Editing of arrival methods in the cashiering module. Y - Tyler’s understanding of this requirements is that the County would like to capture how the document arrived at the County (i.e. over the counter, mail, etc.). Based on this understanding, a drop- down field can be figured, allowing the user to choose the arrival method. COC-1-4 The proposed solution must allow for the Addition & Editing of print costs to be entered for copies/e-mails related to public access. Y COC-1-5 The proposed solution must allow for the Addition & Editing of firms & firm information (draw down accounts). Y COC-1-6 The proposed solution must allow for the Addition & Editing of end-users. Y COC-1-7 The proposed solution must allow for the Addition & Editing of documents and fee schedules. Y Exhibit D Schedule 2 113 ID Requirements Response COC-1-8 The proposed solution must allow for the Activation & Deactivation of book names and page counts. Y/M$ - Eagle Recorder allows the addition and activation of book names. Custom Development would be required for deactivating book names. Tyler needs further clarification on what is meant by Page Counts. If this is referring to the number of pages in a Book, the answer is Y. COC-1-9 The proposed solution must be configured to set specific System Permissions for end-user access. Y COC-1-10 The proposed solution must display the “Edit Good Through Date” for public access. Y - This is called Proof Date in Eagle Recorder. Once all documents have been verified for a day, the date is updated as part of the daily process. This date can be displayed on the public search screen. COC-1-11 The proposed solution must allow for the Addition & Editing of municipalities and mill rates. Y COC-1-12 The proposed solution must allow for the Indexing & Verification of permissions for each document type. Y COC-1-13 The proposed solution must provide a Report of permissions for end-users. Y – This information is stored in a table, which can be extracted. COC-1-14 The proposed solution must allow for the Add/Modify/Delete of subdivision lists specific to Index & Verify. Y COC-2 Accounting COC-2-1 The proposed solution must possess the ability to generate fee totals into a data file that can be exported from this solution and imported into the current accounting program. Y COC-2-2 The proposed solution must possess the ability for transactions to be receipted and fees calculated based on the current guidelines from GSCCCA and any future legislation. Y Exhibit D Schedule 2 114 ID Requirements Response COC-2-3 The proposed solution must possess the ability for “mill rates for transfer tax” and ”intangible tax distributions” to be incorporated within the software so as to calculate the distribution within the deposit transaction. Y COC-2-4 The proposed solution must possess the ability to create an E-file report that matches with the ACH deposit information for any customer. Y COC-3 Recording (Cashier) COC-3 The Recording (Cashier) module must possess the following capabilities, characteristics, or fields as indicated below. Please simply indicate in the response field whether this capability exists or not. COC-3-1 First page labels print with instrument number, barcode, Instrument code, book & page number, file date, recorded date & time, Clerk’s info, County info, intangible tax paid, transfer tax paid, and recording fee paid. Y COC-3-2 Notes section for internal use only. Y COC-3-3 Copy from Previous Entry for all fields (defaults). Y COC-3-4 Ability to track arrival method (dropdown list). Y COC-3-5 Ability to track submitter name, address, member, and drawdown balance. Y COC-3-6 Ability to track return name & address. Y COC-3-7 Ability to track charge document type. Y COC-3-8 Ability to track number of pages. Y COC-3-9 Ability to track number of cross references. Y COC-3-10 Ability to apply amount to drawdown. Y COC-3-11 Ability to track execution date. Y COC-3-12 Ability to track maturity date. Y COC-3-13 Ability to replicate. Y COC-3-14 Ability to apply exemptions and overrides for recording charges (dropdown list). Y COC-3-15 Property information - municipalities with options to override and exempt city distributions. Y COC-3-16 Intangible tax consideration - options to override and exempt. Y COC-3-17 Transfer tax consideration - options to override and exempt. Y COC-3-18 Intangible tax due (system calculates). Y COC-3-19 Intangible penalty (system calculates). Y COC-3-20 Intangible interest (system calculates). Y Exhibit D Schedule 2 115 ID Requirements Response COC-3-21 Add PT-61 control number (3 parts) County Number (121): auto generated, Year (2018); auto generated, control number entered by cashier. A separate label to print with instrument number, barcode, Instrument code, book & page number, file date, recorded date & time, Clerks info, county info, and PT-61 number. Y COC-3-22 Ability to protest intangible tax, penalty, interest, and show status. Y – Tyler provides the ability to make adjustments to previously receipted documents, including the adjustment of financial information, through several best- practice approaches. Once these changes are approved, they can be applied and will be reflected in the system and available for auditing. Tracking can be done during the Cashiering process through parameters and manual fee adjustments. COC-3-23 Payment methods: cash, check, credit card, and drawdown account Y COC-3-24 Ability to allow drawdown accounts to go into the negative if permitted. Y COC-3-26 Ability to print a receipt. Y COC-3-27 Ability to auto-print a deposit receipt. Y COC-4 E-Recording COC-4 The E-Recording module must possess the following capabilities, characteristics, or fields as indicated below. Please simply indicate in the response field whether this capability exists or not. COC-4-1 Default arrival method: E-File. Y COC-4-2 Filer. Y COC-4-3 File Date. Y COC-4-4 GSCCCA identification number. Y COC-4-5 Status. Y COC-4-6 User ID. Y Exhibit D Schedule 2 116 ID Requirements Response COC-4-7 Ticket number. Y COC-4-8 Download date. Y COC-4-9 Submitted date. Y COC-4-10 Last action. Y COC-4-11 Ability to acknowledge receipt if submitted by a self-filer. Y – Eagle recorder is compliant with PRIA eRecording standards and certified by GSCCCA. This requirement is fulfilled through polling. COC-4-12 Rotate & save image. Y COC-4-13 Modify size and location of clerk stamp. Y COC-4-14 Payment charge to account that is permitted to go into the negatives. Y COC-4-15 Ability to edit charge type (document type). Y COC-4-16 Ability to edit number of pages being recorded. Y COC-4-17 Ability to edit amount charged. Y COC-5 Modify Transaction (Ticket) COC-5-1 The proposed solution must provide the ability to search for a transaction by the following. Please simply indicate in the response field whether this capability exists or not. COC-5-1-1 Ticket number. Y COC-5-1-2 Instrument number. Y COC-5-1-3 Book/Page. Y COC-5-1-4 ORS batch number. N/A COC-5-1-5 POS receipt number. Y COC-5-1-6 CFN. Y – Tyler is not familiar with this specific acronym, but searching is available via Receipting if the data field is entered as part of the Cashiering process. COC-5-1-7 Check number. Y COC-5-1-8 Presented by. Y COC-5-1-9 Deposit date. Y COC-5-1-10 Deposit UserID. Y COC-5-1-11 Deposit Date & UserID. Y COC-5-2 The proposed solution must provide the ability to modify a transaction to include but not limited to the following. Exhibit D Schedule 2 117 ID Requirements Response Please simply indicate in the response field whether this capability exists or not. COC-5-2-1 Instrument number. Y COC-5-3 The proposed solution must provide the availability to modify the following from a previously posted transaction. Please simply indicate in the response field whether this capability exists or not. COC-5-3-1 Arrival method (dropdown list). Y COC-5-3-2 Submitter name, address, member, drawdown balance. Y COC-5-3-3 Return name & address. Y COC-5-3-4 Charge document type. Y COC-5-3-5 Number of pages. Y COC-5-3-6 Number of cross references. Y COC-5-3-7 Apply amount to drawdown. Y COC-5-3-8 Execution date. Y COC-5-3-9 Maturity date. Y COC-5-3-10 Replicate. Y COC-5-3-11 Exemptions and overrides (recording charges). Y COC-5-3-12 Property information - municipalities with options to override and exempt city distributions. Y COC-5-3-13 Intangible tax consideration - options to override and exempt. Y COC-5-3-14 Transfer tax consideration - options to override and exempt. Y COC-5-3-15 Intangible tax due (system calculates). Y COC-5-3-16 Intangible Penalty (system calculates). Y COC-5-3-17 Intangible Interest (system calculates). Y COC-5-3-18 Add PT-61 control number (3 parts) County Number (121): auto generated, Year (i.e. 2018); auto generated, control number entered by cashier. A separate label to print with instrument number, barcode, Instrument code, book & page number, file date, recorded date & time, Clerks info, county info, and PT-61 number. Y COC-5-3-19 Ability to protest intangible tax, penalty, interest, and show status. Y – See COC-3-22 COC-5-3-20 Payment methods: cash, check, credit card, and drawdown account. Y COC-5-3-21 Ability to view all scanned images for each instrument. Y COC-5-3-22 Ability to reprint a receipt and re-stamp pages due to corrections. Y COC-6 Drawer Management COC-6-1 The proposed solution must allow the drawer to be balanced by cash, check, and credit card. Y Exhibit D Schedule 2 118 ID Requirements Response COC-6-2 The proposed solution must auto-print a cashier balance report and a summary of charges report. Y COC-7 Scanning COC-7-1 The proposed solution must possess the ability to use dual monitors. Y COC-7-2 The proposed solution must possess the ability to batch scan by barcodes. Y COC-7-3 The proposed solution must possess the ability to scan by individual instrument. Y COC-7-4 The proposed solution must possess the ability to scan by book and page. Y COC-7-5 The proposed solution must possess the ability to replace images. Y COC-7-6 The proposed solution must possess the ability to delete images. Y COC-7-7 The proposed solution must possess the ability to delete instruments. Y COC-7-8 The proposed solution must possess the ability to insert intentionally blank pages with book & page stamp. Y COC-7-9 The proposed solution must possess the ability to scan simplex. Y COC-7-10 The proposed solution must possess the ability to scan duplex. Y COC-7-11 The proposed solution must possess the ability while scanning to skip blank pages. Y COC-7-12 The proposed solution must possess the ability to add pages. Y COC-7-13 The proposed solution must possess the ability to insert pages. Y COC-7-14 The proposed solution must possess the ability to delete pages. Y COC-7-15 The proposed solution must possess the ability to move pages up or down. Y COC-8 Index/Verify COC-8-1 The proposed solution must allow all data fields to be displayed & searched in Public Access. Y COC-8-2 The proposed solution must possess the ability to use dual monitors. Y COC-8-3 The proposed solution must possess the ability to retrieve instrument by clicking “get next” or by entering a valid instrument number. Y COC-8-4 The proposed solution must display the instrument number. Y Exhibit D Schedule 2 119 ID Requirements Response COC-8-5 The proposed solution must display the date recorded. Y COC-8-6 The proposed solution must display book and page numbers. Y COC-8-7 The proposed solution must possess a field for REV number. Y COC-8-8 The proposed solution must possess a field for Grantor or Direct Party. Depending on the instrument type, both free entry and a drop-down list would be beneficial. Y COC-8-9 The proposed solution must possess a field for Grantee or Reverse Party. Depending on the instrument type, both free entry and a drop-down list would be beneficial. Y COC-8-10 The proposed solution must possess free entry for Property Data Fields. Y COC-8-11 The proposed solution must possess a free-entry field for Phase. Y COC-8-12 The proposed solution must possess a free-entry field for Lot. Y COC-8-13 The proposed solution must possess a free-entry field for Block. Y COC-8-14 The proposed solution must possess a free-entry field for GMD. Y – Tyler is not familiar with this acronym, but can create or repurpose an entry field to capture textual data. Additional services may be required depending on the business rules. COC-8-15 The proposed solution must possess a free-entry field for Unit. Y COC-8-16 The proposed solution must possess a free-entry field for Subdivision Name (including a dropdown list as well). Y COC-8-17 The proposed solution must possess a free-entry field for Subdivision Comment. Y COC-8-18 The proposed solution must possess a free-entry field for Tax Map Number. Y COC-8-19 The proposed solution must possess a free-entry field for Street address. Y COC-8-20 The proposed solution must possess a free-entry field for Cross Reference. Y COC-8-21 The proposed solution must allow for the PT-61 control number to be carried over from cashiering. Y COC-8-22 The proposed solution must possess a field for Book Type (dropdown list). Y COC-8-23 The proposed solution must possess a free-entry field for Book number & Page number. Y Exhibit D Schedule 2 120 ID Requirements Response COC-8-24 The proposed solution must possess a free-entry field for notes that is specific for the cross reference. Y COC-8-25 The proposed solution must possess a free-entry field for Legal description for indexing notes (NOT in property data field) and Property info not in a subdivision. Y COC-8-26 The proposed solution must possess a free-entry field for Comment for lien instruments, and this must be searchable. Y COC-8-27 The proposed solution must provide OCR capabilities so that data can be copied and pasted from document to index fields. Y COC-8-28 The proposed solution must possess a Note field that carries any notes from cashiering over. This is for internal use, and it should NOT display in Public Access. Y COC-8-29 The proposed solution must allow the Return address to be modified. Y COC-8-30 The proposed solution should possess the ability that when an end-user is verifying an instrument, parties should not have to be entered in the exact order as indexed. M - Tyler can enhance the behavior of the verification process in Eagle Recorder as defined in the Statement of Work 6.1.2, so the order in which names (e.g, grantee/grantor) are verified does not constitute as an error or mistake for the indexer. This will also improve reporting attached to this process. COC-8-31 The proposed solution should possess the ability to suspend an instrument. Y COC-8-32 The proposed solution should possess an Admin ability to assign instruments in both index & verify. Y COC-8-33 The proposed solution should possess an Admin option to turn off blind verify. Y COC-9 Reports COC-9-1 The proposed solution must possess the ability to customize and create reports for any data in the system. Y COC-9-2 The proposed solution must possess the ability to generate reports to balance with all funds both individually and collectively. Y Exhibit D Schedule 2 121 ID Requirements Response COC-9-3 The proposed solution must possess the ability for cashiers to run a report by both UserID and by Date for cash drawer balances. Y COC-9-4 The proposed solution must possess the ability to run a Drawdown account transaction report (run by firm name & date/date range, includes all payments and charges for the account). Y COC-9-5 The proposed solution must possess the ability to run an Admin report regarding user statistics (run by all users, multiple users, date/date range, and time). Y COC-9-6 The proposed solution must possess the ability to run an Admin report on recording audit trail. Y COC-9-7 The proposed solution must possess the ability to run a work in progress report (run by date/date range and shows instruments completed/not completed). Search criteria should be as follows: status, not scanned, scanned not indexed, indexed not verified, and by book name/multiple books. Y COC-9-8 The proposed solution must possess the ability to run a suspended transactions report. Y COC-9-9 The proposed solution must possess the ability to run a Supplemental Deed Grantee - COTT Modification Index Report. Y – Eagle Recorder offers over 100 standard reports, including a Grantee Index. In addition, the County has the ability to create their own user-defined reports through the integrated Report Writer; additionally, Tyler support staff can assist the county with most report requests. On occasion, the client may require a custom report to be created, but this is limited, as we provide over one hundred standard, comprehensive reports, as part of the installation of Eagle Clerk In those cases, Tyler will review the requirements and Exhibit D Schedule 2 122 ID Requirements Response provide a cost to build the report. Due to the built-in report writer, we have found it is not necessary to report via third party reporting such as Crystal Reports or SQL. COC-9-10 The proposed solution must possess the ability to run a Supplemental Deed Grantor - COTT Modification Index Report. Y – Eagle Recorder offers over 100 standard reports, including a Grantor Index. In addition, the County has the ability to create their own user-defined reports through the integrated Report Writer; additionally, Tyler support staff can assist the county with most report requests. On occasion, the client may require a custom report to be created, but this is limited, as we provide over one hundred standard, comprehensive reports, as part of the installation of Eagle Clerk In those cases, Tyler will review the requirements and provide a cost to build the report. Due to the built-in report writer, we have found it is not necessary to report via third party reporting such as Crystal Reports or SQL. COC-9-11 The proposed solution must possess the ability to run a Cancelation and Assignments - COTT Modification Index Report. Y – Eagle Recorder offers over 100 standard reports. In addition, the County Exhibit D Schedule 2 123 ID Requirements Response has the ability to create their own user- defined reports through the integrated Report Writer; additionally, Tyler support staff can assist the county with most report requests. On occasion, the client may require a custom report to be created, but this is limited, as we provide over one hundred standard, comprehensive reports, as part of the installation of Eagle Clerk In those cases, Tyler will review the requirements and provide a cost to build the report. Due to the built-in report writer, we have found it is not necessary to report via third party reporting such as Crystal Reports or SQL. COC-9-12 The proposed solution must possess the ability to provide the Augusta Chronicle with a report for property transfers. This report is to be run by date/date range and it is to list the Grantor, Grantee, Instrument Type, Date Recorded, Book/Page, Legal Description, Revenue (Transfer tax), and the Tax/Parcel Number. Y – Eagle Recorder has this reporting capability. COC-10 Exporting COC-10-1 The proposed solution must possess the ability to Export index data (deeds, liens, and plats) to GSCCCA according to their standards as an automated process. Y COC-10-2 The proposed solution must possess the ability to Export images (deeds, liens, and plats) to GSCCCA according to their standards as an automated process. Y Exhibit D Schedule 2 124 ID Requirements Response COC-10-3 The proposed solution must possess the ability for a Fifa Processor to transfer data between the Clerk of Court’s Office and the Tax Commissioner’s Office. It is expected that this interface will be from Eagle to VCS Tax at the point of implementation, and then it will be from Eagle to iasWorld shortly thereafter. The interface needs to exist between both systems. The iasWorld interface needs to include the ability to interface both property tax FiFa records as well as FiFa records from separate fee billing(s). Per section 6.1.1 of the Statement of Work Tyler will satisfy this requirement as part of the project. Additional fees may apply from other products or vendors for their integration and/or development costs. COC-11 Public Access COC-11-1 The proposed solution must at a minimum possess the ability to search public records by the following fields. Please simply indicate in the response field whether this capability exists or not. COC-11-2 Name. Y COC-11-3 Book/Page. Y COC-11-4 REV Number. Y COC-11-5 Document Type. Y COC-11-6 Instrument Type. Y COC-11-7 Book Type (dropdown list). Y COC-11-8 Date Range (calendar). Y COC-11-9 Instrument Number. Y COC-11-10 1965-June 1986 COTT Search (pending conversion). Y – Through security setup. COC-11-11 The proposed solution should also provide for an advanced search by the following criteria: Book Type (dropdown list), Instrument Type (checklist), Book Number & Page Number, Name (Grantor/Grantee or Both) and Additional Parties (Grantor/Grantee or Both). This advanced search should be allowed to be narrowed by searching the following in addition to the above: Land District, Land Lot, Subdivision, Lot, Block, Unit, Date Range (calendar selection available), and Legal Description. Y COC-11-12 The proposed solution must possess the ability for a Print Queue (print jobs should be sent to a queue to be printed/e- mailed in batches). All print jobs are to be listed with the following information for each job: Document Type, Description (Book/Page & what pages of the document are to be printed), Number of Pages, Number of Copies, Print Cost, and Email Cost. Totals for all print jobs are to be given for Number of Pages, Print Cost, and Email cost. The Y – For printing. M - For emailing. Specification is defined in 6.1.3 for the Statement of Work. Exhibit D Schedule 2 125 ID Requirements Response solution must provide an option to delete individual as well as all print jobs from the queue. COC-11-13 The proposed solution must possess the following Payment Options. Please simply indicate in the response field whether this capability exists or not. COC-11-13-1 Cash: The customer enters First and Last Name and clicks print or Email (customer preference). The customer will then checkout with a cashier, the cashier will then release the print job for the customer. The print job is then printed to a public printer or Emailed to the address provided by the customer. Y COC-11-13-2 Draw down Account (If applicable): The customer enters their User Name, Firm Name (dropdown list), and PIN then clicks print or Email (customer preference). The print job is immediately printed to a public printer or Emailed to the address provided by the customer. Ability to go into the negative. Y COC-11-13-3 Firm Info: Drawdown account information is available to the customer at any time. The customer enters their User Name, Firm Name (dropdown list), PIN and selects a date range. All account activity is listed and printable for a fee. Y COC-11-14 The proposed solution must display Report Errors. Customers are to be able to report any error or problems with an index and/or image. These reported errors are viewable by Users for correction. Y COC-11-15 The proposed solution must possess a Help Guide. A help guide is to be provided to assist customers with the search program. Y COC-12 Public Employee User Options: COC-12-1 The proposed solution must possess a 1965-June 1986 COTT Search (pending conversion). Y – Through security setup. The client need for public searching can be addressed through configuration of Self Service. COC-12-2 The proposed solution must possess the ability to manage COTT instruments (for corrections) and create new COTT instruments from within Public Access. Y – Through security setup. Exhibit D Schedule 2 126 ID Requirements Response COC-12-3 The proposed solution must possess a Management Print Queue where print jobs can be viewed or resent as necessary. Y COC-12-4 The proposed solution must possess the ability to Manage Errors. Users are to be able to view reported errors to make corrections. After the correction is made, the error can then be deleted. Closed errors are to be searched with a date range (calendar selection available). Y COC-13 Other Requirements COC-13-1 The proposed solution must be certified by the Georgia Superior Court Clerk's Cooperative Authority (GSCCCA). Y COC-13-2 The vendor will cover all state-mandated changes to the system as part of the Annual Maintenance Agreement. There should be no additional charges as a result of state- mandated changes. Y COC-13-3 The proposed solution must possess the ability to add a watermark to certain printed documents indicating that the printed document is “unofficial.” Y COC-13-4 The proposed solution must possess the ability to add the following information at the top and/or bottom of any document(s) printed from Public Access: Instrument #, Book & Page #, Firm/Department Name, Firm/Department Member, Date and Time printed, Clerk’s Name, “Richmond County Clerk of Superior Court”, and “This document is not to scale.”. Y – Eagle Recorder has the ability to automatically or manually place electronic stamps on the document. These stamps can be placed anywhere on the document. There is the option to have multiple stamps, depending on the needs, which can be applied to the document. COC-13-5 The proposed solution must provide the ability to allow other county departments (Tax Assessor’s Office, Tax Commissioner’s Office, Planning & Development, Utilities, Engineering, etc.) to print to printers within their office when authorized. Y 127 Exhibit E Project Timeline Anticipated Project TimelineAnticipated Project TimelineAnticipated Project TimelineAnticipated Project Timeline The project is anticipated to take 9 months to implement from time of contract signing. If project is to kick-off on Nov 5, 2018, the anticipated cut over date to Eagle Recorder will be August 13, 2019. Actual dates will be agreed upon between Tyler and Augusta-Richmond during the project initiation step. Milestones and DurationsMilestones and DurationsMilestones and DurationsMilestones and Durations (Some milestones will be in parallel to others)(Some milestones will be in parallel to others)(Some milestones will be in parallel to others)(Some milestones will be in parallel to others) Project InitiationProject InitiationProject InitiationProject Initiation –––– 25 Days (11/5/2018 25 Days (11/5/2018 25 Days (11/5/2018 25 Days (11/5/2018 –––– 12/0712/0712/0712/07/2018)/2018)/2018)/2018) · Project will be initiated by Tyler Project Manager. This project and phase planning will provide an opportunity to review the contract, software, data conversions and services purchased, and discuss implementation timeframes. The Tyler Project Manager will deliver an Implementation Management Plan, which is mutually agreeable by County and Tyler. Analysis and DesignAnalysis and DesignAnalysis and DesignAnalysis and Design –––– 3 3 3 3 MonthMonthMonthMonths (12/10/2018 s (12/10/2018 s (12/10/2018 s (12/10/2018 –––– 03/01/201903/01/201903/01/201903/01/2019)))) · Through a questionnaire provided to the county and a site visit by Tyler consultant, Tyler will gather and document information related to County business processes for current/future state analysis as it relates to Tyler approach/solution. County participation in providing and gathering information will be critical. Install of Software Install of Software Install of Software Install of Software –––– 18 Days18 Days18 Days18 Days (03/04/2019 (03/04/2019 (03/04/2019 (03/04/2019 –––– 03/22/201903/22/201903/22/201903/22/2019)))) · Tyler Technical Services team will be responsible for the initial Installation of software files on client servers and preparing the software for use during configuration. The version currently available for general release will always be used during the initial Install. Conversion – 4 Months (3/11/2019 – 06/27/2019) · The County will be responsible to produce the needed data files from a static database for conversion from the Legacy System and provide them to Tyler on the specified due date(s). At the time the Legacy System data file is extracted, the County will produce reports and detail screen captures to reconcile the converted data. · Each Legacy System data file submitted for conversion includes all associated records in a single approved file layout. · The County will grant Tyler access to the Legacy System to assist with understanding data relationships to improve the accuracy and quality of the converted data. · The County understands the Legacy System data file must be in the same format each time unless changes are mutually agreed upon in advance. If not, negative impacts to the schedule, budget, and resource availability may occur and/or data in the new system may be incorrect. 128 · During this process, the County may need to correct data scenarios in their Legacy System prior to the final data pull. This is a complex activity and requires due diligence by the County to ensure all data pulled includes all required data and the Tyler system contains properly mapped data. Staging Application Staging Application Staging Application Staging Application –––– 2222 MonthMonthMonthMonths (04/08s (04/08s (04/08s (04/08/201/201/201/2019 9 9 9 –––– 06/14/201906/14/201906/14/201906/14/2019)))) · Tyler staff collaborates with the County to complete software configuration based on the outputs of the future state analysis performed during the Assess and Define Stage. Tyler staff will train the County Power Users to prepare them for the Validation of the software. The County collaborates with Tyler staff iteratively to Validate software configuration. User Acceptance User Acceptance User Acceptance User Acceptance –––– 11 Days11 Days11 Days11 Days (06/17/2019 (06/17/2019 (06/17/2019 (06/17/2019 –––– 06/27/201906/27/201906/27/201906/27/2019)))) · The County performs User Acceptance Testing to verify software readiness for day-to-day business processing. Tyler provides a Test Plan for users to follow to ensure proper Validation of the system. Training Training Training Training –––– 11 Days (07/22/2019 11 Days (07/22/2019 11 Days (07/22/2019 11 Days (07/22/2019 –––– 08/01/201908/01/201908/01/201908/01/2019)))) · 9 Days onsite training · Tyler is responsible for providing formal training on all functional areas of the software. · Tyler will conduct one (1) formal training session for each of the functional areas of the software. The functional areas covered will allow the County to utilize the software. · Tyler follows a train-the-trainer approach to allow County Power Users attending the sessions to disseminate the knowledge being learned during Tyler lead sessions to other County users, if county chooses. Gap Conversion and Final Testing Gap Conversion and Final Testing Gap Conversion and Final Testing Gap Conversion and Final Testing –––– 4 Days4 Days4 Days4 Days (08/09/2019 (08/09/2019 (08/09/2019 (08/09/2019 –––– 08/12/201908/12/201908/12/201908/12/2019)))) · The County provides final data extract and Reports from the Legacy System for data conversion and Tyler executes final data conversion. The County may need to manually enter into the Tyler system any data added to the Legacy System after final data extract. · During Final Testing and Training, Tyler and the County will review the final Cutover plan. A critical Project success factor is the County understanding the importance of Final Testing and Training and dedicating the resources required for testing and training efforts in order to ensure a successful Production Cutover GoGoGoGo----Live Live Live Live –––– 08/13/201908/13/201908/13/201908/13/2019 · County and Tyler resources complete tasks as outlined in the Production Cutover Plan and the County begins processing day-to-day business transactions in the Tyler software. Following production Cutover, the County transitions to the Tyler support team for ongoing support of the Application. 'iE J;ji_ 2;] rr,il?:5? Sole Source Justification (Reference Article 6, Procurement Source Selection Methods and Contract Awards, S 1-10-56 SOLE SOURCE PROCUREMENT Vendor: TylerTechnologies.lnc.E-Verify Number:4351 0 Commodity: Computer Software Estimated annual expenditure for the above commodity or service:$ 200,000.00 Initial all entries below that apply to the proposed purchase. Attach a memorandum containing complete justification and support documentation as directed in initialed entry. (More than one entry will apply to most sole source products/services requested). l.SOLE SOURCE REQUEST IS FOR THE ORIGINAL MANLIFACTURER OR PROVIDER, THERE ARE NO REGIONAL DISTRIBUTORS. (Attach the manufacturer's written certification that no regional distributors exist. Item no. 4 also must be completed.) SOLE SOURCE REQI,'EST IS FOR ONLY THE AUGUSTA GEORGIA AREA DISTRIBUTOR OF THE ORIGINAL MANIJ'FACTURER OR PROVIDER. (Attach the manufacturer's - not the distributor's - written certification that identifies all regional distributors. Item no. 4 also must be completed.) TTM PARTS/EQUIPMENT ARE NOT INTERCHANGEABLE WITH SIMILAR PARTS OF ANOTFER MANUFACTURER. (Explain in separate memorandum.) THIS IS THE ONLY KNOWN ITEM OR SERVICE THAT WILL MEET T}IE SPECIALIZED NEEDS OF THIS DEPARTMENT OR PERFORM THE INTENDED FUNCTION. (Attach memorandum with details of specialized function or application.) THE PARTS/EQUIPMENT ARE REQUIRED FROM THIS SOURCE TO PERMIT STANDARDIZATION. (Attach memorandum describing basis for standardization request.) NONE OF THE ABOVE APPLY. A DETAILED EXPLANATION AND JUSTIFICATION FOR THIS SOLE SOURCE REQUEST IS CONTAINED IN ATTACFIED MEMORANDUM. The undersigned requests that competitive procurement be waived and that the vendor identified as the supplier ofthe service or material described in this sole sourcejustification be authorized as a sole source for the service or material. Name: Department Head Si Approval Authority: Administrator Approval: (required - not required) COMMENTS:nt-t Ua ault55ta4 2. J. 4. 5. 6. Date: Rev.09/10/{2 'L[JUL 23 ru1?:57 Gary Hewett Deputy Director To: From: Subject: Datez MEGE[VED ADMINISTRATOR'S OFFICE JUL 2 4 2010 AUGUSTA.RICHMONg COUNTY fhe lnformationTechnology Department (lT) is requesting the approval to use vendorTyler Technologies to sole source the Eagle Recorder proje*tor the Clerk of CourtOffice. This project is to be fu nded through the lnformation Technology 2 0 1 8 and 2O 1 9 Capital Budget. The project cost is $200,000.00 peryear, estimated $400,000.00 upon completion. To ensure system compliance,TylerTechnologies is currently a certified vendor with the Georgia Superior Court Clerks' Cooperative Authority ( G S CCCA). fhe lnformation Technology Department is currently under contract with Tyler Technologies for the iasWorld projertwith theTax Commissioner's Office (TCO) and theTax Assessor's Office (TAO). The Eagle Recorder projectfor the Clerk of Court Office willintertace with iasWorld and their respective dep artments, The Eagle Recorder Projectis scheduled to go before the Augusta Commission for approval in August 2018, I am requestingyour approvalto proceedwith the sole source endeavor and require your signature below. Thankyou in adva Da,e: tf-ldApproved: I nformation Technology 535Telfair Street, Building 20OO Augusta, GA 30901 (706) 821-25)) - FM (706) 821-2530 vrww,AugustaGa.gov I N FO RMATI O N T ECH filGL(rc,r*f Tameka Allen Director Reggie Horne Deputy Director Ms. Janice Allen Jackson, Administrator /rAs, Geri Sams, Director of Procurement Ms. Tameka Allen, Director of lnformation I Requestfor Sole Source Approval - E"gl" Jaly 2O,2018 Janice Allen , Administrator Atrachment(s) Public Safety Committee Meeting 10/30/2018 1:10 PM Approve Contract with Tyler Technologies to implement Eagle Recorder for the Clerk of Court. Department:Information Technology Presenter:Reggie Horne, Deputy Director Caption:Approve contract with Tyler Technologies to implement Eagle Recorder for the Clerk of Superior, State & Juvenile Court. Background:The Richmond County Clerk of Court is mandated by the Georgia General Assembly to record deeds and to maintain the chain of title to all property in the county. That mandate requires standardization for how all deeds, liens, executions, lis pendens, maps and plats and all other documents concerning or evidencing title to real or personal property are to be recorded and managed by the Clerk of Superior Court. The system currently used by the Clerk of Court to maintain these property records is known as the County Document Imaging Management System (CDIMS) which is manufactured and supported by a vendor known as TEAMia. Unfortunately, the CDIMS product has fallen behind in terms of effectiveness, efficiency, modernization, and ease-of-use. In the near future, the Tax Assessor’s Office (TAO) and the Tax Commissioner’s Office (TCO) will begin using a product known as iasWorld that is manufactured and supported by Tyler Technologies to maintain a proper Tax Digest and to properly manage Customer Accounts and to create Tax Bills. The Eagle Recorder application interfaces seamlessly with these other products, and implementing eagle Recorder will create a more cohesive and unified Real Estate system across the City. Analysis:The goal of this project is to provide the Clerk of Superior Court with a modern application that meets the requirements related to the standardization of Real Estate Records as well as providing the Clerk of Court with an efficient and up-to-date system. Furthermore, this application will offer the Clerk of Court’s Office an opportunity to be more accessible and responsive to external and internal customer needs and more efficient in its operations. The implementation of this application will result in the following capabilities for the Clerk of Court: • Streamlining, automating, and integrating business processes and practices. • Providing tools to produce and access information in a real-time environment. • Enabling and empowering users to become more efficient, productive and responsive. • Successfully overcoming current challenges and meeting future goals. In addition to providing greater capabilities for the Clerk of Court’s Staff, better overall services to the General Public, and an integrated Real Estate Platform across the City, the implementation of this application will result in the estimated ongoing maintenance savings of about $50,000.00 per year when compared to the existing application used for Real Estate by the Clerk of Court. Financial Impact:Estimated cost is $400,000.00 and has been budgeted in IT Capital Funds. Estimated annual maintenance for this solution is $52,460.00. The ongoing maintenance will be funded through the IT Operating Budget. This is will required an annual increased funding level. Alternatives: Recommendation:Approve Contract with Tyler Technologies to implement Eagle Recorder for the Clerk of Superior, State & Juvenile Court. Funds are Available in the Following Accounts: This project is to be funded through the Information Technology Capital Budget. REVIEWED AND APPROVED BY: Finance. Procurement. Law. Administrator. Clerk of Commission Invitation to Bid Sealed bids will be received at this office until Friday, July 27, 2018 @ 11:00 a.m. for furnishing: Bid Item #18-241 Natural Gas Generator for Fire Station 9 for Augusta, GA – Fire Department Bids will be received by Augusta, GA Commission hereinafter referred to as the OWNER at the offices of: Geri A. Sams, Director Augusta Procurement Department 535 Telfair Street - Room 605 Augusta, Georgia 30901 Bid documents may be viewed on the Augusta, Georgia web site under the Procurement Department ARCbid. Bid documents may be obtained at the office of the Augusta, GA Procurement Department, 535 Telfair Street – Room 605, Augusta, GA 30901. Documents may be examined during regular business hours at the offices of Augusta, GA Procurement Department. A Mandatory Pre Bid Conference will be held on Thursday, July 12, 2018 @ 10:00 a.m. in the Procurement Department, 535 Telfair Street, Room 605. A Mandatory Site Visit to follow. All questions must be submitted in writing by fax to 706 821-2811 or by email to procbidandcontract@augustaga.gov to the office of the Procurement Department by Friday July 13, 2018 @ 5:00 P.M. No bid will be accepted by fax, all must be received by mail or hand delivered. The local bidder preference program is applicable to this project. To be approved as a local bidder and receive bid preference an eligible bidder must submit a completed and signed written application to become a local bidder at least thirty (30) days prior to the date bids are received on an eligible local project. An eligible bidder who fails to submit an application for approval as a local bidder at least thirty (30) days prior to the date bids are received on an eligible local project, and who otherwise meets the requirements for approval as a local bidder, will not be qualified for a bid preference on such eligible local project. No bids may be withdrawn for a period of sixty (60) days after bids have been opened, pending the execution of contract with the successful bidder. Invitation for bids and specifications. An invitation for bids shall be issued by the Procurement Office and shall include specifications prepared in accordance with Article 4 (Product Specifications), and all contractual terms and conditions, applicable to the procurement. All specific requirements contained in the invitation to bid including, but not limited to, the number of copies needed, the timing of the submission, the required financial data, and any other requirements designated by the Procurement Department are considered material conditions of the bid which are not waiveable or modifiable by the Procurement Director. All requests to waive or modify any such material condition shall be submitted through the Procurement Director to the appropriate committee of the Augusta, Georgia Commission for approval by the Augusta, Georgia Commission. Please mark BID number on the outside of the envelope. Bidders are cautioned that acquisition of BID documents through any source other than the office of the Procurement Department is not advisable. Acquisition of BID documents from unauthorized sources placed the bidder at the risk of receiving incomplete or inaccurate information upon which to base his qualifications. Correspondence must be submitted via mail, fax or email as follows: Augusta Procurement Department Attn: Geri A. Sams, Director of Procurement 535 Telfair Street, Room 605 Augusta, GA 30901 Fax: 706-821-2811 or Email: procbidandcontract@augustaga.gov No bid will be accepted by fax, all must be received by mail or hand delivered. GERI A. SAMS, Procurement Director Publish: Augusta Chronicle June 14, 21, 28, July 5, 2018 Metro Courier June 14, 2018 OFFICIAL VENDORS Anderson Power Services 2175 Jason Industrial Pkwy Winston, GA 30816 Pioneer GMC 120 Cessna Dr. Trenton, SC 29829 Hebbard Electric 2225 North Leg Road Augusta, GA 30909 Hi-Tech Power Systems 2479 Doug Bernard Pkwy Augusta, GA 30906 Coontinental Generators 60 Pelham Davis Circle Greenville, SC 29615 Attachment B YES YES YES E-Verify Number 497848 100591 138902 Addenum 1 YES YES YES SAVE Form YES YES YES Make Generac Generac Generac Model RG04854 RG04854ANAX RG04854ANAX Price 21,990.00 28,689.71 19,970.40 Make GENERAC Generac Generac Model RTSW200A3 RXSW200A3 RXSW200A3 Transfer Switch & Installation Price $3,415.00 $3,449.25 $6,101.00 Gas Line Installation and Material Price $4,900.00 $3,500.00 $8,751.00 Debris Removal Price $500.00 $2,029.63 $360.00 Natural Gas Generator Total Number Specifications Mailed Out: 15 Total Number Specifications Download (Demandstar): 5 Total Electronic Notifications (Demandstar): 81 Total Number of Specifications Mailed Out To Local Vendors: 5 Mandatory/ Pre-Bid/Telephone Conference attendees: 5 Total packages submitted: 3 Total Non-Compliant: 0 ITB Item #18-241 Natural Gas Generator for Fire Station 9 for Augusta, Fire Department RFP Date: Friday, July 27, 2018 @ 11:00 a.m. Transfer Switch Page 1 of 2 OFFICIAL VENDORS Anderson Power Services 2175 Jason Industrial Pkwy Winston, GA 30816 Pioneer GMC 120 Cessna Dr. Trenton, SC 29829 Hebbard Electric 2225 North Leg Road Augusta, GA 30909 Hi-Tech Power Systems 2479 Doug Bernard Pkwy Augusta, GA 30906 Coontinental Generators 60 Pelham Davis Circle Greenville, SC 29615 Total Number Specifications Mailed Out: 15 Total Number Specifications Download (Demandstar): 5 Total Electronic Notifications (Demandstar): 81 Total Number of Specifications Mailed Out To Local Vendors: 5 Mandatory/ Pre-Bid/Telephone Conference attendees: 5 Total packages submitted: 3 Total Non-Compliant: 0 ITB Item #18-241 Natural Gas Generator for Fire Station 9 for Augusta, Fire Department RFP Date: Friday, July 27, 2018 @ 11:00 a.m. Project Grand Total 30,805.00 37,668.59 35,182.40 Page 2 of 2 Public Safety Committee Meeting 10/30/2018 1:10 PM Generator for Station 9 Department:Fire Department Presenter:Chief Christopher E. James Caption:Motion to approve the purchase of a Natural Gas Generator at a cost of $30,805.00 for Fire Station 9 from Elite Energy Systems. Bid Item 18-241 Background:All fire stations have generators in case of power outages to allow continued operations. Station 9 is located at 3507 Walton Way Ext. Augusta, Ga. 30905 and its current generator is non- operational and cannot be repaired. Analysis:Three bids were submitted for RFP 18-241. Elite Energy Systems was the lowest bidder at a cost of $30,805.00 to complete the project. Financial Impact:The financial impact is $30,805.00 Alternatives:none Recommendation:Approve the purchase of a Natural Gas Generator for fire Station 9 from Elite Energy Systems for the price of $30,805.00. Funds are Available in the Following Accounts: fund balance REVIEWED AND APPROVED BY: Finance. Procurement. Law. Administrator. Clerk of Commission Public Safety Committee Meeting Commission Chamber - l0l9l20l8 ATTENDAI\CE: Present: Hons. D. Williams, Chairman; Smith, Vice Chairman; Jefferson and Sias, members. Absent: Hon. Hardie Davis, Jr., Mayor. PUBLIC SAFETY 1. Motion to accept and approve the allocation of funding for the Richmond Item County Sheriffs Office (RCSO) in the amount of $325,000 to implement the Action: Hazard Mitigation Grant program. Approved Motions Motion Type Approve Motion Text Motion to approve. Motion Passes Motion Text Motion to approve. Motion Passes 4-0. Made By Seconded By Motion Result Motion Result Commissioner Commissioner Sammie Sias Andrew Jefferson Passes 4-0. 2. Motion to approve the minutes of the Public Safety Committee held on Item September 25,2018. Action: Approved Motions Motion Type Approve Made By Seconded By 3. Motion to accept the Federal Fiscal Year 2019 VOCA Allocation Grant Award from the Criminal Justice Coordinating Council (CJCC) for the period Commissioner Commissioner Sammie Sias Andrew Jefferson Passes October 1,2018 through September 30, 2019 in the amount of $61,710 with Item matching funds of $15,428 identified in the FY 2018 budget. (Requested by Action: the Solicitor General's Office) Approved Motions Motion Made Seconded Motion;----- Motion Text'l'ype By By Result Unanimous consent is given to add this item to the agenda. Motions X:jltll Motion Text Made By seconded By Motion f YPe - ----- -'t -------- -" Result Motion to Approve iX3r,""l';asses ff,T,Tt:if,* ff[?#'r'."ff;"" passes 4-0. www.augustaqa.gov Public Safety Committee Meeting 10/30/2018 1:10 PM Minutes Department: Presenter: Caption:Motion to approve the minutes of the Public Safety Committee held on October 9, 2018. Background: Analysis: Financial Impact: Alternatives: Recommendation: Funds are Available in the Following Accounts: REVIEWED AND APPROVED BY: AUGUSTA JUDICIAL CIRCUIT/BURKE COUNTY, COLUMBIA COUNTY, AND RICHMOND COUNTY GEORGIA Augusta Judicial Circuit Adult Felony Accountability Courts James H. Ruffin, Jr. Courthouse 735 James Brown Blvd., Suite 2200 Augusta, GA 30901 James G. Blanchard, Jr. SUPERIOR COURT JUDGE Elaina Ashley, Coordinator (706) 823-4424 AUGUSTA JUDICIAL CIRCUIT ADULT FELONY MENTAL HEALTH & VETERAN’S TREATMENT COURT PROGRAM TREATMENT SERVICES CONTRACT AGREEMENT THIS AGREEMENT is effective as of this 1st day of December 2018, by and between RICHMOND COUNTY, a political subdivision of the State of Georgia, acting by and through its governing authority, the Richmond County Board of Commissioners (“County”) in conjunction with the Augusta Judicial Circuit Accountability Court & Family Counseling Center of the CSRA collectively referred to as the “Parties.”) (herein “Contractor,” collectively referred to as the “Parties.”) This Agreement constitutes the entire understanding between the Augusta Judicial Circuit Adult Felony Mental Health and Veteran’s Treatment Court and Family Counseling Center of the CSRA for the services of chemical dependency treatment, mental health treatment, and cognitive rehabilitative services and shall not be modified or altered in any way without the express written agreement of all parties. WITNESSETH THAT: WHEREAS, the County and the Augusta Judicial Circuit Adult Felony Mental Health and Veteran’s Treatment Court programs desire to obtain a Contractor to provide services generally described as Adult Felony Mental Health and Veteran’s Courts Treatment Services (the “Work”); and WHEREAS, the County finds that specialized knowledge, skills, and training are necessary to perform the Work contemplated under this Agreement; and WHEREAS, the Contractor has represented that it is qualified by training and experience to perform the Work; and, WHEREAS, the Contractor has agreed to provide such services as outlined in this agreement; and, WHEREAS, the public interest will be served by this Agreement; and, NOW, THEREFORE, the Parties hereby do mutually agree as follows: I. SCOPE OF SERVICES AND TERMINATION DATE A. Project Description. The Augusta Judicial Circuit is seeking a qualified professional licensed consultant to provide services for the Adult Felony Mental Health and Veteran’s Court Treatment Court Programs. B. Scope of Work. Treatment services will consist of rehabilitative skills building, the development of environmental supports and resources coordination considered essential to assist a person in improving functioning, gaining access to necessary services and in creating environments that promote recovery and support the emotional and functional improvement of the individual. The service activities of case management include: 1. Assistance to the person and other identified recovery partners in the facilitation and coordination of the Individual Recovery Plan (IRP) including providing skills support in the person’s self-articulation of personal goals and objectives; 2. Planning in a proactive manner to assist the person in managing or preventing crisis situations; 3. Individualized interventions, which shall have as objectives: a) Identification, with the person, of strengths which may aid him/her in achieving recovery, as well as barriers that impede the development of skills necessary for functioning in work, with peers, and with family/friends; b) Support to facilitate enhanced natural supports (including support/assistance with defining what wellness means to the person in order to assist them with recovery-based goal setting and attainment); c) Assistance in the development of interpersonal, community coping and functional skills (which may include adaptation to home, adaptation to work, adaptation to healthy social environments, learning/practicing skills such as personal financial management, medication self-monitoring, symptom self-monitoring, etc); d) Encouraging the development and eventual succession of natural supports in living, learning, working, and other social environments; e) Assistance in the acquisition of skills for the person to self-recognize emotional triggers and to self- manage behaviors related to the behavioral health issue; f) Assistance with personal development, work performance, and functioning in social and family environments through teaching skills/strategies to ameliorate the effect of behavioral health symptoms; h) Assistance in enhancing social and coping skills that ameliorate life stresses resulting from the person’s mental illness/addiction; i) Service and resource coordination to assist the person in gaining access to necessary rehabilitative, medical, social and other services and supports; j) Assistance to the person and other supporting natural resources with illness understanding and self- management (including medication self-monitoring); k) Any necessary monitoring and follow-up to determine if the services accessed have adequately met the person’s needs; l) Identification, with the individual and named natural supporters, of risk indicators related to substance related disorder relapse, and strategies to prevent relapse. 4. Treatment services are provided in order to promote stability and build towards functioning in their daily environment. Stability is measured by a decreased number of incarcerations and hospitalizations, by decreased frequency and duration of crisis episodes and by increased and/or stable participation in community/work activities. Supports based on the person’s needs are used to promote recovery while understanding the effects of the mental illness and/or substance use/abuse and to promote functioning. The Community Support staff will serve as the primary coordinator of behavioral health services and will provide linkage to community; general entitlements; and psychiatric, substance use/abuse, medical services, crisis prevention and services. 5. Treatment services will assist with data collection as needed by the Court and complete the necessary risk/needs assessment prior to entry into the Mental Health or Veteran’s Treatment Court. A designated treatment staff member will also attend the bi- weekly staffing and court sessions. The designated treatment staff member will also notify the Adult Felony Accountability Court Coordinator of participant’s compliance and non-compliance. 6. Treatment services will link participants with the appropriate level of treatment in the community. This treatment can include linkage to a private psychiatrist and therapist if private insurance is available. This treatment can also include linkage to the local Community Service Board for indigent or state-served clients. 7. Treatment services will be an ongoing process to link participants to the following services: group counseling, individual counseling, drug testing, psychosocial rehabilitation, family support, medication management, family counseling, gender specific counseling, domestic violence counseling, health screening, assessment and counseling for co-occurring substance use issues. Ancillary services will include but are not limited to: employment counseling and assistance, educational component, medical and dental care, transportation, housing, mentoring and alumni groups, and assistance with government funded/community based assistance programs. C. Prior to Entry. The Contractor shall administer a court-approved, risk assessment to each proposed Mental Health and Veteran’s Treatment Court candidate referred to the Contractor within one (1) calendar week of the District Attorney's approval of the candidate's entry into the program. A copy of each assessment shall be sent to the adult felony accountability court coordinator for record keeping purposes. D. Individualized Clinical Assessments/Evaluations. Within one (1) week of a participant's entry into the program, the Contractor shall administer an Individualized Clinical Assessment/Evaluation and provide its findings to the adult felony accountability court Mental Health and Veteran’s Treatment Court Program Coordinator within one (1) calendar week. Types of information obtained through the Assessment/Evaluation would include, but not be limited to: 1. Alcohol and/or other Drug Use History; 2. Mental Health History and Diagnosis; 3. Physical Health History; 4. Education; 5. Emotional/Health Barriers; 6. Employment; 7. Family Dynamics; 8. Housing; 9. Spirituality; 10. Social Support Systems; 11. Transportation; 12. Treatment History; 13. Criminal History; 14. Special Population needs [to include]: a. Based in choice of drugs; b. Co-existing Disorders; c. Gender, Ethnic, and Cultural Considerations; d. Other Health Issues [i.e. HIV, Hepatitis C, etc.]; e. Sexual Orientation; f. Domestic Violence; g. Sexual Abuse. 15. All assessments must include a diagnosis, treatment recommendation(s), and justification for referral into the Mental Health or Veteran’s Treatment Court Program signed by a Certified Addictions Counselor Level II or equivalent. E. Treatment Plan. As part of the clinical intake process, the Contractor shall develop a participant-specific treatment plan (inclusive of relapse prevention methods) with measurable goals and objectives and provide the plan to the adult felony accountability court Mental Health and Veteran’s Treatment Court Program Coordinator. 1. A copy of the Treatment Plan for each participant must be provided to the coordinator within the first two (2) weeks of the initial counseling session outlining the short and long-term goals the participant will work on over the full treatment period. 2. All progress notes must reflect how the participant is working towards their goal completion. 3. Monthly progress summaries must show how participants are progressing toward their goals and the Treatment Providers overall impression of how they believe the participant is progressing in treatment and meeting their goals. The Contractor will provide copies of these summaries to the Coordinator by the 10th day of each following month. 4. Complete documentation of the overall treatment regimen and curricula being used to progress a participant through the phases of their program (i.e. Phase I, II, III) including goals, milestones, etc. that participants must demonstrate before being recommended to advance phases. F. Intensive Outpatient Treatment Services. The Contractor shall offer all participants a clinically sound and evidence-based, multi-phase alcohol and drug treatment program consisting of a Court-approved treatment curriculum. Both parties acknowledge that the treatment curriculum is subject to change upon discussion and agreement of the parties. Ultimately, the Contractor must adhere to any state treatment standards for such services. 1. Content of Individual/Group Treatment Sessions. Individual and Group treatment sessions shall consist of education/skill building and therapy. The sessions shall address addiction, relapse prevention planning, criminogenic thinking errors, life skills, anger management, parenting, bereavement, sexual relationships, gender specific, health/medical/medical, personal safety planning, and other clinically relevant treatment issues. 2. Structure of Group Sessions. All treatment/education programs may be open-ended; however a procedure should be established to orient new group members to the open-ended treatment group. 3. Time of delivery of treatment services. Treatment will be offered Monday – Friday to accommodate two (2) group sessions (Males & Females for phases 1 – 3 and phases 4 & 5). Additionally groups may be provided in the evening, weekends, and/or during any reasonable and mutually agreed upon times amenable to the Contractor's schedule. The Contractor may (at times not specified herein) be asked to assist with 'emergency/crisis management services and/or drug screening. 4. Family. The Contractor may upon his/her discretion discuss matters with participants’ family members only upon proper execution of consent/release documents by the participant. 5. Outsourcing; Residential; Psychological and Psychiatric Services. The Contractor will assist with referrals of participants who need residential treatment and/or outsource additional treatment options. The Contractor will assist with the referral of participants with suspected psychological or psychiatric issues to a treatment referral source and will communicate such suspected issues to the Court or its designated liaison including the plan of action related to the referral needed. 6. Number of Participants. The Court makes no assurances as to any minimum number of participants to be referred to the Contractor at any given time. G. Additional Specification. RESERVED H. Educational Training. A member of the treatment staff will be required to attend annual state training conferences or any additional training the Court deems necessary. I. Communication. The Contractor shall utilize the adult felony accountability court Mental Health and Veteran’s Treatment Court Program Coordinator as the Centralized clearinghouse of information/communications. a. The Contractor shall communicate with the adult felony accountability court adult Mental Health and Veteran’s Treatment Court Program Coordinator immediately (within reason) after a participant violation in addition to weekly progress reports. 1. Weekly treatment reports shall consist of general details as to the participants who received treatment and/or case management for the week, their compliance and/or non-compliance with treatment or case management, and their treatment status. A reporting form will be provided to the Court every Tuesday, by 12:00 pm. 2. The Contractor is expected to maintain a confidential notes system (that is not shared with the Superior Court unless requested and/or such sharing is deemed necessary by the Contractor) of relevant information shared with the Contractor by participants during treatment or case management sessions in accordance with recognized treatment protocols. a. The Contractor shall meet weekly (and/or at such dates/times deemed necessary by the adult felony accountability court Mental Health and Veteran’s Treatment Court Program Coordinator so that there may be a "briefing" (or information gathering session) as to the participants who received (and/or are to receive) treatment services for that week. b. In the event that the Contractor determines that a participant needs case management/ancillary services, the Contractor shall provide case management services to the participant with notification given to the adult felony accountability court Mental Health and Veteran’s Treatment Court Program Coordinator. c. The Contractor shall review all relevant information maintained by the adult felony accountability court Mental Health and Veteran’s Treatment Court Program Coordinator (and/or posted in a designated information posting site/location) which may be relevant to treatment such as changes in address, medication(s), health, drug screens, etc. d. The Contractor shall attend all Mental Health and Veteran’s Treatment Court "staffings" sessions and/or participant or court reviews. J. Emergency/Call Status. The Contractor shall assure for after-hours (inclusive of weekends) emergency treatment services/assistance to participants on an on-call basis. An on-call calendar shall be developed and distributed by the Mental Health and Veteran’s Treatment Court Program Coordinator after consultation with the Contractor: The Contractor shall exercise his/her professional discretion as to how to resolve the emergency and shall report the incident to the adult felony accountability court Mental Health and Veteran’s Treatment Court Program Coordinator no later than the following business day. K. Trainings and Court Sessions. The successful candidate must comply with all of the requirements of the federal and state standards and the funding sources. This includes: 1. Adult Felony Mental Health Court Treatment Standards http://www.georgiacourts.org/sites/default/files/Accountability%20Courts/Standards/Section%2 0IV%20Adult%20Mental%20Health%20Court%20Treatment%20Standards.pdf Adult Felony Veteran’s Treatment Court Treatment Standards http://www.gaaccountabilitycourts.org/Veterans%20Court%20Standards,%2012.19.17.pdf 3. National Drug Court Standards: http://nadcp.org/Standards 4. Maintain enrollment as a DBHDD substance abuse provider: http://dbhdd.georgia.gov/providers 6. Maintain a Health Care Facility License: http://dch.georgia.gov/facility-licensure 7. Model Code of Conduct for Court Professionals: https://nacmnet.org/ethics/index.html 8. The contractor must attend state training and national training when funded as directed by the court. 9. The contractor must complete the Essential Elements of Adult Drug Courts online training: https://courses.ncsc.org/course/NDCI_Essentials The Contractor will not charge the Court for attendance, by any of its personnel, of any court-sanctioned trainings, conferences, programs, or court sessions. Such attendance is covered by the overall scope of services of treatment. L. Drug Testing. The Contractor will create a system to schedule, announce, observe, collect, and confirm random and frequent drug screenings for AM and PM sessions on all participants. Participants will be tested at least three times weekly. 1. The Contractor will provide for observed collection and temporary storage of the specimens at no additional cost as part of its services. All testing will be done using the Mental Health and Veteran’s Treatment Court's approved drug testing protocols. (See Exhibit “D”) 2. The Contractor will provide a means of daily transportation of all urine drug screens to the Augusta Richmond County Courthouse located at 735 James Brown Blvd. Augusta, GA 30901. 3. All urine drug screens must be documented with signature of persons conducting screens in order to ensure proper chain of evidence. 4. The Adult Felony Accountability Court Mental Health and Veteran’s Treatment Court Program Coordinator shall have reasonable access to the drug laboratory and/or specimen storage locations to conduct audits. M. Schedule, Completion Date, and Term of Agreement. Contractor warrants and represents that it will perform its services in a prompt and timely manner, which shall not impose delays on the progress of the Work. This Agreement shall commence upon execution of the Agreement by both parties and remain in effect for a period of one (1) year. This contract may be renewed by the parties for up to four (4) additional one year periods. In the event of termination of this Agreement by Contractor or by the Court the Contractor shall be entitled to receive payment only for work actually performed prior to termination. II. WORK CHANGES A. Work Changes Requested. The Court reserves the right to order changes in the Work to be performed under this Agreement by altering, adding to, or deducting from the Work. All such changes shall be incorporated in written change orders executed by the Contractor and the Court. Such change orders shall specify the changes ordered and any necessary adjustment of compensation and completion time. The parties will negotiate to reach an agreement. If an agreement cannot be reached, the original contract scope of work stands. B. Work Added. Any Work added to the scope of this Agreement by a change order shall be executed under all the applicable conditions of this Agreement. No claim for additional compensation or extension of time shall be recognized, unless contained in a written change order duly executed on behalf of the County and the Contractor. C. Authorized Change Orders. The Superior Court Judge assigned to the Mental Health and Veteran’s Treatment Courts and the Trial Court Administrator, shall have the authority to execute any change orders agreed upon, by both the Contractor and the Court, as stated above, so long as their total effect does not materially alter the terms of this Agreement or materially increase the total amount to be paid under this Agreement, as set forth in Section III below. III. COMPENSATION AND METHOD OF PAYMENT A. Treatment Services. The Contractor shall be compensated for services provided, as follows: The Contractor will be paid at the flat, monthly rate of $14,000. This flat rate will cover the treatment of up to 50 Mental Health Court participants and 50 Veteran’s Treatment Court participants during any month within the contract period. Should the number of participants exceed 50 Mental Health Court participants and 50 Veteran’s Treatment Court participants during this period, both parties shall negotiate to reach an agreement on new payment terms; however, no claim for additional compensation will be recognized, unless contained in a written change order duly executed on behalf of the County and the Contractor. B. Contractor Services. 1. Contractor hereby covenants and declares that it is engaged in an independent business and agrees to perform the services as an independent contractor and not as the agent or employee of the Court. The Contractor agrees to be solely responsible for its own matters relating to the time and place the services are performed; the instrumentalities, tools, supplies and/or materials necessary to complete the services; hiring of Contractors, agents or employees to complete the services; and the payment of employees, including compliance with Social Security, withholding and all other regulations governing such matters. The Contractor agrees to be solely responsible for its own acts and those of its subordinates, employees, and subcontractors during the life of this Agreement Any provisions of this Agreement that may appear to give the Court the right to direct Contractor as to the details of the services to be performed by Contractor or to exercise a measure of control over such services will be deemed to mean that Contractor shall follow the directions of the Court with regard to the results of such services only. 2. The Contractor shall furnish in totality all labor, materials, and other equipment necessary to provide alcohol and substance abuse treatment, case management services, data entry, billing, reporting, copying, printing, ancillary services, and case management and other services as identified to the participants of the Augusta Judicial Circuit Adult Felony Accountability Court. 3. The Contractor will provide all necessary labor for alcohol and drug testing to include creatinine levels of all SCMHC participants to be tested twice each week. 4. The Contractor will agree to appoint and provide a consistent, knowledgeable representative to attend weekly staffing and Court sessions and provide them with copies of the ACCM progress notes for each team member. 5. The Contractor will agree to have adequate meeting space available for all Court participant groups easily accessible public transportation. 6. The Contractor will conduct multiple group therapy sessions specific to and for participants in various phases. The Contractor will provide such groups during the evening, weekdays, weekends and any time needed. Such groups will last an hour and a half to three hours with breaks as needed. The Contractor will be aware that different phases of the program may be conducted at simultaneous times during the week. The Contractor will provide for individual counseling as warranted by individual participants throughout the program. 7. The Contractor will agree to report and provide all treatment information to the Adult Felony Accountability Court Coordinator and its affiliates as requested, including but not limited to, treatment plans, information shared in group, and drug/alcohol screen results. The Contractor will keep the Court current using the Court’s case management software (ACCM-5 Points). 8. The Contractor will agree that they will be a member of the Augusta Judicial Circuit Adult Felony Accountability Court Programs, but not necessarily a management member. The Judge, the Superior Court Administrator, and the Coordinator make all final administrative decisions. 9. As funding permits, the Contractor is required to send staff to state and national training. C. Evaluations/Assessments. The Contractor shall conduct evaluations/assessments and draft the resulting Treatment Plans for those participants evaluated/assessed who are not covered by Medicaid, Medicare, or State Contracted services. In the event that the participant has another source of payment there will be no cost to the Court for these evaluations. D. Invoices & Payments. The Contractor and the Court shall agree upon a standard billing format, to include invoice content, as well as supporting documentation to be provided to the Court with all monthly invoices. The Contractor shall submit all invoices to the Coordinator by the 5th day of each month for all services rendered the previous month. On receipt, the Court will verify all information therein in a reasonable and timely manner and then forward the documentation to the Augusta-Richmond County Finance Department for payment processing. E. Expertise of Contractor. The Contractor accepts the relationship of trust and confidence established between it and the County, recognizing that the Court's intention and purpose in entering into this Agreement is to engage an entity with the requisite capacity, experience, skill, and judgment to provide services in pursuit of the timely and competent completion of the Work undertaken by the contractor under this Agreement. F. Court's Reliance on the Work. The Contractor acknowledges and agrees that the Court does not undertake to approve or pass upon matters of expertise of the Contractor and, therefore, the Court bears no responsibility for Contractor’s services performed under this Agreement. G. Contractor's Representative. Celina Keys, Clinical Director shall be authorized to act on the Contractor's behalf with respect to the coordination of the Work, as the Contractor's designated representative. H. Assignment of Agreement. The Contractor covenants and agrees not to assign or transfer any interest in, nor delegate any duties of this Agreement, without prior express written consent of the Court. As to any approved subcontractors, the Contractor shall be solely responsible for reimbursing them and the Court shall have no obligation to do so. I. Responsibility of Contractor and Indemnification of the County/the Court. The Contractor covenants and agrees to take and assume all responsibility for the services rendered in connection with this Agreement. The Contractor shall bear all losses and damages directly or indirectly resulting to it on account of the performance or character of the services rendered pursuant to this Agreement. Contractor shall defend, indemnify and hold harmless the Court, the County, its officers, boards, commissions, elected officials, employees and agents from and against any and all claims, suits, actions, liability, judgments, damages, losses, and expenses, including but not limited to, attorney's fees, which may be the result of willful, negligent or tortious conduct arising out of the Work, performance of contracted services, or operations by the Contractor, any subcontractor, anyone directly or indirectly employed by the Contractor or subcontractor or anyone for whose acts the Contractor or subcontractor may be liable, regardless of whether or not the negligent act is caused in part by a party indemnified hereunder. Such obligation shall not be construed to negate, abridge, or otherwise reduce any other right or obligation of indemnity which would otherwise exist as to any party or person described in this provision. In any and all claims against the Court, the county, or any of its agents or employees by any employee of the Contractor, any subcontractor, anyone directly or indirectly employed by the Contractor or subcontractor or anyone for whose acts the Contractor or subcontractor may be liable, the indemnification obligation set forth in this provision shall not be limited in any way by any limitation on the amount or type of damages, compensation or benefits payable by or for the Contractor or any subcontractor under workers' or workmen's compensation acts, disability benefit acts or other employee benefit acts. This obligation to indemnify and defend the Court and the County, its members, officers, agents, employees and volunteers shall survive termination of this Agreement. J. Insurance. (1) Requirements: Contractor agrees to maintain, at a minimum, general liability insurance, workers’ compensation insurance and professional liability insurance. In addition, contractor shall indemnify and hold harmless Augusta Judicial Circuit Felony Adult Mental Health and Veteran’s Treatment Court and the Richmond County Board of Commissioners and its agent, servants and/or employees from all claims, actions, lawsuits, damages, judgments or liabilities arising out the treatment services provided. K. Records and Reports. (1) Records: (a.) Records shall be established and maintained by the Contractor in accordance with requirements prescribed by the Court with respect to all matters covered by this Agreement. Except as otherwise authorized, such records shall be maintained for a period of three years from 'the date that final payment is made under this Agreement. Furthermore, records that are the subject of audit findings shall be retained for three years or until such audit findings have been resolved, whichever is later. (b.) All costs shall be supported by properly executed payrolls, time records, invoices, contracts, or vouchers, or other official documentation evidencing in proper detail the nature and propriety of the charges. All checks, payrolls, invoices, contracts, vouchers, orders or other accounting documents pertaining in whole or in part to this Agreement shall be clearly identified and readily accessible. (2) Reports and Information: Upon request, the Contractor shall furnish to the Court any and all statements, records, reports, data and information related to matters covered by this Agreement in the form requested by the Court. L. Conflicts of Interest. Contractor agrees that it shall not engage in any activity or conduct that would result in a violation of the Richmond County Code of Ethics. M. Confidentiality. Contractor acknowledges that it may receive confidential information of the Court and that it will protect the confidentiality of any such confidential information and will require any of its subcontractors, consultants, and/or staff to likewise protect such confidential information. The Contractor agrees that confidential information it receives or such reports, information, opinions or conclusions that Contractor creates under this Agreement shall not be made available to, or discussed with, any individual or organization, including the news media, without prior written approval of the Court. The Contractor shall exercise reasonable precautions to prevent the unauthorized disclosure and use of Court information whether specifically deemed confidential or not. (1) The Contractor shall not disclose to anyone or any entity other than the designated Court Staff or other court-approved individuals, any description or information concerning the work produced as a result of this Agreement without written permission of the Court. (2) The Contractor acknowledges that in receiving, storing, processing, sharing, or otherwise using or dealing with any treatment information, the Contractor is bound by all Federal and State laws and regulations that govern and guarantee the treatment rights of individuals receiving substance abuse treatment services. (3) The Contractor shall comply with all confidentiality laws and shall be familiar with the following monograph: Federal Confidentiality Laws and how they affect Mental Health/Mental Health and Veteran’s Treatment Court Practitioners, National Mental Health/Mental Health and Veteran’s Treatment Court Institute (1999). (4) The Contractor shall comply with all HIPAA and related laws and regulations dealing with releasing and sharing and medical and health care information. The Contactor shall ensure that it and its employees and agents use and disclose "Protected Health Information" of patients (as defined in the Health Insurance Portability and Accountability Act ("HIPAA") privacy roles at 45 C.F.R. § 164.501, et seq.) that The Contractor receives pursuant to this Agreement only to the extent necessary: (i) to perform its specific obligations under this Agreement; and (ii) for its own management and administration and to carry out its legal responsibilities in compliance with 45 C.P.R.§ 164.504(e)(2)(i)(A), (e)(4), and all other current or future applicable laws or regulations. Nothing in this Agreement shall be deemed to authorize The Contractor to use or disclose Protected Health Information in violation of any applicable law or regulation, including but not limited to HIPAA privacy rules at 45 C.F.R § 164.501, et seq. (5) The Contractor shall obtain appropriate releases/waivers before releasing a participant's treatment information. (6) The Contractor shall make every effort to ensure that confidentiality of participant's identity and information is maintained, inclusive of but not limited to ensuring that the treatment location is secure (and not within the hearing range of outsiders), as well as educating participants about the confidentiality of group/individual treatment sessions. (7) The Contractor shall maintain confidentiality of Mental Health and Veteran’s Treatment Court participants separate from information on participants in any of its other programs at all times, regardless of relationship or family involvement among these participants. All confidentiality laws related to obtaining appropriate releases/waivers shall be followed by all concerned parties should information need to be disclosed for treatment purposes. N. Licenses, Certifications and Permits. The Contractor covenants and declares that it has obtained all diplomas, certificates, licenses, permits or the like required of the Contractor by any and all national, state, regional, county, local boards, agencies, commissions, committees or other regulatory bodies in order to perform the services contracted for under this Agreement. All work performed by the Contractor under this Agreement shall be in accordance with applicable legal requirements and shall meet the standard of quality ordinarily expected of competent professionals. The Contractor must have, or be in the process of obtaining under clinical supervision, a professional counseling certification or similar training related to alcohol and substance abuse and applicable insurance. Such certification (or training) and insurance must be maintained during the duration of the contract period. Such training must meet the Treatment Standards/Provider Qualifications as established and/or updated by Georgia's Council of Accountability Court Judges, incorporated herein by reference as Exhibit "C". If a provider in the employ of the Contractor is in the process of obtaining certification, he/she shall be responsible for maintaining requisite supervision by a, licensed individual. Said supervisor shall be approved by the Mental Health and Veteran’s Treatment Court Program Coordinator and there shall be a confidentiality agreement between the Contractor and the supervisor. The Contractor shall comply with all laws of the State of Georgia and United States, as well as treatment and social work and/or professional counseling ethical standards and shall maintain requisite certifications, licensures, and insurance necessary for delivery of services described herein and subject to the Court's approval. The Contractor will have a history of service in the field of mental health, substance abuse, knowledge of the criminal justice system, and an understanding of the Accountability Court concept. O. Key Personnel. The Contractor is responsible for maintaining the staff necessary for completion of the Work (i.e. Counselor’s, Case managers (see Exhibit “D”), etc.). All of the individuals identified in Exhibit "B" are necessary for the successful execution of the Work due to their unique expertise and depth and breadth of experience. There shall be no change in Contractor's Project Manager or members of the project team, as listed in Exhibit "B", without written approval of the Court. The Contractor recognizes that the composition of this team was instrumental in the Circuit's decision to award the work to the Contractor and that compelling reasons for substituting these individuals must be demonstrated for the Circuit's consent to be granted. Any substitutes shall be of comparable or superior expertise and experience. Failure to comply with the provisions of this section shall constitute a material breach of Contractor's obligations under this Agreement and shall be grounds for termination. The Contractor shall not subcontract with any third party for the performance of any portion of the Work without the prior written consent of the Court. Contractor shall be solely responsible for any such subcontractors in terms of performance and compensation. P. Authority to Contract. The Contractor covenants and declares that it has obtained all necessary approvals of its board of directors, stockholders, general partners, limited partners or similar authorities to simultaneously execute and bind Contractor to the terms of this Agreement, if applicable. V. COVENANTS OF THE COUNTY A. Right of Entry. The Court shall provide for right of entry for Contractor and any necessary equipment in order for Contractor to complete the Work. B. County's Representative. The Superior Court Judge assigned to Drug Court or the Trial Court Administrator shall be authorized to act on the County's behalf with respect to the Work as the County’s designated representative. VI. TERMINATION A. Right to Terminate. The Court shall have the right to terminate this Agreement for any reason whatsoever by providing written notice thereof at least five (5) calendar days in advance of the termination date. The Contractor shall have the same right to terminate this Agreement, including but not limited to the Circuits failure to pay the Contractor in a timely manner. B. Cause or Other Performance Defect. The Court shall also have the right to terminate this Agreement or any services noted herein for cause or other performance defect with forty-five (45) days written notice to the Contractor. The Court shall also have the right to terminate this Agreement or any services noted herein without cause should budgeted and/or grant funds not be available. C. Termination and Payment. Upon termination, the Court shall provide for payment to the Contractor for services rendered and expenses incurred prior to the termination date. D. Termination and Services. Upon termination, the Contractor shall: (1) promptly discontinue all services affected, unless the notice directs otherwise. E. Rights and Remedies. The rights and remedies of the Court and the Contractor provided in this Section are in addition to any other rights and remedies provided under this Agreement or at law or in equity. VII. NO PERSONAL LIABILITY No member, official or employee of the County shall be personally liable to the Contractor or any successor in interest in the event of any default or breach by the County or for any amount which may become due to the Contractor or successor or on any obligation under the terms of this Agreement. Likewise) Contractor's performance of services under this Agreement shall not subject Contractor's individual employees, officers or directors to any personal liability. The Parties agree that their sole and exclusive remedy, claim, demand or suit shall be directed and/or asserted only against Contractor or the County, respectively, and not against any employee, officer, director, or elected or appointed official. VIII. ENTIRE AGREEMENT This Agreement constitutes the complete agreement between the Parties and supersedes any and all other agreements, either oral or in writing, between the Parties with respect to the subject matter of this Agreement. No other agreement, statement or promise relating to the subject matter of this Agreement not contained in this Agreement shall be valid or binding. This Agreement may be modified or amended only by a written document signed by representatives of both Parties with appropriate authorization. IX. SUCCESSORS AND ASSIGNS Subject to the provision of this Agreement regarding assignment, this Agreement shall be binding on the heirs, executors, administrators, successors and assigns of the respective Parties. X. APPLICABLE LAW If any action at law or in equity is brought to enforce or interpret the provisions of this Agreement, the rule regulations, statutes and laws of the State of Georgia will control. XI. CAPTIONS AND SEVERABILITY The caption or head note on articles or sections of this Agreement are intended for convenience and reference purposes only and in no way define, limit or describe the scope or intent thereof, or of this Agreement nor in any way affect this Agreement. Should any article(s) or section(s), or any part thereof, later be deemed unenforceable by a court of competent jurisdiction, the offending portion of the Agreement should be severed and the remainder of this Agreement shall remain in full force and effect to the extent possible. XII. NOTICES A. Communications Relating to Daily Activities. All communications relating to the day-to-day activities of the Work shall be exchanged between the Superior Court Judge assigned to Drug Court (or designee) for the Court and Celina Keys for the Contractor. B. Official Notices. All other notices, writings or correspondence as required by this Agreement shall be in writing and shall be deemed received, and shall be effective, when: (1) personally delivered, or (2) on the third day after the postmark date when mailed by certified mail, postage prepaid, return receipt requested, or (3) upon actual delivery when sent via national overnight commercial carrier to the Parties at the addresses given below, unless a substitute address shall first be furnished to the other Parties by written notice in accordance herewith: NOTICE TO THE COUNTY shall be sent to: James G. Blanchard, Jr. Judge of Superior Court P.0. Box 2656 Evans, Georgia 30809 NOTICE TO THE CONTRACTROR shall be sent to: Joella Banks Executive Director Family Counseling Center of the CSRA, Inc. 3351 Wrightsboro Rd. Augusta, GA 30909 XIII. WAIVER OF AGREEMENT The County's failure to enforce any provision of this Agreement or the waiver in a particular instance shall not be construed as a general waiver of any future breach or default. XIV. SOVEREIGN IMMUNITY Nothing contained in this Agreement shall be construed to be a waiver of the County's sovereign immunity or any individual's qualified good faith or official immunities. XV. FORCE MAJEURE Neither the County nor Contractor shall be liable for their respective non-negligent or non-willful failure to perform or shall be deemed in default with respect to the failure to perform (or cure a failure to perform) any of their respective duties or obligations under this Agreement or for any de1ay in such performance due to: (a) any cause beyond their respective reasonable control; (b) any act of God; (c) any change in applicable governmental rules or regulations rendering the performance of any portion of this Agreement legally impossible; (d) earthquake, fire, explosion or flood; (e) strike or labor dispute, excluding strikes or labor disputes by employees and/or agents of THE CONTRACTOR; (f) delay or failure to act by any governmental or military authority; or (g) any war, hostility, embargo, sabotage, civil disturbance, riot, insurrection or invasion. In such event, the time for performance shall be extended by an amount of time equal to the period of delay caused by such acts and all other obligations shall remain intact. [THIS SPACE INTENTIONALLY LEFT BLANK] IN WITNESS WHEREOF the County and the Contractor have executed this Agreement effective as of the dare the Chairman executes this Agreement on behalf of the County. CONTRACTOR By: Its: [CORPORATE SEAL] SIGNED, SEALED, AND DELIVERED In the presence of: Witness Notary Public [NOTARY SEAL] My Commission Expires: RICHMOND COUNTY By: Its: [COUNTY SEAL] SIGNED, SEALED, AND DELIVERED In the presence of: Witness Notary Public [NOTARY SEAL] My Commission Expires: Joella Banks, Family Counseling of the CSRA, Inc. Hardie Davis, Jr. Mayor - City of Augusta EXHIBIT “A” – Key Personnel The following individuals are designated as Key Personnel under this Agreement and as such are necessary for the successful execution of the Work: Employee Position EXHIBIT “B” – Adult Felony Mental Health Court Standards 1. Planning and Administration. A broad-based group of stakeholders representing the criminal justice, mental health, substance abuse treatment, and related systems and the community guides the planning and administration of the court. 1.1 Mental health courts are situated at the intersection of the criminal justice, mental health, substance abuse treatment, and other social service systems. Their planning and administration should reflect extensive collaboration among practitioners and policymakers from those systems, as well as community members. To that end, a multidisciplinary “planning committee” should be charged with designing the mental health court. Along with determining eligibility criteria, monitoring mechanisms, and other court processes, this committee should articulate clear, specific, and realizable goals that reflect agreement on the court’s purposes and provide a foundation for measuring the court’s impact (see Standard 10: Sustainability). 1.2 The planning committee should identify agency leaders and policymakers to serve on an “advisory group” (in some jurisdictions members of the advisory group will also make up the planning committee) responsible for monitoring the court’s adherence to its mission and its coordination with relevant activities across the criminal justice and mental health systems. The advisory group should suggest revisions to court policies and procedures when appropriate and should be the public face of the mental health court in advocating for its support. The planning committee should address ongoing issues of policy implementation and practice that the court’s operation raises. Committee members should also keep high-level policymakers, including those on the advisory group, informed of the court’s successes and failures in promoting positive change and long-term sustainability (see Standard10: Sustainability). Additionally, by facilitating ongoing training and education opportunities, the planning committee should complement and support the small team of professionals who administer the court on a daily basis, the “court team” (see Standard 8: Court Team). The planning committee should meet at least semi-annually. 1.3 In many jurisdictions, the judiciary will ultimately drive the design and administration of the mental health court. Accordingly, it should be well represented on and take a visible role in leading both the planning committee and advisory group. 1.4 Pursuant to O.C.G.A. §15-1-16, each mental health court division shall establish a planning group to develop a written work plan. The planning group shall include judges, prosecuting attorneys, sheriffs or their designees, public defenders, probation officers, and persons having expertise in the field of mental health. The work plan shall address the operational, coordination, resource, information management, and evaluation needs of the mental health court division. The work plan shall include written eligibility criteria for the mental health court division. The mental health court division shall combine judicial supervision, treatment of participants, and drug and mental health testing. 2. Target Population. Eligibility criteria address public safety and consider a community’s treatment capacity, in addition to the availability of alternatives to pretrial detention for defendants with mental illnesses. Eligibility criteria also take into account the relationship between mental illness and a defendant’s offenses, while allowing the individual circumstances of each case to be considered. 2.1 Because mental health courts are, by definition, specialized interventions that can serve only a portion of defendants with mental illness, careful attention should be paid to determining their target populations. 2.2 Mental health courts should be conceptualized as part of a comprehensive strategy to provide law enforcement, court, and corrections systems with options other than arrest and detention for responding to people with mental illnesses. Such options include specialized police-based responses and pretrial services programs. For those individuals who are not diverted from arrest or pretrial detention, mental health courts can provide appropriately identified defendants with court-ordered, community based supervision and services. Mental health courts should be closely coordinated with other specialty or problem-solving court- based interventions, including drug courts and community courts, as target populations are likely to overlap. 2.3 Clinical eligibility criteria should be well defined and should be developed with an understanding of treatment capacity in the community. Mental health court personnel should explore ways to improve the accessibility of community-based care when treatment capacity is limited and should explore ways to improve quality of care when services appear ineffective (see Standard 6: Treatment Supports and Services). 2.4 Mental health courts should also focus on defendants whose mental illness is related to their current offenses. To that end, the planning committee should develop a process or a mechanism, informed by mental health professionals, to enable staff charged with identifying mental health court participants to make this determination. 2.5 Pursuant to O.C.G.A. §15-1-16, defendants charged with murder, armed robbery, rape, aggravated sodomy, aggravated sexual battery, aggravated child molestation, or child molestation shall not be eligible for entry into the mental health court division, except in the case of a separate court supervised reentry program designed to more closely monitor mentally ill offenders returning to the community after having served a term of incarceration. Any such court supervised, community reentry program for mentally ill offenders shall be subject to the work plan as provided for in this document. 3. Timely Participant Identification and Linkage to Services. Participants are identified, referred, and accepted into mental health courts, then linked to community-based service providers as quickly as possible. 3.1 Providing safe and effective treatment and supervision to eligible defendants in the community, as opposed to in jail or prison, is one of the principal purposes of mental health courts. Prompt identification of participants accelerates their return to the community and decreases the burden on the criminal justice system for incarceration and treatment. 3.2 Mental health courts should identify potential participants early in the criminal justice process by welcoming referrals from an array of sources such as law enforcement officers, jail and pretrial services staff, defense counsel, judges, and family members. To ensure accurate referrals, mental health courts must advertise eligibility criteria and actively educate these potential sources. In addition to creating a broad network for identifying possible participants, mental health courts should select one or two agencies to be primary referral sources that are especially well versed in the procedures and criteria. 3.3 The coordinator, prosecutor, defense counsel, and a mental health professional should quickly review referrals for eligibility. When competency determination is necessary, it should be expedited, especially for defendants charged with misdemeanors. The time required to accept someone into the program should not exceed the length of the sentence that the defendant would have received had he or she pursued the traditional court process. Final determination of eligibility should be a team decision (see Standard 8: Court Team). 3.4 The time needed to identify appropriate services, the availability of which may be beyond the court’s control, may constrain efforts to identify participants rapidly (see Standard 6: Treatment Supports and Services). This is likely to be an issue especially in felony cases, when the court may seek services of a particular intensity to maximize public safety. Accordingly, along with connecting mental health court participants to existing treatment, officials in criminal justice, mental health, and substance abuse treatment should work together to improve the quality and expand the quantity of available services. 4. Terms of Participation. Terms of participation are clear, promote public safety, facilitate the defendant’s engagement in treatment, are individualized to correspond to the level of risk that the defendant presents to the community, and provide for positive legal outcomes for those individuals who successfully complete the program. 4.1 Mental health courts need a written handbook for plea agreements, program duration, supervision conditions, and the impact of program completion. Within these parameters, the terms of participation should be individualized to each defendant and should be put in writing prior to his or her decision to enter the program. The terms of participation will likely require adherence to a treatment plan that will be developed after engagement with the mental health court program, and defendants should be made aware of the consequences of noncompliance with this plan. 4.2 Whenever plea agreements are offered to people invited to participate in a mental health court, the potential effects of a criminal conviction should be explained. Collateral consequences of a criminal conviction may include limited housing options, opportunities for employment, and accessibility to some treatment programs. It is especially important that the defendant be made aware of these consequences when the only charge he/she is facing is a misdemeanor, ordinance offense, or other nonviolent crime. 4.3 The length of mental health court participation should not extend beyond the maximum period of incarceration or probation a defendant could have received if found guilty in a more traditional court process. In addition, program duration should vary depending on a defendant’s program progress. Program completion should be tied to adherence to the participant’s court-ordered conditions and the strength of his/ her connection to community treatment. The minimum length for a misdemeanor program should be 12 months and 18 months for a felony program. 4.4 Least restrictive supervision conditions should be considered for all participants, especially those charged with misdemeanors. Highly restrictive conditions increase the likelihood that minor violations will occur, which can intensify the involvement of participants in the criminal justice system. When a mental health court participant completes the terms of his/her participation in the program, there should be some positive legal outcome. When the court operates on a pre-plea model, a significant reduction or dismissal of charges can be considered. When the court operates in a post-plea model, a number of outcomes are possible such as early termination of supervision, vacated pleas, and lifted fines and fees. Mental health court participants, when in compliance with the terms of their participation, should have the option to withdraw from the program at any point without having their prior participation and subsequent withdrawal from the mental health court reflect negatively on their criminal case. 4.5 Pursuant to O.C.G.A. §15-1-16, any plea of guilty or nolo contendere entered pursuant to participation in a mental health court shall not be withdrawn without the consent of the court. In addition, the clerk of the court instituting the mental health court division or such clerk’s designee shall serve as the clerk of the mental health court division. 5. Informed Choice. Defendants fully understand the program requirements before agreeing to participate in a mental health court. They are provided legal counsel to inform this decision and subsequent decisions about program involvement. Procedures exist in the mental health court to address, in a timely fashion, concerns about a defendant’s competency whenever they arise. 5.1 Defendants’ participation in mental health courts is voluntary. But ensuring that participants’ choices are informed, both before and during the program, requires more than simply offering the mental health court as an option to certain defendants. All participants shall receive a participant handbook upon accepting the terms of participation and entering the program. Receipt of handbook shall be acknowledged through a signed form, with an executed copy placed in the court file maintained locally. 5.2 Mental health court administrators should be confident that prospective participants are competent to participate. Typically, competency determination procedures can be lengthy, which raises challenges for timely participant identification. This is especially important for courts that focus on defendants charged with misdemeanors (see Standard 3: Timely Participant Identification and Linkage to Services). For these reasons, as part of the planning process, courts should develop guidelines for the identification and expeditious resolution of competency concerns. 5.3 Even when competency is not an issue, mental health court staff must ensure that defendants fully understand the terms of participation, including the legal repercussions of not adhering to program conditions. The specific terms that apply to each defendant should be spelled out in writing, such as an enrollment contract or bond order. Defendants should have the opportunity to review these terms, with the advice of counsel, before opting into the court. 5.4 Defense attorneys play an integral role in helping to ensure that defendants’ choices are informed throughout their involvement in the mental health court. Courts should make defense counsel available to advise defendants about their decision to enter the court and have counsel be present at status hearings for felony defendants. In misdemeanor mental health courts, at a minimum, defense counsel should be available at the time of enrollment and preferably at any status hearings. It is particularly important to ensure the presence of counsel when there is a risk of sanctions or dismissal from the mental health court. Defense counsel participating in mental health courts—like all other criminal justice staff assigned to the court— should receive special training in mental health issues (see Standard 8: Court Team). 6. Treatment Supports and Services. Mental health courts connect participants to comprehensive and individualized treatment supports and services in the community. They strive to use and increase the availability of treatment and services that are evidence-based. 6.1 Mental health court participants require an array of services and supports, which can include medications, counseling, substance abuse treatment, benefits, housing, crisis intervention services, peer supports, and case management. Mental health courts should anticipate the treatment needs of their target population and work with providers to ensure that services will be made available to court participants. 6.2 When a participant is identified and linked to a service provider, the mental health court team should design a treatment plan that takes into account the results of a complete mental health and substance abuse assessment, individual consumer needs, and public safety concerns. Participants should also have input into their treatment plans. The mental health treatment provider(s) will offer at a minimum the core services outlined in the mental health court treatment standards approved by the Judicial Council. 6.3 A large proportion of mental health court participants have co-occurring substance abuse disorders. The most effective programs provide coordinated treatment for both mental illnesses and substance abuse problems. Thus, mental health courts should connect participants with co-occurring disorders to integrated treatment whenever possible and advocate for the expanded availability of integrated treatment and other evidence-based practices. Drug testing according to Adult Drug Court Standard 5 should be implemented for participants with co-occurring substance abuse disorders. Mental health court teams should also pay special attention to the needs of women and ethnic minorities and make gender-sensitive and culturally competent services available. 6.4 Treatment providers should remain in regular communication with court staff concerning the appropriateness of the treatment plan and should suggest adjustments to the plan when appropriate. At the same time, court staff should check with community-based treatment providers periodically to determine the extent to which they are encountering challenges stemming from the court’s supervision of the participant. 6.5 Case management is essential to connect participants to services and monitor their compliance with court conditions. Case managers—whether they are employees of the court, treatment providers, or community corrections officers—should have caseloads that are sufficiently manageable to perform core functions and monitor the overall conditions of participation. They should serve as the conduits of information for the court about the status of treatment and support services. 6.6 Case managers also help participants prepare for their transition out of the court program by ensuring that needed treatment and services will remain available and accessible after their court supervision concludes. The mental health court may also provide post-program assistance, such as graduate support groups, to prevent participants’ relapses. 7. Confidentiality. Health and legal information should be shared in a way that protects potential participants’ confidentiality rights as mental health consumers and their constitutional rights as defendants. Information gathered as part of the participants’ court-ordered treatment program or services should be safeguarded in the event that participants are returned to traditional court processing. 7.1 To identify and supervise participants, mental health courts require information about their mental illnesses and treatment plans. When sharing this information, treatment providers and representatives of the mental health court should consider the wishes of defendants. They must also adhere to federal and state laws that protect the confidentiality of medical, mental health, and substance abuse treatment records. 7.2 A well-designed procedure governing the release and exchange of information is essential to facilitating appropriate communication among members of the mental health court team and to protect confidentiality. Release forms should be part of this procedure. They should be developed in consultation with legal counsel, adhere to federal and state laws, and specify what information will be released and to whom. Potential participants should be allowed to review the form with the advice of defense counsel and treatment providers. Defendants should not be asked to sign release of information forms until competency issues have been resolved (see Standard 5: Informed Choice). 7.3 When a defendant is being considered for the mental health court, there should not be any public discussions about that person’s mental illness, which can stigmatize the defendant. Even information concerning a defendant’s referral to a mental health court should be closely guarded—particularly because many of these individuals may later choose not to participate in the mental health court. To minimize the likelihood that information about defendants’ mental illnesses or their referral to the mental health court will negatively affect their criminal cases, courts whenever possible should maintain clinical documents separately from the criminal files and take other precautions to prevent medical information from becoming part of the public record. 7.4 Once a defendant is under the mental health court’s supervision, steps should be taken to maintain the privacy of treatment information throughout his or her tenure in the program. Clinical information provided to mental health court staff members should be limited to whatever they need to make decisions. Furthermore, such exchanges should be conducted in closed staff meetings; discussion of clinical information in open court should be avoided. A set of quality controls/review process shall be in place to ensure accountability of the treatment provider, including direct observation of treatment by the coordinator. 8. Court Team. A team of criminal justice and mental health staff and service and treatment providers receives special, ongoing training and helps mental health court participants achieve treatment and criminal justice goals by regularly reviewing and revising the court process. 8.1 The mental health court team works collaboratively to help participants achieve treatment goals by bringing together staff from the agencies with a direct role in the participants’ entrance into, and progress through, the court program. The court team functions include conducting screenings, assessments, and enrollments of referred defendants; defining terms of participation; partnering with community providers; monitoring participant adherence to terms; preparing for all court appearances; and developing transition plans following court supervision. Team members should work together on each participant’s case and contribute to the court’s administration to ensure its smooth functioning. 8.2 The composition of this court team differs across jurisdictions. These variations notwithstanding, it typically should comprise the following: a judicial officer; a coordinator, a treatment provider or case manager; a prosecutor; a defense attorney; and, in some cases, a court supervision agent such as a probation officer. The judge’s role is central to the success of the mental health court team and the mental health court generally. The judge oversees the work of the mental health court team and encourages collaboration among its members, who must work together to inform the judge about whether participants are adhering to their terms of participation. 8.3 Mental health court planners should carefully select team members who are willing to adapt to a nontraditional setting and rethink core aspects of their professional training. Planners should seek criminal justice personnel with expertise or interest in mental health issues and mental health staff with criminal justice experience. Planners should also ensure mental health court staff is comfortable with its goals and procedures. 8.4 Team members should take part in cross-training before the court is launched and during its operation. Mental health professionals must familiarize themselves with legal terminology and the workings of the criminal justice system, just as criminal justice personnel must learn about treatment practices and protocols. Team members should also be offered the opportunity to attend regional or national training sessions and view the operations of other mental health courts. New team members should go through a period of training and orientation before engaging fully with the court. 8.5 Periodic review and revision of court processes must be a core responsibility of the court team. Using data, participant feedback, observations of team members, and direction from the advisory group and planning committee (see Standard 1: Planning and Administration), the court team should routinely make improvements to the court’s operation. 9. Monitoring Adherence to Court Requirements. Criminal justice and mental health staff collaboratively monitor participants’ adherence to court conditions, offer individualized graduated incentives and sanctions, and modify treatment as necessary to promote public safety and participants’ recovery. 9.1 Whether a mental health court assigns responsibility for monitoring compliance with court conditions to a criminal justice agency, a mental health agency, or a combination of these organizations, collaboration and communication are essential. The court must have up-to-date information on whether participants are taking medications, attending treatment sessions, abstaining from drugs and alcohol, and adhering to other supervision conditions. This information will come from a variety of sources and must be integrated routinely into one coherent presentation or report to keep all court staff informed of participants’ progress. Case staffing meetings provide such an opportunity to share information and determine responses to individuals’ positive and negative behaviors. These meetings should occur regularly and involve key members of a team, including representatives from the prosecution, defense, treatment providers, court supervision agency, and the judiciary. Courts should implement a system for a minimum level of field supervision for each participant based on their respective level of risk. Field supervision may include unannounced visits to home or workplace and curfew checks. The level of field supervision may be adjusted throughout the program based on participant progress and any reassessment process. 9.2 Status hearings allow mental health courts publicly to reward adherence to conditions of participation, to sanction non-adherence, and to ensure ongoing interaction between the participant and the court team members. These hearings should be frequent at the outset of the program and should decrease as participants’ progress positively. The mental health court should meet at least once per month for misdemeanor programs and twice per month for felony programs. Mental health programs should be structured into a series of phases. The final phase may be categorized as "aftercare/continuing care." 9.3 All responses to participants’ behavior, whether positive or negative, should be individualized. Incentives, sanctions, and treatment modifications have clinical implications. They should be imposed with great care and with input from mental health professionals. 9.4 Relapse is a common aspect of recovery; non-adherence to conditions of participation in the court is common. But non-adherence should never be ignored. The first response should be to review treatment plans, including medications, living situations, and other service needs. For minor violations, the most appropriate response may be a modification of the treatment plan. 9.5 In some cases, sanctions are necessary. The manner in which a mental health court applies sanctions should be explained to participants prior to their admittance to the program. As a participant's commission of violations increases in frequency or severity, the court should use graduated sanctions that are individualized to maximize adherence to his or her conditions of release. 9.6 Mental health courts should use incentives to recognize good behavior and to encourage recovery through further behavior modification. Individual praise and rewards, such as coupons, certificates for completing phases of the program, and decreased frequency of court appearances are helpful and important incentives. Systematic incentives that track the participants’ progress through distinct phases of the court program are also critical. As participants complete these phases, they receive public recognition. 9.7 Courts should have at their disposal a menu of incentives that is at least as broad as the range of available sanctions; incentives for sustained adherence to court conditions, or for situations in which the participant exceeds the expectation of the court team, are particularly important. 10. Sustainability. Data are collected and analyzed to demonstrate the impact of the mental health court; its performance is assessed periodically (and procedures are modified accordingly); court processes are institutionalized; and support for the court in the community is cultivated and expanded. 10.1 Mental health courts must take steps early in the planning process and throughout their existence to ensure long-term sustainability. To this end, performance measures and outcome data will be essential. Data describing the court’s impact on individuals and systems should be collected and analyzed. Such data should include the court’s outputs, such as number of defendants screened and accepted into the mental health court, as well as its outcomes, such as the number of participants who are rearrested and re-incarcerated. Setting output and outcome measures is a key function of the court’s planning and ongoing administration (see Standard 1: Planning and Administration). Quantitative data should be complemented with qualitative evaluations of the program from staff and participants. 10.2 Formalizing court policies and procedures is also an important component of maintaining mental health court operations. Compiling information about a court’s history, goals, eligibility criteria, information sharing protocols, referral and screening procedures, treatment resources, sanctions and incentives, and other program components helps ensure consistency and lessens the impact when key team members depart. Developing additional plans for staff turnover helps safeguard the integrity of the court’s operation. 10.3 Because sustaining a mental health court without funding is difficult, court planners should identify and cultivate long-term funding sources early on. Court staff should base requests for long-term funding on clear articulations of what the court plans to accomplish. Along with compiling empirical evidence of program successes, mental health court teams should invite key county officials, state legislators, foundation program officers, and other policymakers to witness the court in action. 10.4 Outreach to the community, the media, and key criminal justice and mental health officials also promotes sustainability. To that end, mental health court teams should make community members aware of the existence and impact of the mental health court and the progress it has made. More importantly, administrators should be prepared to respond to notable program failures, such as when a participant commits a serious crime. Ongoing guidance from, and reporting to, key criminal justice and mental health leaders also helps to maintain interest in, and support for, the mental health court. EXHIBIT “B” [Continued] – Adult Felony Veteran’s Treatment Court Standards 1. Veterans Treatment Courts integrate alcohol and other drug treatment services with justice system case processing. 1.1. Pursuant to O.C.G.A. § 15-1-17, each Veterans Treatment Court shall establish a planning group to develop a written work plan for the court. The work plan shall “address the operational, coordination, resource, information management, and evaluation needs” of the court, and shall include all policies and practices related to implementing the standards set forth in this document. 1.2. The Veterans Treatment Court team should include, at a minimum, the following representatives: judge, public defender, prosecutor, program coordinator, post certified law enforcement, certified treatment provider/substance abuse professional, a Veterans Justice Outreach Specialist or representative from the Veterans Administration, and a veteran mentor coordinator. The program coordinator should be a dedicated employee, independent of treatment staff. 1.3. The Veterans Treatment Court team shall collaboratively develop, review, and agree upon all aspects of Veterans Treatment Court operations (mission, goals, eligibility criteria, operating procedures, performance measures, orientation, drug testing, program structure guidelines) prior to commencement of program operations. 1.4. This plan is executed in the form of a Memorandum of Understanding (MOU) between all parties and updated annually as necessary. 1.5. Each of these elements shall be compiled in writing in the form of a Policies and Procedures Manual which is reviewed annually and updated as necessary. 1.6. The goals of Veterans Treatment Court programs in Georgia shall be abstinence from alcohol and other illicit drugs, effective treatment of mental health issues, and promotion of law-abiding behavior in the interest of public safety. 1.7. All members of the Veterans Treatment Court team are expected to attend and participate in a minimum of two formal staffings per month. 1.8. Members of the Veterans Treatment Court team are expected to attend all Veterans Treatment Court sessions. 1.9. Standardized evidence-based treatments, as recommended in the Veterans Treatment Court Treatment Standards (see Section II), shall be adopted by the Veterans Treatment Court to ensure quality and effectiveness of services and to guide practice. 1.10. Veterans Treatment Courts should provide for a continuum of services through partnership with a primary treatment provider(s) to deliver treatment, coordinate other ancillary services, and make referrals as necessary. 1.11. The court shall maintain ongoing communication with the treatment providers and the Veterans Administration. The treatment providers should regularly and systematically provide the court with written reports on participant progress; a reporting schedule shall be agreed upon by the Veterans Treatment Court team and put in writing as part of the court’s operating procedures. Reports should be provided on a weekly basis and within 24 hours as significant events occur. Significant events include but are not limited to the following: death; unexplained absence of a participant from a residence or treatment program; physical, sexual, or verbal abuse of a participant by staff or other clients; staff negligence; fire, theft, destruction, or other loss of property; complaints from a participant or his/her family; requests for information from the press, attorneys, or government officials outside of those connected to the court; and participant behavior requiring attention of staff not usually involved in his/her care. 1.12. Participants should have contact with case management personnel (Veterans Treatment Court staff or treatment representative) at least once per week during the first twelve months of treatment to review status of treatment and progress. 2. Using a non-adversarial approach, prosecution and defense counsel promote public safety while protecting participants’ due process rights. 2.1. Prosecution and defense counsel shall both be members of the Veterans Treatment Court team and shall participate in the design, implementation, and enforcement of the program’s screening, eligibility, and case- processing policies and procedures. 2.2. The prosecutor and defense counsel shall work to create a sense of stability, cooperation, and collaboration in pursuit of the program’s goals. 2.3. The prosecution shall: review cases and determine whether a defendant is eligible for the Veterans Treatment Court program; file all required legal documents; participate in and enforce a consistent and formal system of sanctions in response to positive drug tests and other participant noncompliance; agree that a positive drug test or open court admission of drug use will not result in the filing of additional drug charges based on that admission; and make decisions regarding the participant’s continued enrollment in the program based on progress and response to treatment rather than on legal aspects of the case, with the exception of additional criminal behavior. 2.4. The defense counsel shall: review the arrest warrant, affidavits, charging document, and other relevant information, and review all program documents (i.e., waivers, written agreements); advise the defendant as to the nature and purpose of the Veterans Treatment Court, the rules governing participation, the merits of the program, the consequences of failing to abide by the rules, and how participation or nonparticipation will affect his/her interests; provide a list of and explain all of the rights that the defendant will temporarily or permanently relinquish, and ensure the defendant fully understands any rights being waived; advise the participants on alternative options, including all legal and treatment alternatives outside of the Veterans Treatment Court program; discuss with the defendant the long-term benefits of sobriety and mental health treatment; explain that the prosecution has agreed that admission to drug use in open court will not lead to additional charges, and therefore encourage truthfulness with the judge and treatment staff; and inform the participant that they will be expected to take an active role in court sessions, including speaking directly to the judge as opposed to doing so through an attorney. 2.5. Pursuant to O.C.G.A. § 15-1-17, Defendants charged with murder, armed robbery, rape, aggravated sodomy, aggravated sexual battery, aggravated child molestation, or child molestation shall not be eligible for entry into the veterans court division, except in the case of a separate court supervised reentry program designed to more closely monitor veterans returning to the community after having served a term of incarceration. Any such court supervised community reentry program for mentally ill offenders shall be subject to the work plan as provided for in this paragraph. 2.6. For any participant whose charges include a property crime, the court must comply with the requirements and provisions set forth in the Crime Victim’s Bill of Rights (O.C.G.A. §17-17-1, et seq.). 2.7. All participants shall receive a participant handbook upon accepting the terms of participation and entering the program. Receipt of handbook shall be acknowledged through a signed form, developed by the Council of Accountability Court Judges, with an executed copy placed in the court file maintained locally. 2.8. Each Veterans Treatment Court shall develop and use a form, or adopt the model created by the Council of Accountability Court Judges to document that each participant has received counsel from an attorney prior to admittance to a Veterans Treatment Court, including the receipt of the local participant agreement with an executed copy placed in the official court file. 2.9. The decision to participate in a Veterans Treatment Court shall be made solely by the eligible participant. There shall be no coerced participation in a Veterans Treatment Court, such as by giving eligible offenders the choice between an onerous disposition and participation in the program. 2.10. The decision to participate in a Veterans Treatment Court shall not be influenced by offering a dispositional alternative more grueling or demanding to eligible offenders than that which is offered in cases where Veterans Treatment Court participation is not an option. 2.11. The judge, on the record, must apprise a participant of all due process rights, rights being waived, any process for reasserting those rights, and program expectations. 2.12. Terminations from Veterans Treatment Court require notice, a hearing, and a fair procedure. Not covered by this requirement is when a participant self-terminates and this situation does not require any type of pre- termination hearing. 2.13. The consequences of termination from a Veterans Treatment Court should be comparable to those sustained in other similar cases before the presiding judge. The sentence shall be reasonable and not excessively punitive solely based on termination from Veterans Treatment Court. 2.14. Termination hearings conducted for Veterans Treatment Court participants shall include all due process rights afforded to any offender serving a probated sentence under the supervision of the Georgia Department of Corrections. 2.15. In jurisdictions where the Veterans Treatment Court judge will also sit as the judge performing a termination hearing, this situation needs to be communicated to offenders in writing at the time where program participation is being considered. 2.16. Pursuant to O.C.G.A. 15-1-17, any plea of guilty or nolo contendere shall not be withdrawn without the consent of the court. 3. Eligible participants are identified early and promptly placed into the Veterans Treatment Court program. 3.1. Participant eligibility requirements/criteria (verified through legal and clinical screening) shall be developed and included in writing as part of the program’s policies and procedures. 3.2. Courts may admit eligible participants pre-plea, post-plea, or operate under a hybrid model. 3.3. Screening for program eligibility shall include the review of legal requirements and clinical appropriateness, including the administration of a risk and needs assessment, and verification of veteran status. 3.4. The target population for Veterans Treatment Courts is offenders assessed as low/moderate to high-risk for rearrest and with moderate-to-high treatment needs. 3.5. Members of the Veterans Treatment Court team and other designated court or criminal justice officials shall screen cases for eligibility and identify potential Veterans Treatment Court participants. 3.6. Participants being considered for a Veterans Treatment Court shall be promptly advised about the program, including the requirements, scope, and potential benefits and effects on their case. 3.7. Participants should begin treatment as soon as possible; preferably, no more than 30 days should pass between a participant being determined eligible for the program and commencement of treatment services. 3.8. Assessment for substance abuse and other treatment shall be conducted by appropriately trained and qualified professional staff, using standardized assessment tools. 3.9. Veterans Treatment Courts shall maintain an appropriate caseload based on their capacity to effectively serve all participants according to these standards. 3.10. No potential participant shall be excluded solely on the basis of sex, race, color, religion, creed, age, national origin, ancestry, pregnancy, marital or parental status, sexual orientation, or disability. 3.11. To identify and supervise participants, Veterans Treatment Courts require information about their mental illnesses and treatment plans. When sharing this information, treatment providers and representatives of the Veterans Treatment Court should consider the wishes of defendants. They must also adhere to federal and state laws that protect the confidentiality of medical, mental health, and substance abuse treatment records. 3.12. A well-designed procedure governing the release and exchange of information is essential to facilitating appropriate communication among members of the Veterans Treatment Court team and to protect confidentiality. Release forms should be part of this procedure. They should be developed in consultation with legal counsel, adhere to federal and state laws, and specify what information will be released and to whom. Potential participants should be allowed to review the form with the advice of defense counsel and treatment providers. Defendants should not be asked to sign release of information forms until competency issues have been resolved (see Standard 5: Informed Choice). 4. Veterans Treatment Courts provide access to a continuum of alcohol, drug, and other related treatment and rehabilitation services. 4.1. A Veterans Treatment Court shall require a minimum of 18 months of supervision and treatment for felony offenders to be considered as a Veterans Treatment Court. The minimum length for a misdemeanor program should be 12 months. 4.2. Felony programs should last a minimum of 18 months and should not exceed 24 months. Exceptions to the 24-month maximum may be made based on participant progress following a 24-month evaluation and assessment, to be followed up every four months thereafter and not to exceed a total program length of 36 months. A formal report of each assessment following 24 months shall be added to the participant’s file to justify extension of the program. 4.3. The length of Veterans Treatment Court participation should not extend beyond the maximum period of incarceration or probation a defendant could have received if found guilty in a more traditional court process. In addition, program duration should vary depending on a defendant’s program progress. Program completion should be tied to adherence to the participant’s court-ordered conditions and the strength of his/her connection to community treatment. 4.4. Veterans Treatment Court programs should be structured into a series of phases. The final phase may be categorized as “aftercare/continuing care.” 4.5. Veterans Treatment Court programs shall offer a comprehensive range of core alcohol and drug treatment services. These services include: a) Group counseling; b) Individual counseling; and c) Drug testing. 4.6. Veterans Treatment Court programs should ideally offer: a) Family counseling; b) Gender specific counseling; c) Domestic violence counseling; d) Health screening; e) Assessment and counseling for co-occurring mental health issues; f) Psychosocial Rehabilitation; g) Case Management; h) Trauma Counseling; and i) Crisis Intervention Services. 4.7. Ancillary services are available to meet the needs of participants. These services may include but are not limited to: a) Employment counseling and assistance; b) Educational component; c) Medical and dental care; d) Transportation; e) Housing; f) Mentoring, Peer Support, and alumni groups; and g) Obtaining qualified benefits. 4.8. Case management plans shall be individualized for each participant based on the results of the initial assessment; ongoing assessment shall be provided according to a program schedule, and treatment plans may be modified or adjusted based on results. 4.9. Treatment shall include standardized, evidence-based practices (see Section II, Veterans Treatment Court Treatment Standards) and other practices recognized by the Substance Abuse and Mental Health Services Administration National Registry of Evidence-Based Policies and Practices (NREPP). 4.10. A set of quality controls/review process shall be in place to ensure accountability of the treatment provider. 5. Abstinence is monitored by frequent alcohol and other drug testing. 5.1. Participants shall be administered a drug test a minimum of twice per week during the first two phases of the program; a standardized system of drug testing shall continue through the entirety of the program. 5.2. Drug testing shall be administered to each participant on a randomized basis, using a formal system of randomization. 5.3. All Veterans Treatment Courts shall utilize urinalysis as the primary method of drug testing; a variety of alternative methods may be used to supplement urinalysis, including breath, hair, and saliva testing and electronic monitoring. 5.4. All drug testing shall be directly observed by an authorized, same sex member of the Veterans Treatment Court team, a licensed/certified medical professional, or other approved official of the same sex. 5.5. Drug screens should be analyzed as soon as practicable. Results of all drug tests should be available to the court and action should be taken as soon as practicable, ideally within 48 hours of receiving the results. 5.6. In the event a single urine sample tests positive for more than one prohibited substance, the results shall be considered as a single positive drug screen. 5.7. A minimum of 90 days negative drug testing shall be required prior to a participant being deemed eligible for graduation from the program. 5.8. Each Veterans Treatment Court shall establish a method for participants to dispute the results of positive drug screens through either gas chromatography-mass spectrometry, liquid chromatography-mass spectrometry, or some other equivalent protocol. 5.9. Creatinine violations and drug screens scheduled and missed without a valid excuse as determined by the presiding judge shall be considered as a positive drug screen. 6. A coordinated strategy governs Veterans Treatment Court responses to participants’ compliance. 6.1. A Veterans Treatment Court shall have a formal system of sanctions, including a system for reporting noncompliance, established in writing and included in the court’s policies and procedures. 6.2. A Veterans Treatment Court shall have a formal system of rewards. 6.3. The formal system of sanctions and rewards shall be organized on a gradually escalating scale and applied in a consistent and appropriate manner to match a participant’s level of compliance. 6.4. Courts should implement a system for a minimum level of field supervision for each participant based on their respective level of risk. Field supervision may include unannounced visits to home or workplace and curfew checks. The level of field supervision may be adjusted throughout the program based on participant progress and any reassessment process. 6.5. Regular and frequent communication between all members of the Veterans Treatment Court team shall provide for immediate and swift responses to all incidents of noncompliance, including positive drug tests. 6.6. There shall be no indefinite time periods for sanctions, including those sanctions involving incarceration or detention. Incarceration or detention should only be considered as the last option in the most serious cases of non-compliance. 6.7. Participants shall be subject to progressive positive drug screen sanctions prior to being considered for termination, unless there are other acts of non-compliance affecting this decision. 7. Ongoing judicial interaction with each Veterans Treatment Court participant is essential. 7.1. A dedicated superior court judge, state court judge, or senior superior court judge must preside over an individual Veterans Treatment Court program and should be committed to serving in this role long-term. 7.2. A judge of the superior court must preside over a felony Veterans Treatment Court program; provided, however, that a judge from another class of court may be the presiding judge of a felony Veterans Treatment Court program if that judge is specially designated as such by the chief judge of the judicial circuit in which the court operates and is approved for such by the Council of Accountability Court Judges. 7.3. The presiding judge may authorize assistance from other judges, including senior judges and judges from other classes of court, on a time-limited basis when the presiding judge is unable to conduct court. 7.4. The judge shall attend and participate in all pre-court staffings, sessions, and/or meetings. 7.5. A regular schedule of status hearings shall be used to monitor participant progress. 7.6. There shall be a minimum of two status hearings per month in the first phase of Veterans Treatment Court programs and, dependent on participant needs, this minimum schedule may continue through additional phases. 7.7. Frequency of status hearings may vary based on participant needs and benefits, as well as judicial resources. Status hearings should be held no less than once per month during the last phase of the program. 7.8. Status review shall be conducted with each participant on an individual basis; to optimize program effectiveness, group reviews should be avoided unless necessary based on an emergency basis. 7.9. The judge, to the extent possible, should strive to spend an average of three minutes or greater with each participant during status review. 8. Monitoring and evaluation measure the achievement of program goals and gauge effectiveness. 8.1. Participant progress, success, and satisfaction should be monitored on a regular basis through the use of surveys and participant feedback, most importantly at the program entry point and graduation. 8.2. Participant data shall be monitored and analyzed on a regular basis (as set forth in a formal schedule) to determine the effectiveness of the program. 8.3. A process and outcomes evaluation should be conducted by an independent evaluator within three years of implementation of a Veterans Treatment Court program, and in regular intervals as necessary, appropriate, and/or feasible for the program thereafter. 8.4. Feedback from participant surveys, review of participant data, and findings from evaluations should be used to make any necessary modifications to program operations, procedures, and practices. 8.5. Data needed for program monitoring and management are easily obtainable and are maintained in useful formats for regular review by program management. 8.6. Courts should use the preferred case management program, or compatible equivalent, as designated by the Council of Accountability Court Judges, in the interest of the formal and systematic collection of program performance data. 8.7. Courts shall collect, at a minimum, a mandatory set of performance measures determined by the Council of Accountability Court Judges which shall be provided in a timely requisite format to the Standards and Certification Committee as required by the Council of Accountability Court Judges, including a comprehensive end-of-year report. The minimum performance measures to be collected shall include: recidivism (rearrests and reconvictions), number of moderate and high risk participants, drug testing results, drug testing failures, number of days of continuous sobriety, units of service (number of court sessions, number of days participant receives inpatient treatment), employment, successful participant completion of the program (graduations), and unsuccessful participant completion of the program (terminations, voluntary withdrawal, death/other). The court should develop a process to collect recidivism data following participant graduation. 9. Continuing interdisciplinary education promotes effective Veterans Treatment Court planning, implementation, and operations. 9.1. Veterans Treatment Court programs shall have a formal policy on staff training requirements and continuing education including formal orientation and training for new team members. 9.2. All members of a Veterans Treatment Court team shall receive training through the National Drug Court Institute. 9.3. Existing programs should participate in Operational Tune-Up, specific to their team, as needed. 9.4. Court teams, to the extent possible, should attend comprehensive training on an annual basis, as provided by the Council of Accountability Court Judges, the National Association of Drug Court Professionals (NADCP), or Justice for Vets. 9.5. Veterans Treatment Court judges and staff should participate in ongoing continuing education as it is available through professional organizations [Institute of Continuing Judicial Education (ICJE), NADCP, Georgia Council of Court Administrators (GCCA), etc.]. 9.6. New accountability court judges and coordinators shall attend formal orientation and training administered by the Council of Accountability Court Judges offered annually. 10. Forging partnerships among Veterans Treatment Courts, public agencies, and community-based organizations generates local support and enhances Veterans Treatment Court program effectiveness. 10.1. Pursuant to O.C.G.A. §15-1-17, each Veterans Treatment Court shall establish a planning group to create a work plan for the court. The work plan shall “address the operational, coordination, resource, information management, and evaluation needs” of the court, and shall include all policies and practices related to implementing the standards set forth in this document. 10.2. A local steering committee consisting of representatives from the court, community organizations, law enforcement, treatment providers, health providers, social service agencies, the Veterans Administration and Veterans Service Organizations, and the faith community should meet on a quarterly basis to provide policy guidance, fundraising assistance, and feedback to the Veterans Treatment Court program. 10.3. Veterans Treatment Courts should consider forming an independent 501(c)(3) organization for fundraising and administration of the steering committee. 10.4. Veterans Treatment Courts should actively engage in forming partnerships and building relationships between the court and various community partners. This may be achieved through facilitation of forums, informational sessions, public outreach, and other ways of marketing. 10.5. Veterans Treatment Court staff should participate in ongoing cultural competency training on an annual basis. EXHIBIT “C” – Case Manager (Scope of Work) ROLE OF THE CASE MANAGER Generally, a clinical case manager on a Mental Health and Veteran’s Treatment court treatment team members provides case management and limited individual counseling services for participants of the drug court program. Duties and responsibilities often include, but are not limited to the linkage and provision of ancillary social and community services to participants and follow-up individual counseling assistance and performing additional tasks as assigned. Essential Duties and Responsibilities The following duties are standard for a clinical case manager. These are not to be construed as exclusive or all-inclusive. Other duties may often be required and assigned. Prepare weekly summaries regarding each participant’s progress in following through on case management services is provided to the drug court coordinator; Attend required trainings for the court as well as weekly team planning meetings and court sessions; Meet regularly with all participants under the case manager’s care subject to specified minimum contact hours; and Assure that the court is well informed and that services remain uninterrupted if staff is unavailable. PRIMARY CASE MANAGEMENT DUTIES INCLUDE, BUT ARE NOT LIMITED TO: Meet with participants at least weekly or as directed by the court for a check-in and status review; Assist in the collection and maintenance of relevant participant data and demographic information. Such information may include history of compliance, referrals for other services, drug testing results, etc.; Linkage and follow-up to ancillary support services for participants in an effort to coordinate the utilization of community-based services such as health and mental health services, victim’s services, disability housing, entitlements, transportation, education, vocational training, and job skills training and placement to provide a strong foundation of recovery; Discharge planning and after-care follow-up; Conduct individual counseling and rehabilitation sessions with participants as needed; Conduct drug screens and specimen collections; and Perform other related duties as required. KNOWLEDGE, SKILLS, AND ABILITIES Knowledge of the courts policies, procedures, and activities of the mental health and veteran’s treatment court program as they pertain to the performance of duties relating to the position. Knowledge of the terminology used within the drug court environment and related case management standards, protocol, procedures, protocols, and procedures. Knowledge of filing systems and various word processing, spreadsheet and database software. Ability to compile, organize, and maintain as assortment of reports, records and information in an effective manner and according to drug court and/or governmental regulations. Ability to communicate effectively with supervisors and other staff members. Ability to utilize and understand computer applications and techniques as necessary in the completion of daily assignments. EXHIBIT “D” – Urine Sample Collection Procedures URINE SAMPLE COLLECTION Urine sample collection procedures represent the single most important component of a credible drug court abstinence-monitoring program. Failure to collect a valid sample puts at risk the court’s confidence that the testing accurately reflects client drug-use behavior. If participants, in order to avoid detection of surreptitious drug use, tamper with their sample, then procedures and provisions put in place to ensure quality results may be rendered useless. Requiring two essential elements can significantly enhance valid urine sample collections: random participant selection and witnessed collections. The Augusta Judicial Circuit Adult Felony Mental Health and Veteran’s Treatment Court Programs employs the following procedures to correctly assess the drug use patterns of program participants:  Urine specimens are collected in a random, unannounced manner;  Two-hour period between participant notification of a drug test and the time that the sample collection actually occurs;  Color-coded system used for participant notification; and  Witnessed/direct observation of same-gender collections (for urine monitoring). URINE COLLECTION PERSONNEL The collectors are required to meet the following training requirements: 1. Knowledge. The collector must be knowledgeable of the current Urine Specimen Collection Procedures Guidelines and guidelines applicable to drug court participant testing. 2. Qualification training. The collector must receive qualification training that provides instruction on all steps necessary to complete a collection correctly and proper completion and transmission of the custody form (CCF); problem collections, fatal flaw, correctable flaws, and how to correct collection problems; and the collector’s responsibility for maintaining the integrity of the collection process, ensuring the accuracy in results of the drug testing device being utilized, ensuring the security of the specimen, and avoiding conduct or statements that could be viewed as offensive or inappropriate. COLLECTION SITE 1. General. The collection site must have all the necessary personnel, materials, equipment, facilities, and supervision to provide for direct observation collections, temporary storage, and shipping of urine specimens to the court laboratory. 2. Single toilet-room facilities. The preferred type of facility for urine collections is one with a single-toilet room with a full-length door. No one but the donor and the collector may be present in the room. The facility must have a source of water for washing hands, but, if practicable, it should be outside of the closed room where urination occurs. If an external water source is not available, the collector must secure all sources of water and other substances that could be used for adulteration and substitution. The collector must provide moist towelettes or hand sanitizer outside the closed room. 3. Security of the collection site. The following steps must be taken by the collector to protect the security and integrity of the urine collection.  All water sources should be secured.  The toilet water should be blue.  No soap, disinfectants, cleaning agents, or other possible adulterants should be present.  The site should be inspected to ensure that no foreign or unauthorized substances are present.  The toilet tank should be taped or secured shut or bluing should be put in the tank.  Areas and items that appear suitable for concealing contaminants should be secured. All these items should be rechecked following each collection. If the collection site uses a facility normally used for other purposes, the following steps should also be taken:  Access to collection materials and specimens should be effectively restricted.  • The facility should be secured against access during the procedure to ensure privacy of the donor and prevent distraction of the collector. Limited-access signs must be posted.  To the greatest extent possible, the donor’s collection container should remain in view of the collector and the donor from the time the donor has urinated until the specimen is sealed if needed.  Only the collector and donor should handle the specimen before it is sealed.  The collector cannot leave the testing site between the time the donor gives the collector the specimen and the specimen is sealed.  The collector must maintain personal control over each specimen and the CCF throughout the collection process. UNEVENTFUL SPLIT COLLECTION In this scenario, no abnormal events occur and all aspects (quantity, temperature, smell, etc) of the specimen are normal.  Donor positively identified via an acceptable means of identification.(photo identification, donor consent form etc).  Collector reviews collection instructions with donor - located on back of CCF.  Collector checks to see that the participants name and specimen ID number are printed on the CCF and the required number of copies are provided.  Collector checks to ensure that the specimen ID number on the CCF matches the specimen ID number on the specimen bottle seals.  Collector completes administration portion of the CCF to include ensuring that the following information is preprinted or inserted by the collector.  Collector has donor remove any unnecessary outer clothing, briefcase, purse or personal belongings. The collector must provide a receipt to the donor if requested.  Collector instructs donor to empty his/her pockets and display items.  Collector instructs donor to wash his/her hands.  Collector selects a collection kit.  Collector conducts pre-collection inspection of the collection area to include: o Secure all water sources o Ensure bluing is in toilet o Ensure that no soap, disinfectant, cleaning agents or other potential adulterants are present o Ensure that no foreign or unauthorized substances are present o Tape/secure any movable toilet tank top or put bluing in the tank o Ensure that undetected access is not possible o Secure areas and items that appear suitable for concealing contaminants  Collector unwraps collection cup and instructs the donor to enter the rest room to provide the specimen, do not flush toilet, and to return as quickly as possible.  Donor gives specimen to collector. Both the donor and the collector must maintain visual contact with the specimen until the specimen bottles are sealed.  Collector conducts post-collection inspection of the collection area.  Collector transfers specimen-to-specimen bottles.  Collector affixes specimen bottle seals to each specimen bottle and dates each seal.  Donor initials both specimen bottle seals.  Collector places specimen bottles and laboratory copy of the CCF into the leak proof bag, and seals the pouch.  Collector informs donor that he/she is free to go.  Collector places the sealed package into a shipping container.  Collector ensures that specimen is shipped within 24 hours. INSUFFICIENT QUANTITY OF SPECIMEN  Donor positively identified via an acceptable means of identification. (photo identification, donor consent form etc).  Collector reviews collection instructions with donor - located on back of CCF.  Collector checks to see that participant name and specimen ID number are printed on the CCF and the required number of copies are provided.  Collector checks to ensure that the specimen ID number on the CCF matches the specimen ID number on the specimen bottle seals.  Collector completes administration portion of the CCF to include ensuring that the following information is preprinted or inserted by the collector.  Collector has donor remove any unnecessary outer clothing, briefcase, purse or personal belongings. The collector must provide a receipt to the donor if requested.  Collector instructs donor to empty his/her pockets and display items.  Collector instructs donor to wash his/her hands.  Collector either selects a collection kit or allows the donor to select one.  Collector conducts pre-collection inspection of the collection area to include: o Secure all water sources o Ensure bluing is in toilet o Ensure that no soap, disinfectant, cleaning agents or other potential adulterants are present o Ensure that no foreign or unauthorized substances are present o Tape/secure any movable toilet tank top or put bluing in the tank o Ensure that undetected access is not possible o Secure areas and items that appear suitable for concealing contaminants.  Collector unwraps collection cup and instructs the donor to enter the rest room to provide the specimen, do not flush toilet, and to return as quickly as possible.  Donor gives specimen to collector. Both the donor and the collector must maintain visual contact with the specimen until the specimen bottles are sealed.  Collector conducts post-collection inspection of the collection area.  After the required time, if a specimen of sufficient quantity has not been provided, the collector discontinues the session.  Collector immediately notifies the adult felony drug court coordinator of the missed drug screen (MUDS). REFUSAL BY DONOR TO SIGN AND INITIAL COLLECTION  Donor positively identified via an acceptable means of identification. (photo identification, donor consent form etc).  Collector reviews collection instructions with donor - located on back of CCF.  Collector checks to see that participant name and specimen ID number are printed on the CCF and the required number of copies are provided.  Collector checks to ensure that the specimen ID number on the CCF matches the specimen ID number on the specimen bottle seals.  Collector completes administration portion of the CCF to include ensuring that the following information is preprinted or inserted by the collector.  Collector has donor remove any unnecessary outer clothing, briefcase, purse or personal belongings. The collector must provide a receipt to the donor if requested.  Collector instructs donor to empty his/her pockets and display items.  Collector instructs donor to wash his/her hands.  Collector either selects a collection kit or allows the donor to select one.  Collector conducts pre-collection inspection of the collection area to include: o Secure all water sources o Ensure bluing is in toilet o Ensure that no soap, disinfectant, cleaning agents or other potential adulterants are present o Ensure that no foreign or unauthorized substances are present o Tape/secure any movable toilet tank top or put bluing in the tank o Ensure that undetected access is not possible o Secure areas and items that appear suitable for concealing contaminants.  Collector unwraps collection cup and instructs the donor to enter the rest room to provide the specimen, do not flush toilet, and to return as quickly as possible.  Donor gives specimen to collector. Both the donor and the collector must maintain visual contact with the specimen until the specimen bottles are sealed.  Collector conducts post-collection inspection of the collection area.  If the participant is unable to submit a sample, the collector turns to MRO copy of CCF and instructs the participant to read the certification statement and sign on the appropriate blank, donor provides his/her daytime phone number, evening phone number, and date of birth to the collector, collector prints donors name, and today’s date.  Collector retains the Collector copy of the CCF, and the AOC and MRO reports are provided to the adult felony drug court coordinator as soon as possible. Exhibit "E" - Treatment Compliance Audit Form Augusta Judicial Circuit Administrative Office of the Courts Honorable James G. Blanchard, Jr. Superior Court Judge Elaina Ashley Accountability Court Coordinator Augusta Judicial Circuit Telephone (706) 821-1673 FAX (706) 849-3739 Email: eashley@augustaga.gov Augusta Judicial Circuit Adult Felony Accountability Court Treatment Quality Control Form Date Completed: ________________________________ PURPOSE OF JOB/EXPECTED CORE COMPETENCIES The Council of Accountability Court Judges of Georgia (CACJ) has identified court standards that adult felony accountability court treatment providers are expected to adhere to. An adult felony accountability court treatment provider provides rehabilitative therapy sessions, drug screenings, case management and monitoring for adult felony accountability court participants in keeping with the holistic recovery of the adult felony accountability court program model. Participates fully as an adult felony accountability court team member, committing him/herself to the program mission and goals and works as a full partner to ensure success. Screens eligible participants using court approved assessment tool?  YES  NO Attends regularly scheduled staffing meetings?  YES  NO Provides information regarding drug court participant’s progress?  YES  NO Provides all relevant information, issues, and/or concerns to the Adult Felony Accountability Court Program Coordinator no later than 12 PM every Tuesday? Treatment reports will consist of: Participant Treatment and/or Case Management Issues?  YES  NO Participant Compliance/Non-Compliance with Treatment?  YES  NO Participants Treatment Status?  YES  NO Protects integrity of the mental health and veteran’s treatment court program by providing competent treatment?  YES  NO Remains abreast of best practices of the field?  YES  NO Maintains up-to-date records of participant performance?  YES  NO Ensures that the participant receives the highest level of care available, at a reasonable cost, by all contracted and ancillary service providers. Develop post program services, participants outreach, mentor programs and alumni associations. Conducts regular quality assurance of all treatment and ancillary services?  YES  NO Performs case autopsy on charts of participants who are discharged from the program as method of quality improvement?  YES  NO Individual/Group treatment sessions consist of education/skill building services to include but not limited to: Addiction  YES  NO Relapse prevention planning  YES  NO Criminogenic Thinking Errors  YES  NO Life Skills  YES  NO Anger Management  YES  NO Parenting  YES  NO Bereavement  YES  NO Sexual Relationships  YES  NO Gender Specific  YES  NO Health/Medical Issues  YES  NO Personal Safety Planning  YES  NO Clinically Relevant Treatment Issues  YES  NO Treatment Sessions are equally offered (mornings, evenings and/or weekends) for both genders?  YES  NO Treatment schedules participants make-up sessions for all missed and reports to the court any changes in scheduling?  YES  NO Maintains competent staff that uphold the court’s policies and procedures?  YES  NO Records are established and maintained with all up-to-date record of participant performance?  YES  NO Records that are the subject of audit findings shall be retained until audit findings have been resolved?  YES  NO Promptly processes referrals to drug court by completing treatment screens efficiently?  YES  NO Administers a court approved biopsychosocial to Include: Alcohol and drug use history  YES  NO Mental Health History  YES  NO Physical Health History  YES  NO Education  YES  NO Emotional/Health barriers  YES  NO Employment  YES  NO Family dynamics  YES  NO Housing  YES  NO Spirituality  YES  NO Social Support Systems  YES  NO Transportation  YES  NO Treatment History  YES  NO Criminal History  YES  NO Choice of drugs  YES  NO Co-existing Disorders  YES  NO Gender, ethnic, and cultural considerations  YES  NO Other health issues (i.e. HIV and Hepatitis C)  YES  NO Sexual Orientation  YES  NO Domestic Violence  YES  NO Sexual Abuse  YES  NO A Diagnosis  YES  NO Recommendations  YES  NO Justification for referral to the Drug Court program  YES  NO Administers Level of Service Inventory-Revised (LSI-R)?  YES  NO Participant Treatment Plans UPON ENTRY – A copy of the Treatment Plan for each participant is provided to the coordinator within the first two (2) weeks of the initial intake/counseling session outlining the short and long- term goals the participant will work on over the full treatment period  YES  NO PRIOR TO PHASE MOVEMENT – Participant status updates on progress/updated treatment plans are provided to the coordinator prior to phase movement that outlines how the participant is/is not progressing toward the treatment plan goals as well as the Treatment Providers overall impression of how they believe the participant is/is not progressing in treatment and meeting their goals  YES  NO PRIOR TO GRADUATION/TERMINATION – Summary of participant completion of or inability to complete the goals outlined in the treatment plan must be provided to the coordinator prior to graduation/termination from the program as well as the Treatment Providers overall impression of how they believe the participant is/is not progressing in treatment and meeting their goals. Treatment provider must supply documentation outlining a participant’s positive progression of overall treatment regimen to include goals met, milestones reached, etc. prior to phase advancements for all participants  YES  NO Secures assistance from ancillary services as needed for participants?  YES  NO Provides referrals to residential treatment?  YES  NO Provides referrals to additional treatment options?  YES  NO Assist with referrals for participants suspected of psychological or psychiatric issues?  YES  NO Assist with securing transportation?  YES  NO Develops effective measure for drug/alcohol testing and treatment progress reporting that provides the team with sufficient and timely information to implement incentives and sanctions systems. Implements random system of screening for drug court participants?  YES  NO Has created a system to schedule, announce, observe, collect, and confirm drug screenings?  YES  NO Participants are tested a minimum of three times weekly?  YES  NO Conducts visually monitored screens for each participant?  YES  NO Urine specimen collection containers are stored in a secure location, in a manner in which participants may not have access while in the possession of the treatment provider?  YES  NO Urine drug screens are documented with the signature of person conducting screens?  YES  NO Maintains up-to-date records of all screens?  YES  NO Assists in providing advanced training in substance abuse, addiction and treatment methodologies so as to provide the team with a meaningful basis to implement incentives and sanctions systems and design program protocols and procedures. Provides ongoing training and reads the training provided to all team members?  YES  NO Supports therapeutic applications of incentives and sanctions?  YES  NO As part of the Adult Felony Accountability Court team, the treatment provider advocates for effective incentives and sanctions to maintain program compliance. Assist the team in making consistent and fair incentives and sanctions?  YES  NO Recommends therapeutic incentives and sanctions?  YES  NO Considers participant’s behavior and shares information with team?  YES  NO Is knowledgeable of gender, age and cultural issues that may impact the participant’s success. Attends/Reads all training materials to be able to inform team members about up-to-date information (drug testing, sanctions/incentives, new treatment opportunities, etc.)?  YES  NO Is knowledgeable about addiction, alcoholism and pharmacology generally and applies that knowledge to respond to compliance in a therapeutically appropriate manner. Provides sufficient information to indicate continued research is conducted of effective treatment modalities?  YES  NO Conducts regular quality assurance of counselors and ensure treatment services are being provided as agreed to per the contract?  YES  NO Contributes to the team’s efforts in community education and local resource acquisition. Contributes to ongoing research of potential funding streams?  YES  NO Contributes to education of peers, colleagues and judiciary in the efficacy of the adult felony accountability courts. Maintains integrity of drug court program through quality assurance?  YES  NO Disseminates information about drug court as frequently as possible?  YES  NO TREATMENT SERVICES SHOULD INCLUDE THE FOLLOWING (NOT ALL INCLUSIVE): Use of a cognitive behavioral model, to include interventions designed to address criminal thinking patterns responsive to ethnicity, gender, age, and other characteristics of the participant  YES  NO Consistent use of techniques to accommodate and address participant stages of change such as motivational interviewing and motivational enhancement therapy should be employed to reduce participant defensiveness, foster engagement and improve retention  YES  NO Provide options for family treatment to address patterns of family interaction that increase the risk of re- offending, to develop family understanding of substance use disorders and recovery, and to create an improved family support system  YES  NO Referral of family members to appropriate community resources to address other identified service needs  YES  NO Incorporation of parenting and child custody issues and the needs of children in the participant’s family into the treatment plan and addressing them through the effective use of community resources  YES  NO Attend regular clinical/treatment staff meetings to review treatment goals, progress, and other clinical issues with staff  YES  NO Prompt and systemic reporting to the program coordinator of participant’s behavior; progress in treatment, compliance with treatment court program requirements, and any other relevant information  YES  NO Discuss program phases, guidelines, and expectations to new participant  YES  NO Drug Court Coordinator Signature Date Treatment Provider Signature Date Treatment Comments: Issues Found: Section IV Adult Mental Health Court Treatment Standards Table of Contents 1. Screening...........................................................................................27 2. Assessment .......................................................................................27 3. Level of Treatment.............................................................................27 4. Treatment/Case Management Planning............................................28 5. Mental Health Treatment Interventions..............................................28 6. Dual Diagnosis Treatment Interventions............................................29 7. Recidivism/Criminality Treatment Interventions ................................29 8. Information Systems..........................................................................30 9. Oversight and Evaluation...................................................................30 Judicial Council of Georgia • Administrative Office of the Courts 2nd Revision. October 2013 27 Standards for Georgia Accountability Courts Adult Mental Health Court Treatment Standards Section IV Adult Mental Health Court Treatment Standards 1.Screening 1.1 Legal: Mental health court programs should work with an interdisciplinary team that consists of a judge, prosecutor, defense attorney, mental health provider, law enforcement, probation, and coordinator to ensure systematic, early identification, and early engagement of the target population. 1.1.1 Recommended tool: Brief Jail Mental Health Screen at jail and/or first appearance. 1.2 Clinical: Mental health courts will enroll participants who meet diagnostic criteria for severe and persistent mental illness and/or dual diagnosis and whose needs can be met by the program. 1.2.1 Recommended tools: Texas Christian University, Substance Abuse II (TCUDS); Addiction Severity Index-Drug Use Subscale (ASI-Drug); Substance Abuse Subtle Screening Inventory-2 (SASSI-2); Brief Jail Mental Health Screen, National GAINS Center. 2.Assessment 2.1 Mental health courts will employ an assessment tool that captures offenders' risk of recidivism and treatment needs. 2.1.1 Recommended tools: Level of Service Inventory-R (LSI-R) starting January 2013 and/or Short-Term Assessment of Risk and Treatability (START) for utilization with mental health court participants of all levels of impairment. 2.2 Appropriate assessment instruments are actuarial tools that have been validated on a targeted population, are scientifically proven to determine a person's risk to recidivate and to identify criminal risk factors that, when properly addressed, can reduce that person's likelihood of committing future criminal behavior. 2.3 An assessment tool should also be suitable for use as a repeat measure. Programs should re- administer the tool as a measure of program effectiveness and offender progress. 3.Level of Treatment 3.1 Mental health courts will offer an appropriate level of evidence based treatment for the target population. 3.1.1 Recommended tools: ASAM Patient Placement Criteria for the Treatment of Dual Diagnosis participants (PPC-2R). 3.1.2 Recommended clinical assessment: START to determine level of need for participants with primary mental health issues. 3.2 Mental health courts will match participant risk of recidivism and needs with an appropriate level of treatment and supervision. Program length should be a minimum of 12 months for misdemeanor programs and 18 months for felony programs. Judicial Council of Georgia • Administrative Office of the Courts 2nd Revision. October 2013 28 Standards for Georgia Accountability Courts Adult Mental Health Court Treatment Standards 4. Treatment/Case Management Planning 4.1 Mental health courts will use treatment/case management planning that follows from assessment and systematically addresses core risk factors associated with treatment and recidivism. 4.2 Mental health court case managers will link participants with the appropriate level of treatment in the community. 4.2.1 This treatment can include linkage to a private psychiatrist and therapist if private insurance is available. 4.2.2 This treatment can also include linkage to the local Community Service Board for indigent or state-served clients. 4.3 Treatment and case management planning should be an ongoing process and occur in conjunction with one another. 4.4 Mental health court programs will offer and/or collaborate with community partners to offer a comprehensive range of mental health and dual diagnosis treatment services. These services include: (1) Group counseling (2) Individual counseling (3) Drug testing (4) Psychosocial rehabilitation (5) Family support (6) Medication management. 4.5 Mental health court programs should ideally offer: (1) Family counseling (2) Gender specific counseling (3) Domestic violence counseling (4) Health screening (5) Assessment and counseling for co-occurring substance use issues. 4.6 Ancillary services are available to meet the needs of participants. These services may include but are not limited to: (1) Employment counseling and assistance (2) Educational component (3) Medical and dental care (4) Transportation (5) Housing (6) Mentoring and alumni groups (7) Assistance with government funded/community based assistance programs. 4.7 Aftercare services are an important part of program services to ensure transition to less supervised services. Aftercare is lower in intensity and follows higher-intensity programming. 5. Mental Health Treatment Interventions 5.1 Mental health courts will use a manualized curriculum and structured [e.g. Cognitive Behavior Therapy (CBT)] approach when applicable to a participant for treating mental health symptoms. 5.1.1 Recommended tool: Wellness Recovery Action Plan (WRAP). 5.2 Mental health courts will use a manualized curriculum and structured approach to address trauma/abuse symptoms and will be done in gender-specific groups and/or individual treatment. 5.2.1 Recommended tools: Seeking Safety; Trauma Focused Cognitive Behavioral Therapy. Judicial Council of Georgia • Administrative Office of the Courts 2nd Revision. October 2013 29 Standards for Georgia Accountability Courts Adult Mental Health Court Treatment Standards 6.Dual Diagnosis Treatment Interventions 6.1 Mental health courts will use a manualized curriculum and structured (e.g. CBT) approach to treating dual diagnosis. 6.1.1 Recommended tools: Relapse Prevention Therapy (RPT); Motivational Enhancement Therapy (MET); Hazelden Co-Occurring Disorders Program; TCU Mapping- Enhanced Counseling; Integrated Dual Disorders Treatment. 6.2 Abstinence is monitored by frequent alcohol and other drug testing. This is the cornerstone of dual diagnosis treatment. 6.2.1 Participants shall be administered a drug test a minimum of twice per week during the first two phases of the program; a standardized system of drug testing shall continue through the entirety of the program. 6.2.2 Drug testing shall be administered to each participant on a randomized basis, using a formal system of randomization. This can pose a problem in more rural counties. 6.2.3 All mental health courts shall utilize urinalysis as the primary method of drug testing; a variety of alternative methods may be used to supplement urinalysis, including breath, hair, and saliva testing and electronic monitoring. 6.2.4 All drug testing shall be directly observed by an authorized, same sex member of the mental health court team, a licensed/certified medical professional, or other approved official of the same sex. 6.2.5 Drug screens should be analyzed as soon as practicable. Results of all drug tests should be available to the court and action should be taken as soon as practicable, ideally within 48 hours of receiving the results. 6.2.6 In the event a single urine sample tests positive for more than one prohibited substance, the results shall be considered as a single positive drug screen. 6.2.7 A minimum of 90 days negative drug testing shall be required prior to a participant being deemed eligible for graduation from the program. 6.2.8 Each mental health court shall establish a method for participants to dispute the results of positive drug screens through either gas chromatography-mass spectrometry, liquid chromatography-mass spectrometry, or some other equivalent protocol. 6.2.9 Creatinine violations and drug screens scheduled and missed without a valid excuse as determined by the presiding judge shall be considered as a positive drug screen. 7.Recidivism/Criminality Treatment Interventions 7.1 Mental health courts will incorporate programming that addresses criminogenic risk factors for those offender characteristics that are related to risk of recidivism. 7.1.1 Recommended tools: Moral Reconation Therapy (MRT); Thinking for a Change (TFAC). These tools are appropriate for participants who are assessed as “stable” and of moderate-risk (or higher) for recidivism. 7.2 Criminal risk factors are those characteristics and behaviors that affect a person's risk for committing future crimes and include, but are not limited to, antisocial behavior, antisocial personality, criminal thinking, criminal associates, substance abuse, difficulties with impulsivity and problem-solving, underemployment, or unemployment. Judicial Council of Georgia • Administrative Office of the Courts 2nd Revision. October 2013 30 Standards for Georgia Accountability Courts Adult Mental Health Court Treatment Standards 8.Information Management Systems 8.1 Mental health courts will employ an information management system that captures critical court and treatment data and decisions that affect participants. The data management approach will promote the integration of court and treatment strategies, enhance treatment and case management planning and compliance tracking, and produce meaningful program management and outcome data. Measures of treatment services delivered and attended by participants should be captured. 9.Oversight and Evaluation 9.1 Mental health courts are responsible for oversight of all program components. Regular monitoring of judicial status hearings, treatment, and case management services should occur. 9.2 Meetings with and surveys of participants to assess program strengths and areas for improvement increase legitimacy of the process and lead to improved outcomes. Public Safety Committee Meeting 10/30/2018 1:10 PM RFP Item #18-255 Adult Felony Mental Health & Veterans Court Contract Services Department:Adult Felony Mental Health & Veterans Court Programs Presenter:Elaina Ashley, Adult Felony Accountability Court Programs Coordinator Caption:Motion to approve a partnership between the Augusta Judicial Circuit Adult Felony Mental Health & Veterans Court Programs and Family Counseling Center of the CSRA. This partnership will provide the court programs access to qualified licensed professional consultants that will provide state court certification required services to the participants of the Adult Felony Mental Health and Veteran’s Court Treatment Court Programs. Background:The state of GA requires accountability courts to provide treatment services that consist of rehabilitative skill building, development of environmental supports, resource coordination, medication stabilization, financial stabilization, and housing. Treatment services combined with court services decreases the frequency and duration of crisis episodes and teaches stable participation in community/work activities. Supports based on the person’s needs are used to promote recovery while providing services to reduce the effects of a mental illness and/or substance use/abuse. Treatment services as the primary provider of behavioral health services and will provide linkage to community; general entitlements; and psychiatric, substance use/abuse, medical services, crisis prevention and services. Analysis: Financial Impact:Funding for treatment services will be provided through the state of GA’s CACJ grants currently received for the remainder of the FY ‘18/’19 [Mental Health Court Grant #J19-8-055 & Veterans Treatment Court Grant #J19-8-084] and through FY’ 19 Accountability Court Supplemental Grant funds. Grant funding match is provided from two sources: 1) Org Key/Obj Code 205000000/3511410, which consists of monies collected from Adult Felony Program Participant Fees; and 2) the Accountability Courts Coordinator's salary. Alternatives: Recommendation:Approve Funds are Available in the Following Accounts: Org Key: 220022636 and 220022637. Funding for treatment services will be provided through the state of GA’s CACJ grants currently received for the remainder of the FY ‘18/’19 [Mental Health Court Grant #J19-8-055 & Veterans Treatment Court Grant #J19-8-084] and through FY’ 19 Accountability Court Supplemental Grant funds. Grant funding match is provided from two sources: 1) Org Key/Obj Code 205000000/3511410, which consists of monies collected from Adult Felony Program Participant Fees; and 2) the Accountability Courts Coordinator's salary which already in fund 220. REVIEWED AND APPROVED BY: Finance. Law. Administrator. Clerk of Commission