05-19-2020 Final Agenda Packet

AGENDA CITY COUNCIL Tuesday, May 19, 2020 9:00 AM

The regular meeting of the City Council will be held on May 19, 2020 at 9:00 AM in the City Council Chambers 455 N. Main Street, Wichita, KS 67202.

OPENING OF REGULAR MEETING

Call to Order

Invocation and Pledge of Allegiance

Approve the minutes of regular meeting May 12, 2020

PROCLAMATIONS

National Public Works Week

National Foster Care Month

I. PUBLIC AGENDA - SUSPENDED NOTICE: No action will be taken relative to items on this agenda other than referral for information. Requests to appear will be placed on a “first-come, first-served” basis. This portion of the meeting is limited to thirty minutes and shall be subject to a limitation of five minutes for each presentation with no extension of time permitted. No speaker shall be allowed to appear more frequently than once every fourth meeting. Members of the public desiring to present matters to the Council on the public agenda must submit a request in writing to the office of the city clerk prior to twelve noon on the Tuesday preceding the council meeting. Matter pertaining to personnel, litigation and violations of laws and ordinances are excluded from the agenda. Rules of decorum as provided in this code will be observed.

II. CONSENT AGENDA ITEMS 1 THROUGH 8 NOTICE: Items listed under the “Consent Agendas” will be enacted by one motion with no separate discussion. If discussion on an item is desired, the item will be removed from the “Consent Agendas” and considered separately (The Council will be considering the City Council Consent Agenda as well as the Planning, Housing, and Airport Consent Agendas. Please see “ATTACHMENT 1 – CONSENT AGENDA ITEMS” for a listing of all Consent Agenda Items.

COUNCIL BUSINESS 1 City Council Page 2 May 19, 2020

III. BOARD OF BIDS AND CONTRACTS

1. Report of Board of Bids and Contracts dated May 18, 2020.

RECOMMENDED ACTION: Receive and file report, approve the contracts and authorize the necessary signatures. 05-18-2020 Board of Bids.pdf

IV. UNFINISHED COUNCIL BUSINESS - NONE

V. NEW COUNCIL BUSINESS

1. Public Hearing and Resolution for Letter of Intent to Issue Airport Special Facilities Revenue Bonds, Clemens Aviation, LLC. (District II)

RECOMMENDED ACTION: Close the public hearing, adopt the Resolution and authorize the necessary signatures. Agenda Report No. V-1.docx 2020 IRB Wichita (c-2) Request for Authorization to Issue Bonds Resolution 20-148

2. Acquisition of a Portion of Property at 217 East Douglas for the Chester I. Lewis Reflection Park Project. (District I)

RECOMMENDED ACTION: Approve the acquisition and authorize the Mayor to sign all necessary documents Agenda Report No. V-2.docx Real Estate Sale Contract Area Map.docx

3. 2020 Lift Station Rehabilitation.

RECOMMENDED ACTION: Adopt the resolution, and authorize the necessary signatures. Agenda Report No. V-3.docx Resolution No. 20-149 NOI 20-149

4. 2020 Park Facility Enhancements.

RECOMMENDED ACTION: Adopt the resolution, authorize the necessary signatures and authorize the initiation of the project. Agenda Report No. V-4.docx Resolution No. 20-150 2 City Council Page 3 May 19, 2020

5. Coronavirus Emergency (ER) Supplemental Funding Program Solicitation.

RECOMMENDED ACTION: Approve the grant application and authorize the necessary signatures Agenda Report No. V-5.docx

6. Quarterly Financial Report for the Quarter Ended March 31, 2020.

RECOMMENDED ACTION: Receive and file the Quarterly Financial Report for the quarter ended March 31, 2020. Agenda Report No. V-6.doc Quarter 1 Financial Report.pdf

7. Over Estimate Bid for Aquatics Master Plan Phase 1A. (Districts IV and V)

RECOMMENDED ACTION: Approve the revised estimate, approve acceptance of the lowest bid, and authorize the necessary signatures. Agenda Report V-7.doc Revised Bid Tab.pdf

COUNCIL BUSINESS SUBMITTED BY CITY AUTHORITIES

PLANNING AGENDA NOTICE: Public hearing on planning items is conducted by the MAPC under provisions of State law. Adopted policy is that additional hearing on zoning applications will not be conducted by the City Council unless a statement alleging (1) unfair hearing before the MAPC, or (2) alleging new facts or evidence has been filed with the City Clerk by 5p.m. on the Wednesday preceding this meeting. The Council will determine from the written statement whether to return the matter to the MAPC for rehearing.

VI. NON-CONSENT PLANNING AGENDA - NONE

HOUSING AGENDA NOTICE: The City Council is meeting as the governing body of the Housing Authority for consideration and action on the items on this Agenda, pursuant to State law, HUD, and City ordinance. The meeting of the Authority is deemed called to order at the start of this Agenda and adjourned at the conclusion. Arvin Marlowe, Housing Member is also seated with the City Council.

VII. NON-CONSENT HOUSING AGENDA - NONE

AIRPORT AGENDA NOTICE: The City Council is meeting as the governing body of the Airport Authority for consideration and action on items on this Agenda, pursuant to State law and City ordinance. 3 City Council Page 4 May 19, 2020

The meeting of the Authority is deemed called to order at the start of this Agenda and adjourned at the conclusion.

VIII. NON-CONSENT AIRPORT AGENDA - NONE

COUNCIL AGENDA

IX. COUNCIL MEMBER AGENDA

1. Resolution in Support of the Salvation Army.

RECOMMENDED ACTION: Adopt the resolution approving a letter of support and authorize all necessary signatures. Agenda Report No. IX-1.docx Resolution 20-151 Letter of Support.pdf

2. Resolution in Support of Local Independent Live Music Venues.

RECOMMENDED ACTION: Adopt the resolution of support and authorize the Mayor to sign. Agenda Report No. IX-2.docx Resolution No. 20-152

3. Resolution Adopting Procedures for Public Comment.

RECOMMENDED ACTION: Adopt the resolution and authorize the Mayor to sign. Agenda Report No. IX-3.docx Resolution No. 20-156

X. COUNCIL MEMBER APPOINTMENTS AND COMMENTS

1. Board Appointments.

RECOMMENDED ACTION: Approve the appointments.

Adjournment

ATTACHMENT 1 - CONSENT AGENDA ITEMS 1 THROUGH 8

II. CITY COUNCIL CONSENT AGENDA ITEMS

1. Applications for Licenses:

a. Applications for License. 4 City Council Page 5 May 19, 2020

RECOMMENDED ACTION: Approve the license. Applications for Licenses May 19.docx

2. Applications for Licenses for Cereal Malt Beverages:

a. Applications for Licenses to Retail Cereal Malt Beverages:

RECOMMENDED ACTION: Approve licenses subject to staff review and approval. CMBS FOR MAY 19.docx

3. Preliminary Estimates:

a. List of Preliminary Estimates.

RECOMMENDED ACTION: Receive and file. PEsforCC_05-19-20.pdf

4. Petitions for Public Improvements:

a. Petition for Improvements to Serve Catholic Charities Addition. (District VI)

RECOMMENDED ACTION: Approve the petition and budget, adopt the resolution, and authorize the necessary signatures. Agenda Report No. II-4a.doc Supporting Documents Resolution 20-153

5. Agreements/Contracts:

a. Union Pacific Railroad (UPRR) Pipeline Crossing Agreement for Mt. Vernon from Broadway to Southeast Boulevard. (District III)

RECOMMENDED ACTION: Approve the agreement and authorize the necessary signatures. Agenda Report No. II-5a.doc Agreement

Uncategorized Items:

6. Over Estimate Bid for Aquatics Master Plan Phase 1A. (Districts IV and V) (Moved to New Business, Agenda item V-7)

RECOMMENDED ACTION: Approve the revised estimate, approve acceptance of the lowest bid and authorize the necessary signatures. 5 City Council Page 6 May 19, 2020

7. Cheney Dam Municipal Outlet Works Footbridge Pier Removal Exigency.

RECOMMENDED ACTION: Ratify the City Manager’s emergency approval of the repairs, approve the change order, adopt the amending resolution and authorize the necessary signatures. Agenda Report No. II-7.docx CO.pdf Resolution No. 20-154 NOI 20-154

8. Fire Prevention and Safety Grant Program.

RECOMMENDED ACTION: Authorize submission and acceptance of the FY 2019 FP&S Grant Program. Agenda Report No. II-8.docx FY_2019_FPS_NOFO_Final.pdf

II. CONSENT PLANNING AGENDA ITEMS - NONE NOTICE: Public hearing on planning items is conducted by the MAPC under provisions of State law. Adopted policy is that additional hearing on zoning applications will not be conducted by the City Council unless a statement alleging (1) unfair hearing before the MAPC, or (2) alleging new facts or evidence has been filed with the City Clerk by 5p.m. on the Wednesday preceding this meeting. The Council will determine from the written statement whether to return the matter to the MAPC for rehearing.

II. CONSENT HOUSING AGENDA ITEMS - NONE NOTICE: The City Council is meeting as the governing body of the Housing Authority for consideration and action on the items on this Agenda, pursuant to State law, HUD, and City ordinance. The meeting of the Authority is deemed called to order at the start of this Agenda and adjourned at the conclusion. Arvin Marlowe, Housing Member is also seated with the City Council.

II. CONSENT AIRPORT AGENDA ITEMS - NONE NOTICE: The City Council is meeting as the governing body of the Airport Authority for consideration and action on items on this Agenda, pursuant to State law and City ordinance. The meeting of the Authority is deemed called to order at the start of this Agenda and adjourned at the conclusion.

6 7 8 9 10 11 12 13 14 15 16 17 18 19 Agenda Item No. V-1

City of Wichita City Council Meeting May 19, 2020

TO: Mayor and City Council

SUBJECT: Public Hearing and Resolution for Letter of Intent to Issue Airport Special Facilities Revenue Bonds (Clemens Aviation, LLC) (District II)

INITIATED BY: Office of Economic Development

AGENDA: New Business ______

Recommendation: Close the public hearing and adopt the Resolution.

Background: Clemens Aviation, LLC is a newly formed legal entity that intends to build two 18,000 square-foot facilities at Colonel James Jabara Airport to support charter operations, aircraft maintenance and more. Clemens is requesting a Letter of Intent to issue Airport Special Facility Revenue Bonds in an amount not to exceed $4,000,000.

Analysis: Clemens Aviation, LLC was recently formed in order to become a commercial operator that provides commercial aeronautical services for aircraft storage, aircraft charter operations, aircraft maintenance, aircraft management and pilot services at Colonel James Jabara Airport in east Wichita that would include constructing two 18,000 square-foot hangars. Clemens’ charter operations will be part of the airport with currently existing taxiway access to the runway.

The expansion will be located at the north end of Colonel James Jabara Airport which is located at 3512 N. Webb Road, Wichita, Kansas. The proposed addresses of Clemens Aviation, LLC’s hangars are 3622 and 3628 N. Jabara Road.

While Clemens Aviation, LLC is a newly formed entity, its principal owners have a long history in the aviation industry. Dwayne Clemens is a former Hawker Beechcraft test pilot and the current owner of Stearman Field (a privately owned, public use airport in Benton, Kansas). He manages several airport and aviation-related businesses with his wife, Julie. The Clemens' have invested substantially in Stearman Field and created a vibrant airport with a larger runway that is surrounded by condominium hangars and private homes.

Clemens anticipates transferring 17 employees from Stearman to the new Jabara facilities and adding 16 net new jobs over the next five years at an average annual wage of $76,560.

There is no property tax abatement being requested as the property is on land owned by the Airport Authority, which is exempt from property tax in perpetuity.

Financial Considerations: Wichita State University’s Center for Economic Development and Business Research performed an analysis, which indicates the following ratio of benefit to costs:

City of Wichita 40.63 to 1.00 City of Wichita – General Fund NA City of Wichita – Debt Serv NA Sedgwick County 53.93 to 1.00 USD 259 8.45 to 1.00 State of Kansas 2.24 to 1.00 20 Clemens Aviation – ASFRB LOI May 19, 2020 Page 2

Legal Considerations: The Law Department has approved the attached Resolution as to form.

Recommendations/Actions: It is recommended that City Council close the public hearing, adopt the Resolution and authorize the necessary signatures.

Attachments: Application, Resolution

Request for Authorization to Issue Airport Special Facilities Revenue Bonds

Clemens Aviation, LLC as Tenant

Proposed $4,000,000

City of Wichita, Kansas

April 20, 2020

City of Wichita City Hall – 455 N. Main Wichita, KS 67202

Re: Proposed City of Wichita, Kansas Airport Special Facilities Revenue Bonds Tenant: Clemens Aviation, LLC

Dear Mayor Whipple and Members of the Council:

The purpose of this letter is to request approval by the City Council for the issuance of its Airport Special Facilities Revenue Bonds in the approximate amount of $4,000,000.

Clemens Aviation, LLC has not previously applied for IRBs or property tax abatements from the City of Wichita or Sedgwick County.

Clemens Aviation, LLC would like to request airport special facilities revenue bond financing and the associated sales tax exemption in order to become a commercial operator that provides commercial aeronautical services for aircraft storage, FAA aircraft charter operations, aircraft maintenance, aircraft management and pilot services at Colonel James Jabara Airport in east Wichita that would include constructing two 18,000 square foot hangars. Clemens’ charter operations will be part of the airport with currently existing taxiway access to the runway. This expansion would require additional equipment and will provide the associated growth in employment to operate the facility. The following information is presented in support of a request:

1. Name and address of all persons who would be obligated as either tenant or guarantor on the bond document:

Tenant: Clemens Aviation, LLC 14918 SW 35th Benton, KS 67017

Guarantors: Dwayne & Julie Clemens Alex Clemens Elizabeth Clemens 23 14918 SW 35th 680 Lloyd Stearman Ave. 1250 Aviator Ln. Benton, KS 67017 Benton, KS 67017 Benton, KS 67017 2. Names and addresses of the principal officers and directors of the requesting tenant:

Dwayne Clemens Managing Member of Clemens Aviation, LLC 14918 SW 35th Benton, KS 67017

3. A general description of the nature of the business of the requesting tenant and a list of the principal competition in the local market:

Clemens Aviation, LLC was recently formed in order become a commercial operator that provides commercial aeronautical services for aircraft storage, FAA aircraft charter operations, aircraft maintenance, aircraft management and pilot services at Colonel James Jabara Airport in east Wichita that would include constructing two 18,000 square foot hangars. Clemens’ charter operations will be part of the airport with currently existing taxiway access to the runway. This expansion would require additional equipment and will provide the associated growth in employment to operate the facility.

Principal competition would include operators at other area airports with the potential to offer aircraft storage, aircraft charter, maintenance, aircraft management and pilot services. Those in the Wichita, Kansas area include: Signature Flight Support Yingling Aviation Midwest Corporate Aviation

For expanded information on the Company see Exhibit A.

4. A general description of the project and its specific location(s):

Reference questions three for general description.

The expansion will be located at the north end of Colonel James Jabara Airport which is located at 3512 N. Webb Road, Wichita, Kansas. The proposed address of Clemens Aviation, LLC’s hangars are 3622 & 3628 N. Jabara Road. A site map is included in Exhibit B.

5. A statement of the projected benefits to the City of Wichita:

A Cost Benefit Analysis (CBA) was prepared by Wichita State University (WSU) Center for Economic Development and Business Research (CEDBR), see Exhibit C. The CBA includes an intent to hire 16 employees that exceed the City of Wichita wage threshold over a five (5) year period.

6. The dollar amount of the bonds requested: 24 The total principal amount of the Private-Placement Bonds being requested is in the amount not to exceed $4,000,000. 7. A detailed breakdown of the proposed costs including an estimate of underwriting fees and other miscellaneous expenses:

It is anticipated that the proceeds from the bonds will applied substantially as follows:

Estimated cost of building $3,700,000 Estimated cost of equipment 50,000 Estimated costs of issuance and legal fees 75,000 Contingency 175,000

Total requested bonds $4,000,000

8. Name and address of bond counsel for City of Wichita:

Mr. Joe L. Norton Ms. Sarah O. Steele Gilmore & Bell, PC One Main Place 100 North Main, Suite 800 Wichita, KS 67202 Phone: (316) 267-2091 ext. 3108 Fax: (316) 262-6523 Email: [email protected] [email protected]

9. Name and address of counsel for borrower:

Legal counsel: Consultant: Jeffrey Peier Edward P. Dunn, Jr., CPA Klenda Austerman, LLC Koch Siedhoff Hand & Dunn, LLP 1600 Epic Center 3580 W 13th Street N 301 N Main Wichita, Kansas 67203 Wichita, Kansas 67202-4816 Phone: (316) 267-0331 Phone: (316) 943-0286 Fax: (316) 267-0333 Fax: (316) 943-1343 Email: [email protected] Email: [email protected]

10. Private Placement Agreement:

Clemens Aviation, LLC is in discussions with several banks for a direct-source private placement bond structure.

11. Tax exemption:

The land at Colonel James Jabara Airport is owned by the Wichita Airport Authority. The portion of land on which the facilities will be constructed will be leased from the 25 Wichita Airport Authority. As this land is already exempt from real estate tax no additional real estate tax exemption will be requested. 12. Administrative fees of the City:

The Borrower will agree to make payments of the City’s administrative fees of the Bonds for the life of the bond issue, and in addition, the Borrower will agree to pay all costs incurred for the City relating to the issuance of Bonds regardless whether the Bonds are ultimately approved or issued. The Borrower will also agree to cooperate with any annual compliance audit procedure(s) the City may adopt to monitor compliance with conditions, including any annual reports required of the applicant and any inspections of the applicant’s premises or interviews with the applicant’s staff.

13. Effects of Proposed Project on the Ambient Air Quality of the City of Wichita and Sedgwick County:

The proposed expansion will have no effect on the ambient air quality of the City of Wichita and Sedgwick County, nor are there any other anticipated adverse environmental effects. The Applicant will agree to comply with the City’s policies and requirements relating to environmental matters.

14. Equal Employment Opportunity:

The Borrower agrees to comply with all policies of the City of Wichita with respect to equal employment opportunity.

15. Financial Information:

Financial information will be available for inspection upon request.

16. Insurance:

The Borrower agrees to obtain all insurance the City may require in connection with the constructions, maintenance or operation of the project, or liabilities arising out of the operation of the project including (without limitation) a performance bond sufficient to secure completion of the project.

17. Real Estate Environmental Assessment:

A Phase I Environmental Site Assessment will be prepared upon request.

To permit Clemens Aviation, LLC to finalize the financing of the proposed Bonds, it is requested at this time that the City Council authorize the execution of the requested Letter of Intent. (The Borrower is aware that such Letter of Intent is only an indication of intent to issue the proposed Bonds and such Letter of Intent is subject in all respects to the governing body’s final approval of the terms and provisions of a Bond Ordinance, Trust Indenture, Guaranty Agreement and other related documents.) The Borrower respectfully requests that such Letter of Intent be valid for a period of one year. 26

Exhibit A Clemens Aviation, LLC Company Overview

While Clemens Aviation, LLC is a newly formed entity its principal owners have a long history in the aviation industry. Dwayne Clemens is a former Hawker Beechcraft test pilot and the current owner of Stearman Field (a privately owned, public use airport in Benton, Kansas) who manages several airport and aviation-related businesses with his wife Julie. The Clemens' helped turn Stearman Field from a dilapidated airfield into a vibrant airport with new hangars with a larger runway that is surrounded by condominium hangars and private homes.

Dwayne used to cook breakfast for pilots at Stearman Field on Sunday mornings which started becoming a tradition for various pilots to attend fly-ins. In 2010, this grew into the Clemens opening a restaurant which still stands on the property today, but under different ownership.

In addition to providing fuel at Stearman Field the Clemens provide aircraft maintenance and repair, aircraft management services, aircraft sales and are instrumental in the development of the surrounding real estate of condominium hangars and private homes located at or near the airport.

Employment:

Clemens Aviation, LLC is a newly formed entity that does not currently have any employees. The owners anticipate transferring 17 employees from their Stearman Field businesses and hiring 16 full time employees that exceed the City of Wichita wage threshold over the next five years for their anticipated growth in maintenance and repair and aircraft management/pilot services.

The City of Wichita adjust average wage is $42,500 which is the most recent wage standard available at the time this letter was prepared. Clemens Aviation, LLC is anticipated to have an NAICS code of 488119, other airport operations. The anticipated new hires that exceed the City of Wichita wage threshold are expected to have an average wage of $76,560.

In order to achieve these goals, the Company will experience increases in employment, payroll costs and a need for additional capital investment. The Company is prepared to commit significant resources to the acquisition and expansion of the project. The Bonds and the associated sales tax exemption will directly aid in construction of the real estate, purchase of equipment, financing the project and will spur additional growth in and around Jabara airport. Additionally, the Bonds and sales tax exemption will provide new jobs to the City of Wichita and Sedgwick County, increase the sales tax base and bring 29 additional new money into the state through sales exported out of Kansas.

Exhibit B Clemens Aviation, LLC Site Map

Exhibit C Clemens Aviation, LLC WSU CEDBR Cost Benefit Analysis

33 Gilmore & Bell, P.C. 04/27/2020

(Published in the Wichita Eagle on May 22, 2020, May 29, 2020 and June 5, 2020)

RESOLUTION NO. 20-148

A RESOLUTION OF THE GOVERNING BODY OF THE WICHITA AIRPORT AUTHORITY DETERMINING THE ADVISABILITY OF ISSUING AIRPORT SPECIAL FACILITIES REVENUE BONDS FOR THE PURPOSE OF FINANCING THE ACQUISITION, CONSTRUCTION AND EQUIPPING OF AN AIRCRAFT HANGAR, OFFICE AND MAINTENANCE FACILITY TO BE LOCATED ON COLONEL JAMES JABARA AIRPORT; AND AUTHORIZING EXECUTION OF RELATED DOCUMENTS.

WHEREAS, The Wichita Airport Authority (the "Authority") is a municipal corporation, duly created, organized and existing under the Constitution and laws of the State of Kansas (the “State”); and

WHEREAS, pursuant to the provisions of K.S.A. 3-154 et seq. (the "Act"), the Authority is authorized to issue revenue bonds for the acquisition, construction, alteration, improvement, or enlargement of any revenue-producing facility located on Dwight D. Eisenhower National Airport or Colonel James Jabara Airport; and

WHEREAS, the City Council of the City of Wichita, Kansas (the “City”), pursuant to the provisions of K.S.A. 3-163 et seq., as amended by Charter Ordinance No. 178 of the City, serves as governing body of the Authority (the “Governing Body”); and

WHEREAS, the Governing Body determines it to be advisable and in the best interests of the City and the Authority that airport special facility revenue bonds of the Authority be authorized and issued, in one or more series, to provide funds to pay the costs of the acquisition, construction and equipping of two 18,000 square foot hangars for aircraft storage, FAA aircraft charter operations, aircraft maintenance, aircraft management and related offices facility to be located at the north end of the Colonel James Jabara Airport which is located at 3512 N. Webb Road in the City (the “Project”), such Project will be leased by the Authority to Clemens Aviation, LLC, a Kansas limited liability company (the "Tenant").

NOW, THEREFORE, BE IT RESOLVED BY THE GOVERNING BODY OF THE WICHITA AIRPORT AUTHORITY:

Section 1. Authorization to Acquire Project; Intent to Issue Bonds. The Authority is hereby authorized to proceed with the acquisition, construction and equipping of the Project and to issue its airport special facility revenue bonds, in one or more series, in an aggregate principal amount not to exceed $4,000,000 (the "Bonds") to pay the costs thereof, subject to satisfaction of the conditions of issuance set forth herein.

Section 2. Limited Liability of Authority; Sufficiency of Revenues. The Bonds herein authorized and all interest thereon shall be paid solely from a pledge of the revenues to be received by the Authority from the lease or operation of the Project and shall not be general obligations of the Authority or the City. The Governing Body hereby finds and determines that such revenues will be sufficient to retire the Bonds herein authorized.

34 503186.20018\RESOLUTION OF INTENT v.2 Section 3. Conditions to Issuance of Bonds. The issuance of the Bonds is subject to: (a) the Tenant’s written acceptance of a Letter of Intent containing the Authority’s conditions to the issuance of the Bonds (the “Letter of Intent”); (b) the successful negotiation and sale of the Bonds to a purchaser or purchasers to be determined by the Tenant and acceptable to the Authority (the "Purchaser"), which sale shall be the responsibility of the Tenant and not the Authority or the City; (c) the receipt of the approving legal opinion of Gilmore & Bell, P.C. ("Bond Counsel") in form acceptable to the Authority, the Tenant and the Purchaser; (d) the obtaining of all necessary governmental approvals to the issuance of the Bonds; and (e) the commitment to and payment by the Tenant or Purchaser of all expenses relating to the issuance of the Bonds, including, but not limited to: (i) expenses of the Authority, the City and the City Attorney; (ii) any underwriting or placement fees and expenses; (iii) all legal fees and expenses of Bond Counsel; and (iv) all recording and filing fees.

Section 4. Sales Tax Exemption. The Governing Body hereby determines that pursuant to the provisions of K.S.A. 79-3601 et seq. (the “Sales Tax Act”), particularly 79-3606(b) and (d) and other applicable laws, sales of tangible personal property or services purchased in connection with construction of the Project and financed with proceeds of the Bonds are entitled to exemption from the tax imposed by the Sales Tax Act; provided proper application is made therefore. In the event that the Bonds are not issued for any reason, the Tenant will not be entitled to a sales tax exemption under the terms of the Sales Tax Act and will remit to the State Department of Revenue all sales taxes that were not paid due to reliance on the sales tax exemption certificate granted hereunder.

Section 5. Reliance by Tenant. It is contemplated that in order to expedite acquisition of the Project and realization of the benefits to be derived thereby, the Tenant may incur temporary indebtedness or expend its own funds to pay costs of the Project prior to the issuance of the Bonds; provided that such expenditures incurred prior to the issuance of the Bonds are at the risk of the Tenant that the Bonds will actually be issued. Proceeds of Bonds may be used to reimburse the Tenant for such expenditures made not more than 60 days prior to the date this Resolution is adopted, and as provided by §1.150-2 of the U.S. Treasury Regulations. In the event that the Bonds are not issued, neither the City nor the Authority shall have any liability to the Tenant.

Section 6. Execution and Delivery of Documents. The Mayor is hereby authorized to execute the Letter of Intent, and the City Clerk is authorized to deliver executed copies of this Resolution and the Letter of Intent to the Tenant.

Section 7. Further Action. The Mayor, City Clerk and other officials and employees of the City and the Authority, including the City Attorney and Bond Counsel, are hereby further authorized and directed to take such other actions as may be appropriate or desirable to accomplish the purposes of this Resolution, including, but not limited to cooperating with the Tenant in filing an application for a sales tax exemption certificate with the Kansas Department of Revenue with respect to Bond-financed property.

Section 8. Publication. This Resolution shall be published once a week for three consecutive weeks in the official newspaper of the City.

Section 9. Effective Date. This resolution shall become effective upon adoption by the Governing Body and shall remain in effect until December 31, 2021, unless extended by affirmative vote of a majority of the Governing Body.

[BALANCE OF THIS PAGE INTENTIONALLY LEFT BLANK]

35 503186.20018\RESOLUTION OF INTENT v.2 2 ADOPTED by the City Council of the City of Wichita, Kansas, acting as governing body of The Wichita Airport Authority, on May 19, 2020.

(SEAL) Brandon J. Whipple, Mayor

ATTEST:

Karen Sublett, City Clerk

APPROVED AS TO FORM:

Jennifer Magaña, Director of Law and City Attorney

CERTIFICATE

I hereby certify that the above and foregoing is a true and correct copy of the Resolution adopted by the City Council of the City of Wichita, Kansas, acting as governing body of The Wichita Airport Authority, on May 19, 2020, as the same appears of record in my office.

DATED: May 19, 2020.

Karen Sublett, City Clerk

[BALANCE OF THIS PAGE INTENTIONALLY LEFT BLANK]

36 503186.20018\RESOLUTION OF INTENT (Signature Page to Resolution of Intent) Gilmore & Bell, P.C. 04/27/2020

EXCERPT OF MINUTES OF A MEETING OF THE GOVERNING BODY OF THE WICHITA AIRPORT AUTHORITY HELD ON MAY 19, 2020

The City Council of the City of Wichita, Kansas, acting as governing body of The Wichita Airport Authority (the “Governing Body”), met in regular session at the usual meeting place in the City, at 9:00 a.m., the following members being present and participating, to-wit:

Absent:

The Mayor declared that a quorum was present and called the meeting to order.

* * * * * * * * * * * * * * (Other Proceedings)

Among other business, in accordance with notice published on May 11, 2020, in the Wichita Eagle, a public hearing was held by the governing body relating to the proposed issuance of not to exceed $4,000,000 principal amount of Airport Special Facility Revenue Bonds for the benefit of Clemens Aviation, LLC All interested persons were afforded an opportunity to present their views on the issuance of the Bonds and the location and nature of the Project to be financed with the proceeds of the Bonds. Thereupon, the public hearing was closed.

Thereupon, there was presented a Resolution entitled:

Thereupon, [______] moved that said Resolution be adopted. The motion was seconded by [______]. Said Resolution was duly read and considered, and upon being put, the motion for the adoption of said Resolution was carried by the vote of the Governing Body, the vote being as follows:

Aye:

Nay:

Thereupon, the Resolution was then duly numbered Resolution No. 20-148, and was signed by the Mayor and attested by the Clerk. (Other Proceedings)

* * * * * * * * * * * * * * 37

503186.20018\RESOLUTION OF INTENT v.2 CERTIFICATE

I certify that the foregoing Excerpt of Minutes is a true and correct excerpt of the proceedings of the City Council of the City of Wichita, Kansas, acting as governing body of The Wichita Airport Authority, held on the date stated therein, and that the official minutes of such proceedings are on file in my office.

[SEAL] ______Karen Sublett, City Clerk

38 503186.20018\RESOLUTION OF INTENT (Clerk’s Certification of Minutes) Agenda Item No. V-2

City of Wichita City Council Meeting

TO: Mayor and City Council

SUBJECT: Acquisition of a Portion of Property at 217 East Douglas for the Chester I. Lewis Reflection Park Project (District I)

INITIATED BY: Office of Economic Development

AGENDA: New Business

Recommendations: Approve the acquisition.

Background: On November 12, 2019, the City Council approved a development agreement with Douglas Market Development (DMD), for the redevelopment of four buildings adjacent to and near Chester I. Lewis/ Reflection Park (Park). As part of approval, the City Council agreed to consider adoption of TIF Project Plan for improvements to the Park and to negotiate the acquisition of a portion of 217 East Douglas to expand the Park. On May 5, 2020, the City Council took further action and adopted a project plan for the redevelopment of the Park, including a budget for up to $300,000 for land acquisition costs.

Analysis: The City and DMD have negotiated a purchase price $265,000 for the land. The acquisition price is based on a third-party appraisal of the property plus the cost of demolition. The agreement calls for the City to purchase the north 90 feet for expansion of the Park, while DMD retains the south 30 feet. The 30 feet that will be retained by DMD will allow for DMD to construct an entrance to the school. The land acquired by the City will be delivered with the building removed and ground filled and graded.

Acquisition of the land will be funded by TIF funds generated by DMD. DMD is providing a TIF guarantee for the $1,300,000 in park improvements, including land acquisition. The private development will include converting the former State Office Building into a private Doctor of Osteopathy School (DO) called the Kansas Health Science Center, the former Sutton Building into approximately 119 student housing units, the former Broadway Plaza into a 119-room AC Marriott hotel and the former Henry’s building into a commercial kitchen and culinary school. The DO school is projected to have 680 students and 324 faculty once fully operational.

Financial Considerations: Land acquisition is planned to be financed by City General Obligation bonds, which will be repaid from TIF revenue. The developer has provided a guarantee for the $1,300,000 in TIF bonds.

Legal Considerations: The Real Estate Sale Contract has been approved as to form by the Law Department.

Recommendation/Action: It is recommended that the City Council approve the acquisition and authorize the Mayor to sign all necessary documents.

Attachment(s): Area Map and Real Estate Sale Contract 39 Gilmore & Bell, P.C. 05/07/2020

REAL ESTATE SALE CONTRACT

1. PARTIES: This contract (“Contract”) is by and between Natman Real Estate International, LLC, a limited liability company (“Seller”) and the City of Wichita, Kansas, a municipal corporation (“Buyer”), and is effective as of the date of last signature by both Buyer and Seller on this Contract (the “Effective Date”).

2. PROPERTY: Subject to the conditions set forth in this Contract, Seller agrees to sell and Buyer agrees to buy the real estate legally described on Exhibit “A” attached hereto (“Property”). At Closing, the Property will have all improvements removed therefrom and will be filled/graded to a level surface.

3. PURCHASE PRICE: The “Purchase Price” is Two Hundred and Sixty-Five Thousand and no/00 Dollars ($265,000), which Buyer agrees to pay as follows: One Thousand Dollars ($1,000) as “Earnest Money,” which shall be deposited in the insured trust or escrow account of Security First Title Insurance Company (“Escrow Agent” or the “Title Company”) within five (5) business days of the Effective Date. The balance of the Purchase Price shall be paid in guaranteed funds at Closing (as defined below), adjusted at Closing for proration, closing costs and other agreed expenses.

4. CLOSING DATE: Subject to all the provisions and conditions of this Contract, the closing of this Contract (the “Closing’) shall take place at the offices of the Escrow Agent on or before the tenth (10th) day after the Kansas Health Science Center receives Candidate status accreditation from the Commission on Osteopathic College Accreditation of its medical school to be located at 130 South Market and 230 East William, Wichita, Kansas (the “Candidate Accreditation”), estimated to be early June, 2020, or at such other time and place as are mutually agreed to in writing. Possession shall be delivered at Closing. In the event that the Candidate Accreditation is not granted on or before December 31, 2020, this Contract shall become null and void (the “Nullification”). Upon such Nullification, the City shall notify the Escrow Agent of such fact and the Escrow Agent shall promptly return to the City the Earnest Money.

5. TITLE & SURVEY:

(a) TITLE: Seller shall deliver and pay for an owner’s ALTA title insurance policy (the “Title Policy”) insuring marketable fee simple title in Buyer in the amount of the Purchase Price as of the date of Closing, which shall be subject only to the Permitted Exceptions (as defined below). Seller shall, as soon as possible and not later than ten (10) days after the Effective Date of this Contract, cause to be furnished to Buyer a current commitment to issue the policy, including all exception documents related thereto (the “Title Commitment”) issued through the Title Company.

(b) SURVEY: The parties waive any requirement of a survey.

If the Title Commitment discloses any defects, liens or encumbrances reasonably objectionable to Buyer, Buyer shall advise Seller of the same in writing within 10 business days after receipt by Buyer of the Title Commitment. Matters listed in the Title Commitment objected to by Buyer within such period shall constitute “Permitted Exceptions”. As to any matters to which Buyer timely objects, Seller shall notify Buyer in writing, within 10 days after receipt by Seller of Buyer’s objection letter, as to which specific matters Seller is unable or unwilling to remedy and which specific matters Seller will exercise reasonable efforts to attempt to remedy, which reasonable efforts shall not require Seller to initiate or prosecute any 40 600809.20495\REAL ESTATE PURCHASE AGREEMENT\REAL ESTATE SALE CONTRACT G&B v.2

1 lawsuit. If or to the extent Seller fails to respond in writing within such 10 day period, Seller shall be deemed to have agreed to exercise reasonable efforts to remedy such objections. As to those matters to be remedied, Seller shall deliver to Buyer a revised Title Commitment reflecting that such remedy has been effected or Seller shall otherwise assure Buyer, to Buyer’s reasonable satisfaction, that such remedy will be made on or before the Closing Date. In the event that Buyer is dissatisfied with Seller’s responses and the parties do not reach mutual agreement on a resolution, then Buyer may, at its election: (i) terminate this Contract, in which event the Earnest Money shall be promptly returned to the Buyer, or (ii) waive such title objections and proceed with Closing, in which event all such objections and all exceptions to title on the Title Commitment shall be deemed Permitted Exceptions.

6. DELIVERY OF DEED; PAYMENT; DISBURSEMENT OF PROCEEDS: Subject to the terms of this Contract, Seller agrees to properly execute and deliver at Closing a special warranty deed (the “Deed”) and all other documents and funds reasonably necessary to complete the Closing. The Deed shall convey to Buyer marketable fee simple title to the Property, free and clear of all liens and encumbrances other than the Permitted Exceptions. At Closing, Seller and Buyer each agree to deliver guaranteed funds sufficient to satisfy their respective obligations under this Contract.

7. INTENTIONALLY OMITTED.

8. DUE DILIGENCE: Seller shall grant Buyer reasonable access to the Property for thirty (30) days after the Effective Date (the “Due Diligence Period”) for the purposes of inspecting the physical condition of the Property.

Buyer’s inspection rights shall include all matters related to soil tests, environmental tests or audits, utilities and all such other physical inspections as Buyer may reasonably request. Subject to any limitations imposed by the Kansas Cash Basis and Budget Laws, Buyer agrees to repair any damage to the Property arising from these inspections and, to the extent provided for by the Kansas Tort Claims Act, to indemnify, defend and hold Seller harmless from and against all claims, costs, demands and expenses, including without limitation, reasonable attorney’s fees, court costs and other legal expenses, resulting from these inspections. Buyer’s obligations imposed by this paragraph shall survive termination of this Contract. If Buyer determines during the Due Diligence Period that the Property is unsuitable for any reason, Buyer shall provide written notice to Seller on or before the end of the Due Diligence Period and Buyer shall receive an immediate, full refund of the Earnest Money. In the absence of such termination notice, this inspection condition shall be deemed satisfied, and Buyer shall be deemed to be thoroughly acquainted and satisfied with the condition of the Property.

9. CLOSING/ESCROW FEES; PRORATIONS: Buyer and Seller shall equally share all closing and escrow fees charged by the Title Company. Seller shall pay all general real estate taxes levied and assessed against the Property, and all installments of special assessments for the years prior to the calendar year of Closing. All such taxes and installments of special assessments coming due and accruing during the calendar year of Closing shall be prorated between Seller and Buyer on the basis of such calendar year, as of Closing. If the amount of any tax or special assessment cannot be ascertained at Closing, proration shall be computed on the amount for the preceding year’s tax or special assessment and Buyer shall assume and pay all such taxes and installments of special assessments accruing after the Closing.

10. FOREIGN INVESTMENT: Seller represents that Seller is not a foreign person as described in the Foreign Investment in Real Property Tax Act and agrees to deliver a certificate at Closing to that effect which shall contain Seller’s tax identification number.

11. DEFAULT AND REMEDIES: Seller or Buyer shall be in default under this Contract if either fails to comply with any material covenant, agreement or obligation within any time limits required 600809.20495\REAL ESTATE PURCHASE AGREEMENT\REAL ESTATE SALE CONTRACT G&B v.2 41

2 by this Contract. Following a default by either Seller or Buyer under this Contract, the other party shall have the following remedies.

(a) If Seller defaults, Buyer may (i) specifically enforce this Contract and recover damages suffered by Buyer as a result of the delay in the acquisition of the Property; or (ii) terminate this Contract by written notice to Seller and, at Buyer’s option, pursue any remedy and damages available at law or in equity. If Buyer elects to terminate this Contract; the Earnest Money shall be returned to Buyer upon written demand.

(b) If Buyer defaults, Seller may (i) specifically enforce this Contract and recover damages suffered by Seller as a result of the delay in the sale of the Property; or (ii) terminate this Contract by written notice to Buyer and, at Seller’s option, either retain the Earnest Money as liquidated damages as Seller’s sole remedy (the parties recognizing that it would be extremely difficult to ascertain the extent of actual damages caused by Buyer’s breach, and that the Earnest Money represents as fair an approximation of such actual damages as the parties can now determine), or pursue any other remedy and damages available at law or in equity.

12. AGENCY DISCLOSURE; COMMISSIONS: The parties agree that neither is represented by a real estate agent or broker, and no commissions will be due.

13. ENTIRE AGREEMENT AND MANNER OF MODIFICATION: This Contract, and any amendments or addenda hereto, constitute the complete agreement of the parties concerning the Property, supersede all other agreements and may be modified only by initialing and dating all changes in this Contract, or by written agreement signed by both parties.

14. ASSIGNMENTS: Neither party may assign nor transfer its rights or obligations under this Contract without the prior written consent of the other party which shall not be unreasonably withheld. Subject to the foregoing, this Contract shall inure to the benefit of and be binding upon the heirs, personal representatives, successors and assigns of the parties.

15. NOTICES: All notices, consents, approvals, requests, waivers, objections or other communications (collectively “notices”) required under this Contract shall be in writing and shall be served by hand delivery, by prepaid United States certified mail, return receipt requested, or by reputable overnight delivery service guaranteeing next-day delivery and providing a receipt. All notices shall be addressed to the parties at the respective addresses as set forth below, except that any party may, by notice in the manner provided above, change its address for all subsequent notices. Notices shall be deemed served and received upon the earlier of the third day following the date of mailing in the case of notices mailed by certified mail, or upon delivery in all other cases. A party’s failure or refusal to accept service of a notice shall constitute delivery of the notice.

16. TIME AND EXACT PERFORMANCE ARE OF THE ESSENCE UNDER THIS CONTRACT.

17. SIGNATURE IN COUNTERPARTS: This Contract may be signed in counterparts, with each being deemed an original and incorporated herein by reference.

18. GOVERNING LAW. This Contract shall be governed by the laws of the state of Kansas.

19. SELLER is selling Property on an “as is, where is” condition with no SELLER representations, warranties, or disclosures except as otherwise set forth in this Contract.

600809.20495\REAL ESTATE PURCHASE AGREEMENT\REAL ESTATE SALE CONTRACT G&B v.2 42

IN WITNESS WHEREOF, Seller and Buyer have executed this Contract, in counterparts, on the date(s) indicated below their respective signatures.

SELLER:

Natman Real Estate International, LLC, a limited liability company

By: Name: Sudha Tokala Title: President Date:_5/7/2020______

Notice Address:

Natman Real Estate International, LLC Attn: Sudha Tokala 221 S Topeka Wichita, Kansas 67202

Phone: (316) 305-1807 E-Mail: [email protected] [email protected]

600809.20495\REAL ESTATE PURCHASE AGREEMENT\REAL ESTATE SALE CONTRACT G&B 43

(Signature Page – Natman Real Estate)

BUYER: City of Wichita, Kansas, a municipal corporation

By: _____ Name: Brandon J. Whipple Title: Mayor

Date:______

ATTEST:

______Name: Karen Sublett Title: City Clerk

APPROVED AS TO FORM:

______Name: Jennifer Magaña Title: Director of Law and City Attorney

Notice Address:

Office of Urban Development Attn: Assistant City Manager City Hall, 13th Floor 455 N. Main Wichita, Kansas 67202

Phone: (316) 269-4702 Fax: (316) 858-7890 E-Mail: [email protected]

600809.20495\REAL ESTATE PURCHASE AGREEMENT\REAL ESTATE SALE CONTRACT G&B 44

(Signature Page – City of Wichita)

EXHIBIT “A”

Lot 125, except the South thirty (30) feet thereof, on Douglas Avenue, in Greiffenstein’s Addition to Wichita, Sedgwick County, Kansas.

45 600809.20495\REAL ESTATE PURCHASE AGREEMENT\REAL ESTATE SALE CONTRACT G&B

A-1 Area Map

Property to be acquired

Chester I. Lewis Park

Developer Project Property

46 Agenda Item No. V-3

City of Wichita City Council Meeting May 19, 2020

TO: Mayor and City Council

SUBJECT: 2020 Lift Station Rehabilitation (All Districts)

INITIATED BY: Department of Public Works & Utilities

AGENDA: New Business

Recommendation: Approve the budget and adopt the resolution

Background: The City owns and operates 67 sanitary sewer lift stations. The adopted Capital Improvement Program (CIP) includes annual funding to rehabilitate or replace aging sanitary sewer lift stations. Lift stations are scheduled for improvements established by a risk-based approach.

Analysis: Based on the risk analysis, improvements to the following lift stations are recommended:

Lift Station Work Description Estimated Cost LS 17 - 1818 Wawona Rehabilitate Aging Equipment – convert to $250,000 Submersible Pump Station. LS 40 - 10766 W 21st Street Replace aging equipment and concrete base. $165,000 North Rehabilitate aging equipment, add bypass valve, LS 16 3602 N Poplar $185,000 generator, and rehab force main air release valve. Replace aging equipment, rehabilitate wetwell, add LS 23 3800 North Porter $200,000 bypass valve and generator. Replace aging equipment to accommodate growth, LS 24 4141 South Boyd $200,000 add bypass valve and security fencing. LS 25 1631 West Harry Replace aging equipment to accommodate commercial growth, add bypass valve and security $200,000 fencing.

Financial Considerations: The Adopted 2019-2028 CIP includes $1,200,000 in 2020 for Lift Station Rehab/Replacement. Staff requests $1,200,000 at this time to initiate the annually programmed funding.

The full project cost was included in the most recent cost of service analysis and will not impact rates. The project will be funded by future revenue bonds or Sewer Utility cash reserves. If bonds are issued, an additional 8% will be added for financing and administrative costs.

Legal Considerations: The resolution and notice of intent have been reviewed and approved as to form by the Law Department. State statute (K.S.A. 10-1210) and City Charter Ordinance 211 require a 2/3 majority vote to issue utility revenue bonds to fund utility improvements.

Recommendation/Action: It is recommended that the City Council adopt the resolution, and authorize the necessary signatures.

Attachments: Resolution and notice of intent. 47 RESOLUTION NO. 20-149

A RESOLUTION DECLARING IT NECESSARY TO CONSTRUCT, RECONSTRUCT, ALTER, REPAIR, IMPROVE, EXTEND AND ENLARGE THE WATER AND SEWER UTILITY OWNED AND OPERATED BY THE CITY OF WICHITA, KANSAS, TO ISSUE REVENUE BONDS FOR THE PURPOSE OF PAYING CERTAIN COSTS THEREOF, AND PROVIDING FOR THE GIVING OF NOTICE OF SUCH INTENTION IN THE MANNER REQUIRED BY LAW.

WHEREAS, the City of Wichita, Kansas (the “City”) is a municipal corporation, duly created, organized and existing under the Constitution and laws of the State; and

WHEREAS, the City Council of the City (the “Governing Body”), has heretofore by Ordinance No. 39-888, passed May 26, 1987 and published in the official newspaper of the City on May 29, 1987, as required by law, authorized the combining of the City-owned and operated municipal water utility and municipal sewer utility thereby creating the City of Wichita, Kansas Water and Sewer Utility (the "Utility”); and

WHEREAS, the City is authorized under the Constitution and laws of the State of Kansas, including K.S.A. 10-1201 et seq., as amended and supplemented by Charter Ordinance No. 211 of the City (collectively, the “Act”), to issue revenue bonds to construct, reconstruct, alter, repair, improve, extend and enlarge the Utility;

WHEREAS, the Governing Body hereby finds and determines that it is necessary and advisable to construct, reconstruct, alter, improve, extend and enlarge the Utility in the following manner:

2020 Lift Station Rehabilitation

(the “Project”) and to provide for the payment of all or a portion of the costs thereof by the issuance of revenue bonds of the City pursuant to the Act; said bonds to be payable from the revenues of the Utility.

BE IT RESOLVED BY THE GOVERNING BODY OF THE CITY OF WICHITA, KANSAS, AS FOLLOWS:

Section 1. Project Authorization. It is hereby authorized, ordered and directed that the Project be acquired, constructed and/or installed in accordance with plans and specifications therefore prepared under the direction of the City Engineer or designate and approved by the Governing Body; said plans and specifications to be placed on file in the offices of the Utility. The estimated cost of the Project, including related design and engineering expenses is $1,200,000. The Project will not cause duplication of any existing water or sewer utility service furnished by a private utility in the City.

Section 2. Project Financing. It is hereby found and determined to be necessary and advisable to issue revenue bonds of the City under the authority of the Act, in an aggregate principal amount not to exceed $1,296,000 in order to pay all or a portion of the costs of the Project and related reserves, interest on financing and administrative and financing costs (the “Bonds”). The Bonds shall not be general obligations of the City payable from taxation, but shall be payable from the revenues derived from the operations of the Utility. Costs of the Project in excess of the proceeds of the Bonds, if any, shall be paid from unencumbered moneys of the Utility which will be available for that purpose. The Bonds may be issued to reimburse expenditures made on or after the date which is 60 days before the date of this 48 Resolution, pursuant to Treasury Regulation 1.150-2.

Section 3. Notice. Before issuing the Bonds, there shall be published one (1) time in the official newspaper of the City, a notice of the intention of the Governing Body to undertake the Project and to issue the Bonds (the “Notice”); and if within fifteen (15) days after the publication of such Notice, there shall be filed with the City Clerk, a written protest against the Project or the issuance of the Bonds, signed by not less than twenty per cent (20%) of the qualified electors of the City, the Governing Body shall thereupon submit such proposed Project and the Bonds to the electors of the City at a special election to be called for that purpose as provided by the Act. If no sufficient protest is filed with the City Clerk within the period of time hereinbefore stated, then the Governing Body shall have the authority to proceed with the Project and issuance of the Bonds.

Section 4. Effective Date. This Resolution shall be in full force and effect from and after its adoption by the Governing Body.

ADOPTED by the City Council of the City of Wichita, Kansas, by not less than two-thirds of the members voting in favor thereof, on May 19, 2020.

(SEAL) Brandon J. Whipple, Mayor

ATTEST:

Karen Sublett, City Clerk

APPROVED AS TO FORM:

Jennifer Magaña, Director of Law and City Attorney

49 53000183 (Published in The Wichita Eagle, on May 22, 2020.)

NOTICE

TO: THE RESIDENTS OF THE CITY OF WICHITA, KANSAS

You are hereby notified that the City Council (the “Governing Body”) of the City of Wichita, Kansas (the “City”), by Resolution No. 20-149, duly adopted May 19, 2020, has found and determined it to be necessary and declared its intention to construct, reconstruct, alter, improve, extend and enlarge the City of Wichita, Kansas Water and Sewer Utility, which is owned and operated by the City (the “Utility”), in the following manner:

2020 Lift Station Rehabilitation

(the “Project”) at an estimated cost, including related design and engineering expenses of $1,200,000.

In order to finance all or a portion of the costs of the Project and related reserves, interest on financing and administrative and financing costs, the Governing Body has further found and determined it to be necessary and declared its intention to issue revenue bonds an aggregate principal amount not to exceed $1,296,000 under the authority of K.S.A. 10-1201 et seq., as amended and supplemented by Charter Ordinance No. 211 of the City (the “Bonds”). The Bonds shall not be general obligation bonds of the City payable from taxation, but shall be payable only from the revenues derived from the operations of the Utility. Costs of the Project in excess of the proceeds of the Bonds shall be paid from unencumbered moneys of the Utility which will be available for that purpose.

This Notice shall be published one time in the official newspaper of the City; and if, within fifteen (15) days from and after the publication date hereof, there shall be filed in the Office of the City Clerk a written protest against the Project and the issuance of the Bonds, which protest is signed by not less than twenty percent (20%) of the qualified electors of the City, then the question of the Project and the issuance of the Bonds shall be submitted to the electors of the City at a special election which shall be called for that purpose as provided by law. If no sufficient protest to the Project and the issuance of the Bonds is filed within said period, then the Governing Body shall have the authority to proceed with the Project and issuance of the Bonds.

BY ORDER of the Governing Body of the City of Wichita, Kansas, on May 19, 2020.

/s/ BRANDON J. WHIPPLE, Mayor

ATTEST: /s/ Karen Sublett, City Clerk

50 Agenda Item No. V-4

City of Wichita City Council Meeting May 19, 2020

TO: Mayor and City Council

SUBJECT: 2020 Park Facility Enhancements (All Districts)

INITIATED BY: Department of Public Works & Utilities

AGENDA: New Business

Recommendation: Adopt the resolution and authorize initiation of the project.

Background: The Park & Recreation Department has a number of existing facilities and park amenities that are aging and in need of renovation and updating. The Park Facility Enhancements project has been initiated each year since 2001 and has resulted in significant improvements in all parks, recreation centers and park shelter facilities. Most recently, the 2019 Park Facility Enhancements Capital Improvement Program (CIP) funds are renovating flooring at Orchard and Evergreen recreation centers. Improvements such as these protect the City’s investment in these facilities, by keeping them safe, functional and aesthetically attractive to users.

Analysis: The 2020 CIP includes funding for the renovation or upgrades of several park and recreational facilities. These necessary renovation projects will protect the City’s investment in the public park system. Current priorities include the North Linwood Park (1802 East Harry) shelter replacement, which was destroyed in a February fire, footbridge renovation at Swanson Park (1011 North Maize) and exterior front patio restoration at the Edgemoor Recreation Center (5815 East 9th Street North). The West Side Athletic Field Stadium (571 North McLean), Pawnee Prairie Park Nature Center (2625 South Tyler), bathhouses associated with the Aquatics Master Plan (various locations) and the boardwalks at Chisholm Creek Park (3228 North Oliver) are also prioritized for renovations and upgrades. Any cost savings from these larger projects can be put towards replacing smaller aging park equipment and amenities such as picnic tables, park benches, drinking fountains, athletic field bleachers and scoreboards. These projects will continue the implementation of Wichita’s 2016 Park, Recreation and Open Space Plan, the strategic master plan for the City’s park system.

Financial Considerations: The 2019-2028 Capital Improvement Program contains $525,000 in 2020 for Facility improvements. The funding source for this project is General Obligation bonds. Staff recommends initiating $525,000 at this time.

Legal Considerations: The Law Department has reviewed and approved the resolution as to form.

Recommendation/Actions: It is recommended that the City Council adopt the resolution, authorize the necessary signatures and authorize the initiation of the project.

Attachment: Resolution.

51 RESOLUTION NO. 20-150

A RESOLUTION AUTHORIZING THE ISSUANCE OF GENERAL OBLIGATION BONDS OF THE CITY OF WICHITA, KANSAS TO PAY THE COSTS OF CERTAIN PUBLIC IMPROVEMENTS IN THE CITY.

WHEREAS, the City of Wichita, Kansas (the “City”) is a municipal corporation, duly created, organized and existing under the Constitution and laws of the State; and

WHEREAS, the Governing Body is authorized, pursuant to K.S.A. 13-1024c, as amended by Charter Ordinance No. 156 of the City (the “Act”) to issue general obligation bonds of the City without an election for the purpose of paying for the construction, purchase or improvement of any public improvement, including the land necessary therefore, and for the purpose of rebuilding, adding to or extending the same as the necessities of the City may require and for the purpose of paying for certain personal property therefore; and

WHEREAS, the Governing Body hereby finds and determines that it is necessary and advisable to make certain public improvements described as follows:

Labor, material, equipment and expenditures necessary for the removal and replacement of the North Linwood Park shelter; renovation of the Swanson Park footbridge and exterior patio renovation at the Edgemoor Park Recreation Center. As funding allows, additional improvements may include West Side Athletic Field stadium renovation; Pawnee Prairie Park Nature Center renovation; Aquatics Plan bathhouse renovation and boardwalk renovation at Chisholm Creek Park. Remaining funds may purchase picnic tables and park amenities (collectively, the “Project”) for the use of the Board and/or City, and to provide for the payment of all or a portion of the costs thereof by the issuance of general obligation bonds of the City pursuant to the Act.

(the “Project”) and to provide for the payment of all or a portion of the costs thereof by the issuance of general obligation bonds of the City pursuant to the Act.

BE IT RESOLVED BY THE GOVERNING BODY OF THE CITY OF WICHITA, KANSAS, AS FOLLOWS:

Section 1. Project Authorization. It is hereby authorized, ordered and directed that the Project be acquired and/or constructed at an estimated cost of $525,000 in accordance with plans and specifications therefor prepared under the direction of the City Engineer and approved by the Governing Body; said plans and specifications to be placed on file in the office of the City Engineer.

Section 2. Project Financing. All or a portion of the costs of the Project, interest on financing and administrative and financing costs shall be financed with the proceeds of general obligation bonds of the City (the “Bonds”). The Bonds may be issued to reimburse expenditures made on or after the date which is 60 days before the date of adoption of this Resolution, pursuant to Treasury Regulation §1.150-2.

Section 3. Effective Date. This Resolution shall be in full force and effect from and after its adoption by the Governing Body. 52 ADOPTED by the City Council of the City of Wichita, Kansas, on May 19, 2020.

(SEAL) Brandon J. Whipple, Mayor

ATTEST:

Karen Sublett, City Clerk

APPROVED AS TO FORM:

Jennifer Magaña, City Attorney and Director of Law

53 Agenda Report No. V-5

· City of Wichita City Council Meeting May 19, 2020

TO: Mayor and City Council

SUBJECT: Coronavirus Emergency (ER) Supplemental Funding Program Solicitation

INITIATED BY: Wichita Police Department

AGENDA: New Business

Recommendation: Approve the grant application and authorize the necessary signatures.

Background: The Coronavirus Emergency (ER) Supplemental Funding Program Solicitation Grant is administered by the Department of Justice (DOJ). Awarded funds are used to assist local governments to prevent, prepare for, and respond to the coronavirus. Allowable projects and purchases include: overtime, equipment (including law enforcement and medical personal protective equipment), hiring, supplies (such as gloves, masks, sanitizer), training, travel expenses (particularly related to the distribution of resources to the most impacted areas), and addressing the medical needs of inmates in state, local, and tribal prisons, jails, and detention centers.

Analysis: The Wichita Police Department (WPD) will use the funds from the Coronavirus ER Supplemental Funding for the purchase of personal protection equipment (PPE), which includes disposable gloves, face masks, face shields, smocks, hand sanitizer, disinfectant chemicals and other protection items that will help prevent police officers and staff from contracting the virus. Additionally, police vehicles and facilities will periodically need cleaning and grant funds will be utilized for those purposes. The grant will also fund additional paid leave time for first responders and support staff essential to the community’s pandemic response.

The City of Wichita developed a program whereby certain department members who perform their work tasks on a computer can work from home, providing they have access to a computer and the internet. The employee working from home is granted access to the City of Wichita's computer network with a Citrix account. The WPD is charged for each Citrix account. The WPD also purchased laptops for employees working from home, which was not allocated in the WPD budget. The grant will provide the funding needed for Citrix accounts and laptops as well as ongoing costs associated with the use of them.

Due to a higher number of staff working remotely from home, there has been an increase in the need for communications. Daily and/or weekly phone conferences and Microsoft Team meetings have significantly increased due to maintaining social distancing. Providing cell phones to Wichita Police personnel for work, allows for a measure of security and privacy. Patrol officers will be able to take crime scene photos, record witness statements, and interviews and not risk having their personal cell phones compromised if subpoenaed for court. When the need arises, personnel would have 24/7 access to work emails and the ability to respond in a timely manner.

54 Managing the COVID-19 response, supplies and equipment is a daunting task that requires a considerable amount of staff time. The grant will fund an Emergency Manager position to administer WPD’s pandemic response efforts. The Emergency Manager will manage and direct public education, outreach, media relations and public involvement programs for the department.

In an unfortunate event that a department member becomes infected by the coronavirus, grant funds will be utilized to house the department member in a hotel and provide a per diem until it is determined that the department member is coronavirus free and is able to return to home and work.

The current process utilized by the Wichita Fire Department (WFD) to manage and track orders, disburse PPE, and clean products and equipment during the pandemic response is inefficient. This process requires significant staff time to physically check products in and out, as well as inventory supplies. There are substantial lead times on many of these products, which makes it hard to maintain inventory levels. The use of technology to track disbursement, usage, available product plus shelf life would improve efficiencies, effectiveness, eliminate waste, and reap cost savings. Grant funding will provide a two-year license for the WFD to have a cloud based equipment management inventory system.

Financial Considerations: The Coronavirus ER Supplemental Funding will be $1,250,185 and no local match is required. The funding will provide a new full-time Emergency Manager for two years and a software program for the WFD. Lastly, supplies and other defined program expenses will be allotted.

Legal Considerations: None.

Recommendations/Actions: It is recommended that the City Council approve the grant application and authorize the necessary signatures.

Attachments: None.

55 Agenda Item No. V-6

City of Wichita City Council Meeting May 19, 2020

TO: Mayor and City Council

SUBJECT: Quarterly Financial Report for the Quarter Ended March 31, 2020

INITIATED BY: Department of Finance

AGENDA: New Business

Recommendation: Receive and file the Quarterly Financial Report.

Background: The Finance Department prepares quarterly unaudited financial reports to monitor and review the financial activities of the operating and capital funds. The report is presented to provide the City Council and citizens with information that will assist in making informed decisions. The report is available on the City’s website. Citizens may obtain a printed copy by contacting the Department of Finance at 268-4651.

Analysis: Comparisons of budgeted amounts to actual revenue and expenditures are provided for key operating funds. In addition, financial statements are prepared and presented on an accrual basis for the Golf fund, consistent with generally accepted accounting principles. The Quarterly Financial Report may not reflect all the transactions that relate to activities through March 31, 2020.

Financial highlights are summarized beginning on page ii, with financial statements beginning on page 1. Supplementary information, including information on the performance of invested funds and a quarterly summary of disadvantaged and emerging business activity is presented in the final section of this report.

Financial Considerations: Finance Department staff will provide a financial overview at the City Council meeting.

Legal Considerations: There are no legal considerations.

Recommendations/Actions: It is recommended that the City Council receive and file the Quarterly Financial Report for the quarter ended March 31, 2020.

Attachment: Quarterly Financial Report

56 City of Wichita, Kansas Incorporated 1870 Council-Manager Form of Government Adopted 1917

Quarterly Financial Report

For the quarter ended March 31, 2020

Prepared by the Department of Finance 57 CITY OF WICHITA, KANSAS

QUARTERLY FINANCIAL REPORT For the quarter ended March 31, 2020

TABLE OF CONTENTS Page INTRODUCTORY SECTION

Letter of Transmittal……………………………………………....……………………………………………………………………………… i Highlights and Briefs………………………………………………………………...………………………….……………………………… ii

COMBINING AND INDIVIDUAL FUND STATEMENTS AND SCHEDULES

General Fund: Schedule Of Revenues, Expenditures And Changes In Fund Balances (Summarized)……………………………………………… 1 Schedule Of Revenues, Expenditures And Changes In Fund Balances (Detail)……………………………………………………… 2 General Fund - Economic Development Subfund Schedule Of Revenues, Expenditures And Changes In Fund Balances……………………………………………………………… 6

Debt Service Fund: Schedule Of Revenues, Expenditures And Changes In Fund Balances (Summarized)……………………………………………… 7 Schedule Of Revenues, Expenditures And Changes In Fund Balances (Detail)……………………………………………………… 8 Limitation On Bonded Indebtedness………………………………………………………………………………………………………… 9 Statement Of Debt…………………………………………………………………………………………………………………………… 10 Debt Service As A Percent Of Property Tax Revenue…………………………………………………………………………………… 12 Tax Increment Financing Payment Status………………………………………………………………………………………………… 13 Annual Debt Service Requirements………………………………………………………………………………………………………… 13

Special Revenue Funds: Schedule Of Revenues, Expenditures And Changes In Fund Balances Tourism And Convention Promotion Fund……………………………………………………………………………………………… 15 Gilbert And Mosley TIF District Fund……………………………………………………………………………………………………… 16 North Industrial Corridor TIF District Fund……………………………………………………………………………………………… 17 East Bank TIF District Fund……………………………………………………………………………………………………………… 18 Old Town Cinema TIF District Fund……………………………………………………………………………………………………… 19 Northeast Redevelopment TIF District Fund…………………………………………………………………………………………… 20 Center City TIF District Fund……………………………………………………………………………………………………………… 21 Ken Mar TIF District Fund………………………………………………………………………………………………………………… 22 Douglas And Hillside TIF District Fund…………………………………………………………………………………………………… 23 Union Station TIF District Fund…………………………………………………………………………………………………………… 24 Southfork TIF District Fund………………………………………………………………………………………………………………… 25 West Bank TIF District Fund……………………………………………………………………………………………………………… 26

Capital Projects Fund: Sales Tax Construction Pledge Fund Schedule Of Revenues, Expenditures And Changes In Fund Balances……………………………………………………………… 27

Proprietary Fund: Enterprise Fund: Golf Course System Fund - Statement Of Net Position………………………………………………………………………………… 30 Golf Course System Fund - Statement Of Revenues, Expenses And Changes In Net Position………………………………… 31 Schedule Of Revenues, Expenditures And Changes In Unencumbered Net Position Golf Course System Fund……………………………………………………………………………………………………………… 32

OTHER FINANCIAL AND OPERATIONAL INFORMATION

Statement Of Cash And Investments………………………………………………………………………………………………………… 33 Pooled Funds Investment Portfolio Guidelines……………………………………………………………………………………………… 34 Collateral Report For Pooled Funds…………………………………………………………………………………………………………… 34 Pooled Funds Portfolio…………………………………………………………………………………………………………………………… 35

Department of Finance Controller’s Office City Hall – Twelfth Floor 455 North Main Wichita, Kansas 67202 www.wichita.gov

May 19, 2020

The Honorable Mayor, City Council and City Manager City of Wichita, Kansas

Dear Mayor, Council Members and City Manager:

The abbreviated Quarterly Financial Report of the City of Wichita for the quarter ended March 31, 2020 is presented to you as a review of financial and operational information. This report is intended to inform you and the citizens of the financial condition of the various funds and to provide information that will assist you in making informed decisions. The information is unaudited and may not reflect all transactions and adjustments that apply to the activities through the first quarter of 2020.

Highlights and key information regarding the financial reports are presented in the following section titled, Highlights and Briefs. Employees of the Department of Finance and various operating departments contributed to the information presented herein. My appreciation is extended to all City staff members that contributed to this report.

Respectfully submitted,

Highlights and Briefs Quarter Ended March 31, 2020

The Quarterly Financial Report provides unaudited results in order to facilitate timely management decision making. The report compares actual results to budgetary amounts for various funds and provides additional information about the City’s financing activities and cash and investments.

General Fund Budgetary statements for the General Fund are presented on pages 1 to 6 of this report. The unencumbered fund balance for the General Fund on March 31, 2020 was $70.2 as compared to $67.6 million at this time last year, representing an increase of approximately $2.6 million. The 2020 unencumbered fund balance was 27.6% of budgeted expenditures and other uses (adopted budget excluding appropriated reserves of $24,000,000) as compared to 27.7% at this time last year. General Fund revenues were $2.8 million or 3.2% higher and expenditures were $1.7 million or 3.2% higher than last year. Total property tax collections for the City’s two primary taxing funds, the General Fund and the Debt Service Fund, totaled $68.5 million for 2020, increasing approximately 4.1% over last year.

Collection of Current, Delinquent and Payments in Lieu of Property Taxes (in thousands) 2020 Adopted For the quarter ended March 31, Budget 2020 2019 2018 General Fund $ 88,077 $ 52,769 $ 50,656 $ 48,095 Debt Service Fund 26,447 15,733 15,147 16,944

Total property tax collections $ 114,524 $ 68,502 $ 65,803 $ 65,039

Overall, General Fund revenues and other sources were approximately $2.8 million Major Revenue Sources ‐ General Fund higher than this time last year. While many (Dollars in Millions) revenues of the General Fund are performing as expected through the first quarter, the COVID-19 pandemic is expected to significantly impact revenue 2020 Actual performance for the remainder of 2020. Sales tax, court fines, interest earnings and 2019 Actual charges for services are all expected to be impacted. The year-end projections in this 2020 Adopted Budget report reflect preliminary observations and will be refined throughout the second $0 $50 $100 $150 $200 quarter, as the annual Revised Budget is Property Tax Franchise Fees Sales Tax Motor Vehicle Tax prepared.

Major expenditures of the General Fund continue to focus on priority areas, including public safety and street maintenance. These functions totaled $39.4 million and accounted for 68.7% of the General Fund’s actual expenditures and other uses. 60 City of Wichita, Kansas Highlights and Briefs Quarter Ended March 31, 2020 ii

Financing Activities Budgetary statements for the Debt Service Fund are presented on pages 7 and 8 of this report. The unencumbered fund balance of the Debt Service Fund as of March 31, 2020 was $50.9 million as compared to $49.5 million last year.

The City uses a mix of long-term debt and cash (pay-as-you-go) to finance projects. This practice helps facilitate management of the City’s debt capacity and minimizes the cost of long-term financing. The City has budgeted pay-as-you-go financing of $30 million for project expenditures in 2020. At year-end, the unencumbered fund balance is projected to be $19.4 million.

The City’s legal limitation of bonded debt is Total Bonded Debt ‐ $1,017,285,775 presented on page 9. The Statement of Debt, (dollars in millions) presented on pages 10 and 11, shows the composition of the City’s total outstanding debt, GO at‐large $68.0, 7% including bonded indebtedness and temporary notes. As of March 31, 2020, $68 million, or 6.7% Special Assessments $27.4, 3% of the total bonded indebtedness was payable from (GO) GO at-large sources (property taxes). The $146.4, Other GO 14% remainder of the City’s debt was payable from $433.6, 43% various revenue streams, including special assessments, local sales tax and enterprise fund Enterprise (GO) $247.9, 24% revenues. LST (GO) All debt service payments of the tax increment financing (TIF) districts are made from the Debt Revenue Bonds $94.0, 9% Service Fund and are reimbursed through transfers from the applicable TIF fund.

Capital Projects Funds The Sales Tax Construction Pledge Fund receives one-half of the local sales tax distribution, plus the local portion of the Riverwalk STAR district sales tax. Bond covenants of debt backed by sales tax require a reserve be held to cover the upcoming principal and interest payment. Funds in excess of the reserve are transferred to the Sales Tax CIP Fund and are made available for funding of eligible projects.

Golf Course System Fund Statements for the Golf Course System Fund (Golf Fund) are prepared on an accrual basis and begin on page 30.

Golf rounds as of March 31, 2020 (with four courses operating) totaled 14,332. This is an increase of 14.3% over the prior year rounds of 12,537, but 30.1% less than this time in 2018 (five courses were operating in the first quarter of 2018 and 2019). Although rounds increased in 2020 as compared to 2019, the Golf Fund revenues of approximately $400,000 as of March 31, 2020, only increased $7,000 or 1.8% from the prior year. Expenditures were approximately $707,000 as of first quarter 2020, which is a decrease of 19.4% from the prior year and approximately 17.6% of the Adopted Budget (page 32). The primary reason for the decreased expenditures was the new winter rotation schedule implemented November 2019 through February 2020 whereby a different course was closed each week to save costs. Last year, the Golf Fund implemented a new pass membership program, which was anticipated to help stabilize and increase revenue throughout the year, and closed the LW Clapp Golf Course in August 2019. However, the Golf Fund is still facing significant challenges and has an unencumbered net position deficit of $221,844 as of March 31, 2020.

61 City of Wichita, Kansas Highlights and Briefs Quarter Ended March 31, 2020 iii

Cash and Investments The City’s pooled investments, with an amortized cost of $432,527,817, had a market value at March 31, 2020 of $432,870,177. The weighted average maturity of the portfolio was 301 days. The modified duration of the portfolio was 0.780. Expressed in years, modified duration is a measure of a debt investment’s exposure to fair value changes arising from changing interest rates. As of March 31, 2020, the weighted average yield to maturity of the portfolio was 1.722% which is above the benchmark 91-Day Treasury Bill yield of 0.09%. In accordance with the City’s Pooled Funds Investment Policy, which was approved by the City Council in November 2019, the primary objectives of the City’s investment activities, in order of priority are: [1] safety, [2] liquidity and [3] yield. The City continues to adhere to the Investment Policy constraints which are designed to mitigate various types of investment risk, including bank failure or failure of the investment counterparty. These risks are addressed by holding only permitted types of investments as authorized by state statute and the Investment Policy, diversification of the portfolio, collateralization of bank and time deposits, avoiding over concentration with any single issuer and staggering maturities to ensure cash flow needs are met as needed. Under normal circumstances, investments are held to maturity, which minimizes the impact of market fluctuations. Further information regarding compliance with established investment guidelines may be found on pages 34 to 36 of this report.

62 City of Wichita, Kansas Highlights and Briefs Quarter Ended March 31, 2020 iv CITY OF WICHITA, KANSAS UNAUDITED GENERAL FUND SCHEDULE OF REVENUES, EXPENDITURES AND CHANGES IN FUND BALANCES BUDGET AND ACTUAL - BUDGETARY BASIS

For the quarter ended March 31, 2020 (with projections for the year ended December 31, 2020)

Budgeted Amounts Actual Projected1 Original Revised* Year to Date Year End

Revenues and other sources: General property taxes $ 88,076,715 $ 88,076,715 $ 52,768,924 $ 88,076,715 Franchise taxes 49,679,408 49,679,408 12,087,686 47,928,533 Motor vehicle taxes 13,018,958 13,018,958 1,687,710 12,758,579 Local sales tax 30,996,495 30,996,495 7,948,432 28,074,398 Intergovernmental 17,756,428 17,756,428 4,547,739 15,294,256 Licenses and permits 3,144,016 3,144,016 382,462 2,515,213 Fines and penalties 8,504,013 8,504,013 2,432,094 6,816,769 Charges for services and sales 18,446,452 18,446,452 3,677,448 16,972,669 Rental income 2,460,362 2,460,362 465,631 2,019,100 Interest and investment earnings 7,350,000 7,350,000 2,066,203 4,500,000 Sale of property 228,000 228,000 5,838 228,000 Administrative charges 3,858,805 3,858,805 806,927 3,858,805 Other revenue 5,310,359 5,310,359 872,248 5,310,359 Transfers from other funds 5,787,881 5,787,881 1,453,380 5,787,881

Total revenues and other sources 254,617,892 254,617,892 91,202,722 240,141,277

Expenditures and other uses: General government 41,835,750 41,835,750 8,518,667 40,873,528 Public safety 150,185,530 150,185,530 34,330,049 148,683,675 Highways and streets 16,010,421 16,010,421 5,064,183 15,530,108 Sanitation 5,421,115 5,421,115 549,446 5,285,587 Health and welfare 1,814,321 1,814,321 333,217 1,768,963 Culture and recreation 33,067,784 33,067,784 6,997,767 31,414,395 Operating transfers out 6,282,971 6,282,971 1,523,731 6,282,971

Total expenditures and other uses 254,617,892 254,617,892 57,317,060 249,839,227

Net change in fund balance - - 33,885,662 (9,697,950)

Unencumbered fund balance, beginning 34,824,173 34,824,173 36,361,557 36,361,557

Unencumbered fund balance, ending $ 34,824,173 $ 34,824,173 $ 70,247,219 $ 26,663,607

The 2020 certified expenditure budget is $278,617,892, including an appropriated reserve of $24,000,000.

* The Revised Budget column reflects the Adopted Budget plus any subsequent adjustments authorized by the City Council.

1 Projected year-end amounts reflect estimates based on conditions resulting from the COVID-19 pandemic and information available at the time of publication. Projected year-end amounts may be further adjusted in the future based on continue changes in economic conditions resulting from the pandemic. 63

1 &,7<2):,&+,7$.$16$6 81$8',7(' *(1(5$/)81' 6&+('8/(2)5(9(18(6(;3(1',785(6$1'&+$1*(6,1)81'%$/$1&(6 %8'*(7$1'$&78$/%8'*(7$5<%$6,6

)RUWKHTXDUWHUHQGHG0DUFK ZLWKFRPSDUDWLYHWRWDOVIRUWKHTXDUWHUHQGHG0DUFK

9DULDQFHZLWK %XGJHWHG$PRXQWV )LQDO%XGJHW $FWXDO 3RVLWLYH 2ULJLQDO 5HYLVHG

5(9(18(6 /RFDOJRYHUQPHQWWD[HV *HQHUDOSURSHUW\WD[HV 3URSHUW\WD[HV 'HOLQTXHQWSURSHUW\WD[HV 3D\PHQWVLQOLHXRIWD[HV )UDQFKLVHWD[HV 0RWRUYHKLFOHWD[HV /RFDOVDOHVWD[

7RWDOORFDOJRYHUQPHQWWD[HV

,QWHUJRYHUQPHQWDO *DVWD[ 2WKHULQWHUJRYHUQPHQWDO /LFHQVHVDQGSHUPLWV )LQHVDQGSHQDOWLHV 0XQLFLSDOFRXUW 2WKHUILQHVDQGSHQDOWLHV &KDUJHVIRUVHUYLFHVDQGVDOHV 5HQWDOLQFRPH ,QWHUHVWHDUQLQJV 6DOHRISURSHUW\ $GPLQLVWUDWLYHFKDUJHV 2WKHUUHYHQXH

7RWDOUHYHQXHV

(;3(1',785(6 &LW\&RXQFLO 3HUVRQQHOVHUYLFHV &RQWUDFWXDOVHUYLFHV 0DWHULDOVDQGVXSSOLHV &RQWLQJHQF\

7RWDO&LW\&RXQFLO

&LW\0DQDJHU 3HUVRQQHOVHUYLFHV &RQWUDFWXDOVHUYLFHV 0DWHULDOVDQGVXSSOLHV

7RWDO&LW\0DQDJHU

&RQWLQXHG 64 7KH5HYLVHG%XGJHWFROXPQUHIOHFWVWKH$GRSWHG%XGJHWSOXVDQ\VXEVHTXHQWDGMXVWPHQWVDXWKRUL]HGE\WKH&LW\&RXQFLO

&,7<2):,&+,7$.$16$6 81$8',7(' *(1(5$/)81' 6&+('8/(2)5(9(18(6(;3(1',785(6$1'&+$1*(6,1)81'%$/$1&(6 %8'*(7$1'$&78$/%8'*(7$5<%$6,6 &217,18('

)RUWKHTXDUWHUHQGHG0DUFK ZLWKFRPSDUDWLYHWRWDOVIRUWKHTXDUWHUHQGHG0DUFK

9DULDQFHZLWK %XGJHWHG$PRXQWV )LQDO%XGJHW $FWXDO 3RVLWLYH 2ULJLQDO 5HYLVHG

'HSDUWPHQWRI)LQDQFH 3HUVRQQHOVHUYLFHV &RQWUDFWXDOVHUYLFHV 0DWHULDOVDQGVXSSOLHV 2WKHUH[SHQGLWXUHV

7RWDO'HSDUWPHQWRI)LQDQFH

/DZ'HSDUWPHQW 3HUVRQQHOVHUYLFHV &RQWUDFWXDOVHUYLFHV 0DWHULDOVDQGVXSSOLHV 2WKHUH[SHQGLWXUHV

7RWDO/DZ'HSDUWPHQW

0XQLFLSDO&RXUW 3HUVRQQHOVHUYLFHV &RQWUDFWXDOVHUYLFHV 0DWHULDOVDQGVXSSOLHV

7RWDO0XQLFLSDO&RXUW

)LUH'HSDUWPHQW 3HUVRQQHOVHUYLFHV &RQWUDFWXDOVHUYLFHV 0DWHULDOVDQGVXSSOLHV

7RWDO)LUH'HSDUWPHQW

3ROLFH'HSDUWPHQW 3HUVRQQHOVHUYLFHV &RQWUDFWXDOVHUYLFHV 0DWHULDOVDQGVXSSOLHV &DSLWDORXWOD\ 2WKHUH[SHQGLWXUHV &RQWLQJHQF\ 3ODQQHGVDYLQJV

7RWDO3ROLFH'HSDUWPHQW

+RXVLQJ &RPPXQLW\6HUYLFHV 3HUVRQQHOVHUYLFHV &RQWUDFWXDOVHUYLFHV 0DWHULDOVDQGVXSSOLHV

7RWDO+RXVLQJ &RPPXQLW\6HUYLFHV

&RQWLQXHG 65 7KH5HYLVHG%XGJHWFROXPQUHIOHFWVWKH$GRSWHG%XGJHWSOXVDQ\VXEVHTXHQWDGMXVWPHQWVDXWKRUL]HGE\WKH&LW\&RXQFLO

&,7<2):,&+,7$.$16$6 81$8',7(' *(1(5$/)81' 6&+('8/(2)5(9(18(6(;3(1',785(6$1'&+$1*(6,1)81'%$/$1&(6 %8'*(7$1'$&78$/%8'*(7$5<%$6,6 &217,18('

)RUWKHTXDUWHUHQGHG0DUFK ZLWKFRPSDUDWLYHWRWDOVIRUWKHTXDUWHUHQGHG0DUFK

9DULDQFHZLWK %XGJHWHG$PRXQWV )LQDO%XGJHW $FWXDO 3RVLWLYH 2ULJLQDO 5HYLVHG

/LEUDU\ 3HUVRQQHOVHUYLFHV &RQWUDFWXDOVHUYLFHV 0DWHULDOVDQGVXSSOLHV 3ODQQHGVDYLQJV

7RWDO/LEUDU\

&02&XOWXUDO$UWV'LYLVLRQ 3HUVRQQHOVHUYLFHV &RQWUDFWXDOVHUYLFHV 0DWHULDOVDQGVXSSOLHV 2WKHUH[SHQGLWXUHV &RQWLQJHQF\

7RWDO&02&XOWXUDO$UWV'LYLVLRQ

3XEOLF:RUNV 8WLOLWLHV 3HUVRQQHOVHUYLFHV &RQWUDFWXDOVHUYLFHV 0DWHULDOVDQGVXSSOLHV 2WKHUH[SHQGLWXUHV 3ODQQHGVDYLQJV

7RWDO3XEOLF:RUNV 8WLOLWLHV

3DUNDQG5HFUHDWLRQ 3HUVRQQHOVHUYLFHV &RQWUDFWXDOVHUYLFHV 0DWHULDOVDQGVXSSOLHV &DSLWDORXWOD\ 2WKHUH[SHQGLWXUHV &RQWLQJHQF\ 3ODQQHG6DYLQJV

7RWDO3DUNDQG5HFUHDWLRQ

1RQ'HSDUWPHQWDO 3HUVRQQHOVHUYLFHV &RQWUDFWXDOVHUYLFHV 0DWHULDOVDQGVXSSOLHV 2WKHUH[SHQGLWXUHV &RQWLQJHQF\ 3ODQQHGVDYLQJV

7RWDO1RQ'HSDUWPHQWDO

&RQWLQXHG 66 7KH5HYLVHG%XGJHWFROXPQUHIOHFWVWKH$GRSWHG%XGJHWSOXVDQ\VXEVHTXHQWDGMXVWPHQWVDXWKRUL]HGE\WKH&LW\&RXQFLO

&,7<2):,&+,7$.$16$6 81$8',7(' *(1(5$/)81' 6&+('8/(2)5(9(18(6(;3(1',785(6$1'&+$1*(6,1)81'%$/$1&(6 %8'*(7$1'$&78$/%8'*(7$5<%$6,6 &217,18('

)RUWKHTXDUWHUHQGHG0DUFK ZLWKFRPSDUDWLYHWRWDOVIRUWKHTXDUWHUHQGHG0DUFK

9DULDQFHZLWK %XGJHWHG$PRXQWV )LQDO%XGJHW $FWXDO 3RVLWLYH 2ULJLQDO 5HYLVHG

0HWURSROLWLDQ$UHD%XLOGLQJ &RQVWUXFWLRQ 3HUVRQQHOVHUYLFHV &RQWUDFWXDOVHUYLFHV 0DWHULDOVDQGVXSSOLHV

7RWDO0HWURSROLWLDQ$UHD%XLOGLQJ &RQVWUXFWLRQ

+XPDQ5HVRXUFHV 3HUVRQQHOVHUYLFHV &RQWUDFWXDOVHUYLFHV 0DWHULDOVDQGVXSSOLHV

7RWDO+XPDQ5HVRXUFHV

3XEOLF:RUNV*DV7D[ 3HUVRQQHOVHUYLFHV &RQWUDFWXDOVHUYLFHV 0DWHULDOVDQGVXSSOLHV &DSLWDORXWOD\ 3ODQQHGVDYLQJV

7RWDO3XEOLF:RUNV*DV7D[

7RWDOH[SHQGLWXUHV

([FHVVRIUHYHQXHVRYHUH[SHQGLWXUHV

27+(5),1$1&,1*6285&(6 86(6 7UDQVIHUVIURPRWKHUIXQGV 7UDQVIHUVWRRWKHUIXQGV

7RWDORWKHUILQDQFLQJXVHV

1HWFKDQJHLQIXQGEDODQFH

8QHQFXPEHUHGIXQGEDODQFHEHJLQQLQJ

8QHQFXPEHUHGIXQGEDODQFHHQGLQJ

7KHFHUWLILHGH[SHQGLWXUHEXGJHWLVLQFOXGLQJDQDSSURSULDWHGUHVHUYHRI 67 7KH5HYLVHG%XGJHWFROXPQUHIOHFWVWKH$GRSWHG%XGJHWSOXVDQ\VXEVHTXHQWDGMXVWPHQWVDXWKRUL]HGE\WKH&LW\&RXQFLO

&,7<2):,&+,7$.$16$6 81$8',7(' *(1(5$/)81'(&2120,&'(9(/230(1768%)81' 6&+('8/(2)5(9(18(6(;3(1',785(6$1'&+$1*(6,1)81'%$/$1&(6 %8'*(7$1'$&78$/%8'*(7$5<%$6,6

)RUWKHTXDUWHUHQGHG0DUFK ZLWKFRPSDUDWLYHWRWDOVIRUWKHTXDUWHUHQGHG0DUFK

9DULDQFHZLWK %XGJHWHG$PRXQWV )LQDO%XGJHW $FWXDO 3RVLWLYH 2ULJLQDO 5HYLVHG

5(9(18(6 &KDUJHVIRUVHUYLFHVDQGVDOHV 5HQWDOLQFRPH 6DOHRISURSHUW\ $GPLQLVWUDWLYHFKDUJHV 2WKHUUHYHQXH

7RWDOUHYHQXHV

(;3(1',785(6 *HQHUDOJRYHUQPHQW 3HUVRQQHOVHUYLFHV &RQWUDFWXDOVHUYLFHV 0DWHULDOVDQGVXSSOLHV 2WKHUH[SHQGLWXUHV

7RWDOH[SHQGLWXUHV

1HWFKDQJHLQIXQGEDODQFH

8QHQFXPEHUHGIXQGEDODQFHEHJLQQLQJ

8QHQFXPEHUHGIXQGEDODQFHHQGLQJ

68 7KH5HYLVHG%XGJHWFROXPQUHIOHFWVWKH$GRSWHG%XGJHWSOXVDQ\VXEVHTXHQWDGMXVWPHQWVDXWKRUL]HGE\WKH&LW\&RXQFLO

CITY OF WICHITA, KANSAS UNAUDITED DEBT SERVICE FUND SCHEDULE OF REVENUES, EXPENDITURES AND CHANGES IN FUND BALANCES BUDGET AND ACTUAL - BUDGETARY BASIS

For the quarter ended March 31, 2020 (with projections for the year ended December 31, 2020)

Budgeted Amounts Actual Projected1 Original Revised* Year to Date Year End Revenues and other sources: General property taxes $ 26,446,883 $ 26,446,883 $ 15,732,559 $ 26,446,883 Special assessments 27,756,363 27,756,363 12,917,816 25,256,000 Motor vehicle taxes 3,879,771 3,879,771 533,267 3,879,771 Local sales tax 450,000 450,000 227,301 950,000 Other revenue 500,000 500,000 6,629 6,629 Premiums on bonds sold 1,250,000 1,250,000 - 1,250,000 Transfers from other funds 17,928,093 17,928,093 1,939,700 17,928,093

Total revenues and other sources 78,211,110 78,211,110 31,357,272 75,717,376

Expenditures and other uses: Debt service 59,333,575 59,333,575 2,531,396 55,400,000 Transfers to other funds 29,984,027 29,984,027 - 23,000,000

Total expenditures and other uses 89,317,602 89,317,602 2,531,396 78,400,000

Net change in fund balance (11,106,492) (11,106,492) 28,825,876 (2,682,624)

Unencumbered fund balance, beginning 14,802,025 14,802,025 22,071,134 22,071,134

Unencumbered fund balance, ending $ 3,695,533 $ 3,695,533 $ 50,897,010 $ 19,388,510

* The Revised Budget column reflects the Adopted Budget plus any subsequent adjustments authorized by the City Council.

7 CITY OF WICHITA, KANSAS UNAUDITED DEBT SERVICE FUND SCHEDULE OF REVENUES, EXPENDITURES AND CHANGES IN FUND BALANCES BUDGET AND ACTUAL - BUDGETARY BASIS

For the quarter ended March 31, 2020 (with comparative totals for the quarter ended March 31, 2019)

Variance with Budgeted Amounts Final Budget Actual Positive 2019 Original Revised* Year to Date (Negative) Actual Amounts

REVENUES Local government taxes: General property taxes: Property taxes $ 25,536,883 $ 25,536,883 $ 15,413,171 $ (10,123,712) $ 14,820,222 Delinquent property taxes 910,000 910,000 319,388 (590,612) 326,655 Special assessments 26,440,888 26,440,888 12,615,583 (13,825,305) 12,872,280 Delinquent special assessments 1,315,475 1,315,475 302,233 (1,013,242) 450,670 Motor vehicle taxes 3,879,771 3,879,771 533,267 (3,346,504) 523,312 Local sales tax 450,000 450,000 227,301 (222,699) 200,486

Total local government taxes 58,533,017 58,533,017 29,410,943 (29,122,074) 29,193,625

Investment earnings - - - - 1,456 Other revenue 500,000 500,000 6,629 (493,371) 13,207

Total revenues 59,033,017 59,033,017 29,417,572 (29,615,445) 29,208,288

EXPENDITURES Interest on general obligation bonds - - 1,801,525 (1,801,525) 1,613,307 Interest on special assessment bonds - - 464,755 (464,755) 825,169 Interest on STAR bonds - - 92,651 (92,651) 80,070 Retirement of general obligation bonds 58,532,479 58,532,479 - 58,532,479 2,815,000 Retirement of STAR bonds - - 172,294 (172,294) 149,450 Other expenditures 801,096 801,096 171 800,925 171

Total expenditures 59,333,575 59,333,575 2,531,396 56,802,179 5,483,167

Excess (deficiency) of revenues over (under) expenditures (300,558) (300,558) 26,886,176 27,186,734 23,725,121

OTHER FINANCING SOURCES (USES) Premiums on bonds sold 1,250,000 1,250,000 - (1,250,000) - Transfers from other funds 17,928,093 17,928,093 1,939,700 (15,988,393) 4,409,669 Transfers to other funds (29,984,027) (29,984,027) - 29,984,027 -

Total other financing sources (uses) (10,805,934) (10,805,934) 1,939,700 12,745,634 4,409,669

Net change in fund balance (11,106,492) (11,106,492) 28,825,876 39,932,368 28,134,790

Unencumbered fund balance, beginning 14,802,025 14,802,025 22,071,134 7,269,109 21,359,742

Unencumbered fund balance, ending $ 3,695,533 $ 3,695,533 $ 50,897,010 $ 47,201,477 $ 49,494,532

* The Revised Budget column reflects the Adopted Budget plus any subsequent adjustments authorized by the City Council. 70

8 CITY OF WICHITA, KANSAS UNAUDITED LIMITATION ON BONDED INDEBTEDNESS K.S.A. 10-308

As of March 31, 2020

30%1 of the assessed value of all tangible property equals the debt limitation for 2019.

Assessed valuation figures for the City of Wichita, Kansas are as follows:

2019 Equalized assessed valuation of taxable tangible property $ 3,624,370,098 2019 Estimated tangible value of motor vehicles 458,988,411

Equalized assessed tangible valuation for computation of the bonded indebtedness limitations $ 4,083,358,509

Debt limitation 30%

Legal debt limit $ 1,225,007,553

The limitation applies to all bonds issued by the City except for the following, which have been excluded from the debt limitation:

General obligation bonds: Special assessments levied for sewer improvements Tax increment financing Airport general obligation bonds issued under certain statutory authority2 Water Utility general obligation Stormwater Utility general obligation Refunding general obligation bonds

Revenue bonds: Sewer Utility Water Utility Airport special facilities Sales tax special obligation

1 K.S.A. 10-308 71 2 K.S.A. 13-1348a CO78

9 CITY OF WICHITA, KANSAS

STATEMENT OF DEBT

For the quarter ended March 31, 2020 (with comparative totals for the quarter ended March 31, 2019)

Balance Balance January 1, March 31, 2020Issued Retired 2020

Legal debt limit

Bonds outstanding General obligation bonds payable from: Ad valorem property taxes $ 67,960,655 $ - $ - $ 67,960,655 Special assessments 146,406,374 - - 146,406,374 Tax increment financing 24,899,351 - - 24,899,351 Transient guest tax 2,465,000 - - 2,465,000 Airport Authority 124,395,000 - 585,000 123,810,000 Water Utility 110,710,000 - - 110,710,000 Stormwater Utility 13,418,620 - - 13,418,620 Local sales tax 93,975,000 - - 93,975,000

Total general obligation bonds payable 584,230,000 - 585,000 583,645,000

Revenue bonds payable from: Water Utility revenue 224,551,689 - - 224,551,689 Sewer Utility revenue 193,408,311 - - 193,408,311 Airport special facilities 14,233,650 - 2,712,063 11,521,587 Sales tax special obligation 4,331,482 - 172,294 4,159,188

Total revenue bonds payable 436,525,132 - 2,884,357 433,640,775

Total bonded debt 1,020,755,132 - 3,469,357 1,017,285,775

Temporary notes 91,390,000 - - 91,390,000

Total debt $ 1,112,145,132 $ - $ 3,469,357 $ 1,108,675,775

10 UNAUDITED

Outside Within Debt Debt Totals Limit Limit 2020 2019

$ 1,225,007,553

$ 5,121,380 $ 62,839,275 $ 67,960,655 $ 45,951,756 84,776,760 61,629,614 146,406,374 164,380,961 24,899,351 - 24,899,351 15,229,115 - 2,465,000 2,465,000 2,475,000 38,439,451 85,370,549 123,810,000 125,835,000 110,710,000 - 110,710,000 115,850,000 13,418,620 - 13,418,620 15,683,168 9,370,000 84,605,000 93,975,000 79,180,000

286,735,562 296,909,438 583,645,000 564,585,000

224,551,689 - 224,551,689 237,608,076 193,408,311 - 193,408,311 205,356,923 11,521,587 - 11,521,587 5,460,000 4,159,188 - 4,159,188 4,427,984

433,640,775 - 433,640,775 452,852,983

720,376,337 296,909,438 1,017,285,775 1,017,437,983

16,803,130 74,586,870 91,390,000 117,065,000

$ 737,179,467 371,496,308 $ 1,108,675,775 $ 1,134,502,983

Less assets available for payment of debt: Assets in debt service fund 60,600,749

Total net debt applicable to debt limitation 310,895,559

Legal debt margin $ 914,111,994

11 CITY OF WICHITA, KANSAS UNAUDITED DEBT SERVICE AS A PERCENT OF PROPERTY TAX REVENUE

Actuals as of March 31, 2020

Debt service as a percent of property tax revenue is a performance measure that was utilized in the development of the 2011-2020 Adopted Capital Improvement Program (CIP). Expressed as a percent, the measure provides guidance on planning new debt-funded improvements and reserving capacity for unexpected needs of the community.

The 2019-2028 CIP was adopted by the City Council in August 2019. That document projected that the measure would increase, but remain at or below the target during the planning period. This is consistent with prior CIP's, which projected a similar trend, with ratios rising, particularly in 2021 and 2022, and then dropping, but remaining below benchmark levels.

A significant amount of project costs initiated in recent years are not yet permanently financed. As permanent financing is arranged for these amounts, the ratio is expected to increase correspondingly. Based on current projections, at no time is the measure is expected to exceed 66.6%, which is Standard & Poor’s benchmark for all AAA cities.

The debt capacity calculated here is based on projected revenue available to pay at-large general obligation principal and interest under the current guidelines established by the City Council. The City's legal debt capacity, based on Kansas statutes, is calculated on page 11.

Capital Improvement Program (2019-2028) (dollars in millions)

Actual Projected Projected AAA City 2019 2020 2021 Benchmark* Property tax revenue $ 26.4 $ 26.4 $ 27.3 Motor vehicle tax revenue 3.9 3.9 3.9 Interest earnings and other revenue 0.5 2.2 2.2

Total revenue $ 30.8 $ 32.5 $ 33.4

Current debt service requirements $ 13.9 $ 9.8 $ 6.6 New debt service projections - 4.2 8.2

Total debt service requirements $ 13.9 $ 14.0 $ 14.8

Property tax utilization 45.1 % 43.1 % 44.3 % 66.6 %

* Standard & Poor's benchmark for all AAA cities

Note: The 2019-2028 Capital Improvement Program (CIP) was adopted by the City Council on August 13, 2019. The ratios reflect data from that plan, adjusted to reflect more recent activity.

12 CITY OF WICHITA, KANSAS UNAUDITED DEBT SERVICE FUND TAX INCREMENT FINANCING PAYMENT STATUS

As of March 31, 2020

Original Principal Interest Transfers to Cumulative Balance ofPayments Debt Balance Payments Debt Service Surplus (Deficit) Debt Since Inception Mar 31, 2020 Since Inception Since Inception Mar 31, 2020

Gilbert and Mosley $ 16,105,000 $ (15,780,000) $ 325,000 $ (4,619,444) $ (20,405,354) $ 5,910 East Bank 25,761,857 (18,267,506) 7,494,351 (8,442,793) (22,988,923) (3,721,376) Old Town Cinema 4,665,000 (4,665,000) - (1,521,270) (5,917,711) (268,559) Northeast Redevelopment 356,868 (356,868) - - (310,828) (46,040) Center City 15,065,000 (415,000) 14,650,000 (463,249) (1,240,145) 361,896 Douglas and Hillside 3,685,000 (1,255,000) 2,430,000 (462,751) (641,651) (1,076,100)

Total for all Tax Increment Financing Districts $ 65,638,725 $ (40,739,374) $ 24,899,351 $ (15,509,507) $ (51,504,612) $ (4,744,269)

ANNUAL DEBT SERVICE REQUIREMENTS

2015 Actual 2016 Actual 2017 Actual 2018 Actual 2019 Actual 2020 Budget

Gilbert and Mosley Debt service requirement $ 340,500 $ 347,750 $ 359,000 $ 344,000 $ 349,000 $ 338,000 Payments by TIF (actual and budgeted) (340,500) (347,750) (359,000) (344,000) (349,000) (338,000) Cumulative surplus 12,410 12,410 12,410 12,410 12,410 12,410

East Bank Debt service requirement 2,013,198 1,976,615 2,014,530 2,014,947 2,004,007 1,996,297 Payments by TIF (actual and budgeted) (1,763,246) (1,618,676) (1,652,449) (1,029,899) (1,429,901) (1,730,742) Cumulative deficit (1,405,629) (1,763,568) (2,125,649) (3,110,697) (3,684,803) (3,950,358)

Old Town Cinema Debt service requirement 435,000 427,000 423,500 404,250 - - Payments by TIF (actual and budgeted) (371,640) (337,451) (304,241) (508,170) (507,703) (592,371) Cumulative surplus (deficit) (671,374) (760,923) (880,182) (776,262) (268,559) 323,812

Northeast Redevelopment Debt service requirement ------Payments by TIF (actual and budgeted) (26,403) (31,600) (20,860) - (25,186) (50,407) Cumulative surplus (deficit) (123,686) (92,086) (71,226) (71,226) (46,040) 4,367

Center City Debt service requirement 138,086 161,603 180,003 193,053 205,503 790,282 Payments by TIF (actual and budgeted) (400,000) (370,247) (159,435) (156,430) (154,032) (1,099,170) Cumulative surplus 261,914 470,558 449,990 413,367 361,896 670,784

Douglas and Hillside Debt service requirement 351,122 339,398 339,448 344,348 343,435 346,685 Payments by TIF (actual and budgeted) (216,066) (40,209) (37,035) (323,763) (24,578) (364,697) Cumulative surplus (deficit) (135,056) (434,245) (736,658) (757,243) (1,076,100) (1,058,088)

Debt of the Tax Increment Financing Funds (TIFs) constitute general obligations of the City. The full faith, credit and resources of the City are pledged by the bond ordinances to the payment of the bonds to finance TIF projects. Despite the fact that the bonds are general obligation bonds, the City's intention has always been to retire the TIF bonds 75 from the collection of tax increments generated from properties within each TIF district.

13 This page intentionally left blank.

14 CITY OF WICHITA, KANSAS UNAUDITED TOURISM AND CONVENTION PROMOTION FUND SCHEDULE OF REVENUES, EXPENDITURES AND CHANGES IN FUND BALANCES BUDGET AND ACTUAL - BUDGETARY BASIS

For the quarter ended March 31, 2020 (with comparative totals for the quarter ended March 31, 2019)

Variance with Budgeted Amounts Final Budget Actual Positive 2019 Original Revised* Year to Date (Negative) Actual Amounts

REVENUES Transient guest taxes $ 7,559,751 $ 7,559,751 $ 2,110,253 $ (5,449,498) $ 1,902,299 Other revenue - - - - 65,165

Total revenues 7,559,751 7,559,751 2,110,253 (5,449,498) 1,967,464

EXPENDITURES Culture and recreation: Contractual services 2,919,088 2,919,088 2,773,594 145,494 2,854,262

Total expenditures 2,919,088 2,919,088 2,773,594 145,494 2,854,262

Excess (deficiency) of revenues over (under) expenditures 4,640,663 4,640,663 (663,341) (5,304,004) (886,798)

OTHER FINANCING USES Transfers to other funds (7,116,801) (7,116,801) (841,700) 6,275,101 (832,865)

Total other financing uses (7,116,801) (7,116,801) (841,700) 6,275,101 (832,865)

Net change in fund balance (2,476,138) (2,476,138) (1,505,041) 971,097 (1,719,663)

Unencumbered fund balance, beginning 2,870,163 2,870,163 3,294,275 424,112 3,375,418

Unencumbered fund balance, ending $ 394,025 $ 394,025 $ 1,789,234 $ 1,395,209 $ 1,655,755

*The Revised Budget column reflects the Adopted Budget plus any subsequent adjustments authorized by the City Council. 77

15 CITY OF WICHITA, KANSAS UNAUDITED GILBERT AND MOSLEY TIF DISTRICT FUND SCHEDULE OF REVENUES, EXPENDITURES AND CHANGES IN FUND BALANCES BUDGET AND ACTUAL - BUDGETARY BASIS

For the quarter ended March 31, 2020 (with comparative totals for the quarter ended March 31, 2019)

Variance with Budgeted Amounts Final Budget Actual Positive 2019 Original Revised* Year to Date (Negative) Actual Amounts

REVENUES Property taxes $ 2,670,040 $ 2,670,040 $ 2,670,040 $ - $ 2,670,040 Other revenue 105,000 105,000 - (105,000) -

Total revenues 2,775,040 2,775,040 2,670,040 (105,000) 2,670,040

EXPENDITURES Health and welfare: Contractual services 1,710,382 1,710,382 103,201 1,607,181 82,090 Materials and supplies 197,447 197,447 7,600 189,847 606 Other expenditures 12,977,542 12,977,542 56,886 12,920,656 55,086

Total expenditures 14,885,371 14,885,371 167,687 14,717,684 137,782

Excess (deficiency) of revenues over (under) expenditures (12,110,331) (12,110,331) 2,502,353 14,612,684 2,532,258

OTHER FINANCING USES Transfers to other funds (338,000) (338,000) - 338,000 -

Total other financing uses (338,000) (338,000) - 338,000 -

Net change in fund balance (12,448,331) (12,448,331) 2,502,353 14,950,684 2,532,258

Unencumbered fund balance, beginning 13,157,895 13,157,895 19,470,207 6,312,312 17,861,717

Unencumbered fund balance, ending $ 709,564 $ 709,564 $ 21,972,560 $ 21,262,996 $ 20,393,975

*The Revised Budget column reflects the Adopted Budget plus any subsequent adjustments authorized by the City Council. 78

16 CITY OF WICHITA, KANSAS UNAUDITED NORTH INDUSTRIAL CORRIDOR TIF DISTRICT FUND SCHEDULE OF REVENUES, EXPENDITURES AND CHANGES IN FUND BALANCES BUDGET AND ACTUAL - BUDGETARY BASIS

For the quarter ended March 31, 2020 (with comparative totals for the quarter ended March 31, 2019)

Variance with Budgeted Amounts Final Budget Actual Positive 2019 Original Revised* Year to Date (Negative) Actual Amounts

REVENUES Property taxes $ 1,165,300 $ 1,165,300 $ 1,165,300 $ - $ 1,165,312 Other revenue - - - - 143,373

Total revenues 1,165,300 1,165,300 1,165,300 - 1,308,685

EXPENDITURES Health and welfare: Contractual services 2,376,890 2,376,890 180,098 2,196,792 28,326 Materials and supplies 114,900 114,900 108 114,792 145 Other expenditures 8,327,542 8,327,542 56,886 8,270,656 55,086

Total expenditures 10,819,332 10,819,332 237,092 10,582,240 83,557

Net change in fund balance (9,654,032) (9,654,032) 928,208 10,582,240 1,225,128

Unencumbered fund balance, beginning 10,175,270 10,175,270 16,776,562 6,601,292 15,309,564

Unencumbered fund balance, ending $ 521,238 $ 521,238 $ 17,704,770 $ 17,183,532 $ 16,534,692

*The Revised Budget column reflects the Adopted Budget plus any subsequent adjustments authorized by the City Council. 79

17 CITY OF WICHITA, KANSAS UNAUDITED EAST BANK TIF DISTRICT FUND SCHEDULE OF REVENUES, EXPENDITURES AND CHANGES IN FUND BALANCES BUDGET AND ACTUAL - BUDGETARY BASIS

For the quarter ended March 31, 2020 (with comparative totals for the quarter ended March 31, 2019)

Variance with Budgeted Amounts Final Budget Actual Positive 2019 Original Revised* Year to Date (Negative) Actual Amounts

REVENUES Property taxes $ 1,730,742 $ 1,730,742 $ 644,665 $ (1,086,077) $ 824,816 Other revenue - - 1,200 1,200 -

Total revenues 1,730,742 1,730,742 645,865 (1,084,877) 824,816

OTHER FINANCING USES Transfers to other funds (1,730,742) (1,730,742) - 1,730,742 -

Total other financing uses (1,730,742) (1,730,742) - 1,730,742 -

Net change in fund balance - - 645,865 645,865 824,816

Unencumbered fund balance, beginning - - - - -

Unencumbered fund balance, ending $ - $ - $ 645,865 $ 645,865 $ 824,816

*The Revised Budget column reflects the Adopted Budget plus any subsequent adjustments authorized by the City Council. 80

18 CITY OF WICHITA, KANSAS UNAUDITED OLD TOWN CINEMA TIF DISTRICT FUND SCHEDULE OF REVENUES, EXPENDITURES AND CHANGES IN FUND BALANCES BUDGET AND ACTUAL - BUDGETARY BASIS

For the quarter ended March 31, 2020 (with comparative totals for the quarter ended March 31, 2019)

Variance with Budgeted Amounts Final Budget Actual Positive 2019 Original Revised* Year to Date (Negative) Actual Amounts

REVENUES Property taxes $ 592,371 $ 592,371 $ 285,825 $ (306,546) $ 272,671

Total revenues 592,371 592,371 285,825 (306,546) 272,671

OTHER FINANCING USES Transfers to other funds (592,371) (592,371) - 592,371 -

Total other financing uses (592,371) (592,371) - 592,371 -

Net change in fund balance - - 285,825 285,825 272,671

Unencumbered fund balance, beginning - - - - -

Unencumbered fund balance, ending $ - $ - $ 285,825 $ 285,825 $ 272,671

*The Revised Budget column reflects the Adopted Budget plus any subsequent adjustments authorized by the City Council. 81

19 CITY OF WICHITA, KANSAS UNAUDITED NORTHEAST REDEVELOPMENT TIF DISTRICT FUND SCHEDULE OF REVENUES, EXPENDITURES AND CHANGES IN FUND BALANCES BUDGET AND ACTUAL - BUDGETARY BASIS

For the quarter ended March 31, 2020 (with comparative totals for the quarter ended March 31, 2019)

Variance with Budgeted Amounts Final Budget Actual Positive 2019 Original Revised* Year to Date (Negative) Actual Amounts

REVENUES Property taxes $ 25,198 $ 25,198 $ 10,375 $ (14,823) $ 50,395

Total revenues 25,198 25,198 10,375 (14,823) 50,395

OTHER FINANCING USES Transfers to other funds (50,407) (50,407) - 50,407 -

Total other financing uses (50,407) (50,407) - 50,407 -

Net change in fund balance (25,209) (25,209) 10,375 35,584 50,395

Unencumbered fund balance, beginning 25,209 25,209 25,209 - -

Unencumbered fund balance, ending $ - $ - $ 35,584 $ 35,584 $ 50,395

*The Revised Budget column reflects the Adopted Budget plus any subsequent adjustments authorized by the City Council. 82

20 CITY OF WICHITA, KANSAS UNAUDITED CENTER CITY TIF DISTRICT FUND SCHEDULE OF REVENUES, EXPENDITURES AND CHANGES IN FUND BALANCES BUDGET AND ACTUAL - BUDGETARY BASIS

For the quarter ended March 31, 2020 (with comparative totals for the quarter ended March 31, 2019)

Variance with Budgeted Amounts Final Budget Actual Positive 2019 Original Revised* Year to Date (Negative) Actual Amounts

REVENUES Property taxes $ 661,406 $ 661,406 $ 282,309 $ (379,097) $ 241,968

Total revenues 661,406 661,406 282,309 (379,097) 241,968

OTHER FINANCING USES Transfers to other funds (1,099,170) (1,099,170) - 1,099,170 -

Total other financing uses (1,099,170) (1,099,170) - 1,099,170 -

Net change in fund balance (437,764) (437,764) 282,309 720,073 241,968

Unencumbered fund balance, beginning 437,764 437,764 414,229 (23,535) 133,517

Unencumbered fund balance, ending $ - $ - $ 696,538 $ 696,538 $ 375,485

*The Revised Budget column reflects the Adopted Budget plus any subsequent adjustments authorized by the City Council. 83

21 CITY OF WICHITA, KANSAS UNAUDITED KEN MAR TIF DISTRICT FUND SCHEDULE OF REVENUES, EXPENDITURES AND CHANGES IN FUND BALANCES BUDGET AND ACTUAL - BUDGETARY BASIS

For the quarter ended March 31, 2020 (with comparative totals for the quarter ended March 31, 2019)

Variance with Budgeted Amounts Final Budget Actual Positive 2019 Original Revised* Year to Date (Negative) Actual Amounts

REVENUES Property taxes $ 63,872 $ 63,872 $ 4,322 $ (59,550) $ 7,214 Other revenue 124,828 124,828 - (124,828) -

Total revenues 188,700 188,700 4,322 (184,378) 7,214

OTHER FINANCING USES Transfers to other funds (212,684) (212,684) - 212,684 -

Total other financing uses (212,684) (212,684) - 212,684 -

Net change in fund balance (23,984) (23,984) 4,322 28,306 7,214

Unencumbered fund balance, beginning 23,984 23,984 - (23,984) -

Unencumbered fund balance, ending $ - $ - $ 4,322 $ 4,322 $ 7,214

*The Revised Budget column reflects the Adopted Budget plus any subsequent adjustments authorized by the City Council. 84

22 CITY OF WICHITA, KANSAS UNAUDITED DOUGLAS AND HILLSIDE TIF DISTRICT FUND SCHEDULE OF REVENUES, EXPENDITURES AND CHANGES IN FUND BALANCES BUDGET AND ACTUAL - BUDGETARY BASIS

For the quarter ended March 31, 2020 (with comparative totals for the quarter ended March 31, 2019)

Variance with Budgeted Amounts Final Budget Actual Positive 2019 Original Revised* Year to Date (Negative) Actual Amounts

REVENUES Property taxes $ 364,697 $ 364,697 $ 45,025 $ (319,672) $ 11,765

Total revenues 364,697 364,697 45,025 (319,672) 11,765

OTHER FINANCING USES Transfers to other funds (364,697) (364,697) - 364,697 -

Total other financing uses (364,697) (364,697) - 364,697 -

Net change in fund balance - - 45,025 45,025 11,765

Unencumbered fund balance, beginning - - - - -

Unencumbered fund balance, ending $ - $ - $ 45,025 $ 45,025 $ 11,765

*The Revised Budget column reflects the Adopted Budget plus any subsequent adjustments authorized by the City Council. 85

23 CITY OF WICHITA, KANSAS UNAUDITED UNION STATION TIF DISTRICT FUND SCHEDULE OF REVENUES, EXPENDITURES AND CHANGES IN FUND BALANCES BUDGET AND ACTUAL - BUDGETARY BASIS

For the quarter ended March 31, 2020 (with comparative totals for the quarter ended March 31, 2019)

Variance with Budgeted Amounts Final Budget Actual Positive 2019 Original Revised* Year to Date (Negative) Actual Amounts

REVENUES Property taxes $ 156,060 $ 156,060 $ 29,259 $ (126,801) $ 32,483

Total revenues 156,060 156,060 29,259 (126,801) 32,483

EXPENDITURES General government: Contractual services 156,060 156,060 - 156,060 -

Total expenditures 156,060 156,060 - 156,060 -

Net change in fund balance - - 29,259 29,259 32,483

Unencumbered fund balance, beginning - - 32,482 32,482 -

Unencumbered fund balance, ending $ - $ - $ 61,741 $ 61,741 $ 32,483

*The Revised Budget column reflects the Adopted Budget plus any subsequent adjustments authorized by the City Council. 86

24 CITY OF WICHITA, KANSAS UNAUDITED SOUTHFORK TIF DISTRICT FUND SCHEDULE OF REVENUES, EXPENDITURES AND CHANGES IN FUND BALANCES BUDGET AND ACTUAL - BUDGETARY BASIS

For the quarter ended March 31, 2020 (with comparative totals for the quarter ended March 31, 2019)

Variance with Budgeted Amounts Final Budget Actual Positive 2019 Original Revised* Year to Date (Negative) Actual Amounts

REVENUES Property taxes $ 156,060 $ 156,060 $ 18,948 $ (137,112) $ 43,781

Total revenues 156,060 156,060 18,948 (137,112) 43,781

EXPENDITURES General government: Contractual services 251,623 251,623 - 251,623 -

Total expenditures 251,623 251,623 - 251,623 -

Net change in fund balance (95,563) (95,563) 18,948 114,511 43,781

Unencumbered fund balance, beginning 95,563 95,563 160,863 65,300 95,563

Unencumbered fund balance, ending $ - $ - $ 179,811 $ 179,811 $ 139,344

*The Revised Budget column reflects the Adopted Budget plus any subsequent adjustments authorized by the City Council. 87

25 CITY OF WICHITA, KANSAS UNAUDITED WEST BANK TIF DISTRICT FUND SCHEDULE OF REVENUES, EXPENDITURES AND CHANGES IN FUND BALANCES BUDGET AND ACTUAL - BUDGETARY BASIS

For the quarter ended March 31, 2020 (with comparative totals for the quarter ended March 31, 2019)

Variance with Budgeted Amounts Final Budget Actual Positive 2019 Original Revised* Year to Date (Negative) Actual Amounts

REVENUES Property taxes $ 50,000 $ 50,000 $ 38,345 $ (11,655) $ 12,040

Total revenues 50,000 50,000 38,345 (11,655) 12,040

EXPENDITURES General government: Contractual services 70,840 70,840 - 70,840 -

Total expenditures 70,840 70,840 - 70,840 -

Net change in fund balance (20,840) (20,840) 38,345 59,185 12,040

Unencumbered fund balance, beginning 20,840 20,840 20,960 120 -

Unencumbered fund balance, ending $ - $ - $ 59,305 $ 59,305 $ 12,040

*The Revised Budget column reflects the Adopted Budget plus any subsequent adjustments authorized by the City Council. 88

26 CITY OF WICHITA, KANSAS UNAUDITED SALES TAX CONSTRUCTION PLEDGE FUND SCHEDULE OF REVENUES, EXPENDITURES AND CHANGES IN FUND BALANCES BUDGET AND ACTUAL - BUDGETARY BASIS

For the quarter ended March 31, 2020 (with comparative totals for the quarter ended March 31, 2019)

Variance with Budgeted Amounts Final Budget Actual Positive 2019 Original Revised* Year to Date (Negative) Actual Amounts

REVENUES Local sales tax $ 31,231,286 $ 31,231,286 $ 7,985,298 $ (23,245,988) $ 7,747,387

Total revenues 31,231,286 31,231,286 7,985,298 (23,245,988) 7,747,387

OTHER FINANCING USES Transfers to other funds (35,992,612) (35,992,612) (6,325,452) 29,667,160 (10,447,472)

Total other financing uses (35,992,612) (35,992,612) (6,325,452) 29,667,160 (10,447,472)

Net change in fund balance (4,761,326) (4,761,326) 1,659,846 6,421,172 (2,700,085)

Unencumbered fund balance, beginning 6,527,164 6,527,164 4,963,624 (1,563,540) 8,467,772

Unencumbered fund balance, ending $ 1,765,838 $ 1,765,838 $ 6,623,470 $ 4,857,632 $ 5,767,687

*The Revised Budget column reflects the Adopted Budget plus any subsequent adjustments authorized by the City Council. 89

27 This page intentionally left blank.

28 This page intentionally left blank.

29 CITY OF WICHITA, KANSAS UNAUDITED GOLF COURSE SYSTEM FUND STATEMENT OF NET POSITION

March 31, 2020 (with comparative totals for March 31, 2019)

2020 2019

ASSETS Current assets: Cash and temporary investments $ 44,639 $ - Receivables, net - 22,211 Prepaid items 3,700 3,700

Total current assets 48,339 25,911

Noncurrent assets: Capital assets: Land 654,534 654,534 Buildings 2,830,768 2,830,768 Improvements other than buildings 14,761,230 14,761,230 Machinery, equipment and other assets 1,824,552 1,824,552 Construction in progress 58,700 10,500 Less: accumulated depreciation (16,891,567) (16,398,654) Total capital assets net of accumulated depreciation 3,238,217 3,682,930

Total noncurrent assets 3,238,217 3,682,930

Total assets 3,286,556 3,708,841

DEFERRED OUTFLOWS OF RESOURCES Deferred outflows related to pensions 1,749,576 584,517 Deferred outflows related to OPEB 31,795 12,648

Total deferred outflows of resources 1,781,371 597,165

LIABILITIES Current liabilities: Accounts payable and accrued expenses 61,940 112,705 Deposits - 14,181 Compensated absences 109,884 120,668

Total current liabilities 171,824 247,554

Noncurrent liabilities: Unearned revenue 60,415 104,888 Due to other funds 5,668,420 5,960,234 Net pension liability 1,874,608 181,618 Total OPEB liability 249,090 314,213 Compensated absences 18,288 17,132

Total noncurrent liabilities 7,870,821 6,578,085

Total liabilities 8,042,645 6,825,639

DEFERRED INFLOWS OF RESOURCES Deferred inflows related to pensions 574,010 805,753 Deferred inflows related to OPEB 107,404 20,230 Total deferred inflows of resources 681,414 825,983

NET POSITION Net investment in capital assets 3,238,217 3,682,930 Unrestricted (6,894,349) (7,028,546) Total net position $ (3,656,132) $ (3,345,616) 92

30 CITY OF WICHITA, KANSAS UNAUDITED GOLF COURSE SYSTEM FUND STATEMENT OF REVENUES, EXPENSES AND CHANGES IN NET POSITION

For the quarter ended March 31, 2020 (with comparative totals for the quarter ended March 31, 2019)

2020 2019

OPERATING REVENUES Charges for services and sales $ 28,947 $ 27,126 Fees 286,396 298,847 Rental income 84,213 77,621 Other revenue 8,097 17

Total revenues 407,653 403,611

OPERATING EXPENSES Personnel services 381,434 492,944 Contractual services 138,433 124,317 Materials and supplies 85,783 90,074 Other operating expenses 18,846 18,963 Administrative charges 62,940 67,483 Depreciation 128,000 146,970

Total operating expenses 815,436 940,751

Change in net position (407,783) (537,140)

Net position, beginning (3,248,349) (2,808,476)

Net position, ending $ (3,656,132) $ (3,345,616)

31 CITY OF WICHITA, KANSAS UNAUDITED GOLF COURSE SYSTEM FUND SCHEDULE OF REVENUES, EXPENDITURES AND CHANGES IN UNENCUMBERED NET POSITION BUDGET AND ACTUAL - BUDGETARY BASIS

For the quarter ended March 31, 2020 (with comparative totals for the quarter ended March 31, 2019)

Variance with Budgeted Amounts Final Budget Actual Positive 2019 Original Revised* Year to Date (Negative) Actual Amounts

REVENUES Charges for services and sales $ 403,685 $ 403,685 $ 28,947 $ (374,738) $ 27,126 Fees 2,626,580 2,626,580 278,302 (2,348,278) 288,074 Rental income 885,277 885,277 84,213 (801,064) 77,621 Other revenue - - 8,547 8,547 17

Total revenues 3,915,542 3,915,542 400,009 (3,515,533) 392,838

EXPENDITURES Personnel services 2,306,603 2,306,603 381,434 1,925,169 492,943 Contractual services 780,665 780,665 140,833 639,832 147,453 Materials and supplies 426,028 426,028 91,453 334,575 85,790 Other operating expenditures 97,885 97,885 18,846 79,039 78,963 Cost of materials used 162,842 162,842 11,485 151,357 4,284 City administrative charges 251,758 251,758 62,940 188,818 67,483

Total expenditures 4,025,781 4,025,781 706,991 3,318,790 876,916

Net change in unencumbered cash balance (110,239) (110,239) (306,982) (196,743) (484,078)

Unencumbered net position, beginning (240,473) (240,473) 85,138 325,611 20,072

Change in non-budgetary items - - - - 216,339

Unencumbered net position, ending $ (350,712) $ (350,712) $ (221,844) $ 128,868 $ (247,667)

94 * The Revised Budget column reflects the Adopted Budget plus any subsequent adjustments authorized by the City Council.

32 CITY OF WICHITA, KANSAS UNAUDITED STATEMENT OF CASH AND INVESTMENTS

As of March 31, 2020

Cash at Close Accounts Cash Available at Encumbrances Other Cash and of Period1 Payable2 Close of Period3 Outstanding4 Investments5 General fund $ 76,031,789 $ 1,596,829 $ 74,434,960 $ 5,320,631 $ - Special revenue funds Grant assistance funds (7,326,295) 194,600 (7,520,895) 1,373,288 8,187,060 Other special revenue funds 67,488,521 405,364 67,083,157 4,550,520 - Debt service fund6 49,800,565 - 49,800,565 - 8,165,055 Capital projects funds6 (3,869,916) 6,600,775 (10,470,691) 97,345,291 17,875,800 Permanent fund7 545,676 - 545,676 - 973,390 Enterprise funds: Water Utility 119,700,919 1,092,190 118,608,729 126,935,004 7,534,748 Sewer Utility 28,735,578 897,105 27,838,473 7,638,189 48,473,811 Stormwater Utility 16,356,750 43,390 16,313,360 863,951 - Golf Course System 44,639 29,141 15,498 83,539 - Airport Authority8 20,462,917 2,246,583 18,216,334 23,018,794 16,035,494 Transit 1,262,826 126,918 1,135,908 8,272,950 - Internal service funds 47,197,589 1,355,809 45,841,780 1,452,685 - Trust and agency funds 1,306,013 16 1,305,997 29,686 -

Total $ 417,737,571 $ 14,588,720 $ 403,148,851 $ 276,884,528 $ 107,245,358

1 Cash at Close of Period reflects the total cash and temporary investments held by the City and its trustees at the end of the accounting period. 2 Accounts Payable represents the City's obligations which will be paid with the next weekly ordinance and accrued payroll. 3 Cash Available at Close of Period represents Cash at Close of Period less Accounts Payable. 4 Encumbrances Outstanding represents funds reserved for purchase commitments, such as goods or services not yet received. 5 Other cash and investments reflects the City's cash and investments that are not included in its pooled cash and investments. 6 Cash and investment balances with fiscal agents subject to bond restrictions, including unspent bond proceeds and amounts placed in escrow, totaled $26,040,855. 7 Cash and investment balances related to the cemetery fund subject to donor restrictions, including $235,437 which is nonexpendable. 8 Cash and investment balances from passenger facility charges that are restricted to specific uses.

33 CITY OF WICHITA, KANSAS UNAUDITED POOLED FUNDS INVESTMENT PORTFOLIO GUIDELINES

As of March 31, 2020

Guidelines Amortized Minimum Maximum Actual Cost Type of Investment: Demand Deposits - % 5 % 5 % $ 21,395,441 Municipal Investment Pool - 15 6 25,075,478 Certificates of Deposit - 100 3 12,850,000 U.S. Treasuries - 100 34 148,657,606 U.S. Government Agency Securities: Agency Bullet/ Discounts - 95 32 136,550,986 Agency Callable Securities - 30 20 87,998,306 Agency Floating Rate Securities - 10 - - Total U.S. Government Agency Securities: 52 224,549,292 Total investment portfolio 100 % $ 432,527,817

Maturity of Investments: Less than 6 months 25 % 65 % 58 % $ 252,510,516 6 months to 12 months 15 50 16 67,426,845 1 year to 4 years 10 60 26 112,590,456 Total investment portfolio $ 432,527,817

Concentration of Certificate of Deposits: Maximum of one issuer - % 4 % 2 %

Issuer Concentration: Federal Home Loan Bank - % 40 % 17 % Federal Home Loan Mortgage Corporation2 - 40 6 Federal National Mortgage Association2 - 40 21 Federal Farm Credit Bank - 40 8

Weighted Average Maturity 125 days 400 days 301 days

Modified Duration (expressed in years) 0.300 1.400 0.780

COLLATERAL REPORT FOR POOLED FUNDS

As of March 31, 2020

Deposits in Market Value Collateral Depository institution Deposits Excess of FDIC of Collateral Percent1 Intrust Bank $ 21,395,441 $ 21,145,441 $ 44,350,766 210 % Legacy Bank 8,000,000 7,750,000 8,703,167 113 Southwest National Bank 250,000 - - - Valley State Bank 4,600,000 4,350,000 5,623,288 130 Total $ 34,245,441 $ 33,245,441 $ 58,677,221 177 %

1 Municipal deposits in excess of FDIC insured limits are to be collateralized at a market value of at least 105%. Acceptable collateral is outlined in the Pooled Funds Investment Policy adopted by the City Council in November 2019. All collateral is held by an independent third party or the Federal Reserve Bank. 2 The Federal Home Loan Mortgage Corporation and the Federal National Mortgage Association are also known as Freddie Mac and Fannie Mae, respectively.

34 CITY OF WICHITA, KANSAS UNAUDITED POOLED FUNDS PORTFOLIO As of March 31, 2020

Security Buy Amortized Buy Days to ID DateFace Amount Description Coupon Maturity Market Value Cost Yield Maturity

DEMAND DEPOSITS 5392 12/31/19 $ 21,395,441 Intrust Bank 0.050% 03/31/20 $ 21,395,441 $ 21,395,441 0.500% 1 Subtotal and average 21,395,441 21,395,441 21,395,441 0.500% 1

MUNICIPAL INVESTMENT POOL 5369 12/31/19 25,075,478 MIP - Overnight 1.250% 03/31/20 25,075,478 25,075,478 0.010% 1 Subtotal and average 25,075,478 25,075,478 25,075,478 0.010% 1

CERTIFICATES OF DEPOSIT 6864 07/01/19 2,000,000 Legacy Bank 1.920% 07/01/20 2,000,000 2,000,000 1.920% 91 6865 06/30/19 1,000,000 Legacy Bank 1.970% 06/30/20 1,000,000 1,000,000 1.970% 90 6895 10/03/19 1,000,000 Legacy Bank 1.940% 10/03/20 1,000,000 1,000,000 1.940% 185 6896 11/04/19 1,000,000 Legacy Bank 1.940% 11/04/20 1,000,000 1,000,000 1.630% 217 6897 11/16/19 1,000,000 Legacy Bank 1.640% 11/16/20 1,000,000 1,000,000 1.640% 229 6905 12/27/19 2,000,000 Legacy Bank 1.640% 12/26/20 2,000,000 2,000,000 1.640% 269 6798 11/24/18 250,000 Southwest National Bank 1.590% 05/24/20 250,000 250,000 1.590% 53 6863 06/25/19 100,000 Valley State Bank 1.980% 06/25/20 100,000 100,000 1.980% 85 6878 08/12/19 1,000,000 Valley State Bank 1.780% 08/12/20 1,000,000 1,000,000 1.780% 133 6887 09/23/19 1,000,000 Valley State Bank 1.880% 09/23/20 1,000,000 1,000,000 1.880% 175 6894 10/02/19 1,000,000 Valley State Bank 1.820% 10/02/20 1,000,000 1,000,000 1.820% 184 6906 12/24/19 500,000 Valley State Bank 1.640% 12/24/20 500,000 500,000 1.640% 267 6907 12/30/19 1,000,000 Valley State Bank 1.630% 12/30/20 1,000,000 1,000,000 1.630% 273 Subtotal and average 12,850,000 12,850,000 12,850,000 1.776% 184

TREASURY SECURITIES Treasury Coupon Securities 6812 01/29/19 11,000,000 US Treasury 1.500% 05/31/20 10,990,551 10,980,875 2.583% 60 6818 01/31/19 7,000,000 US Treasury 1.375% 09/30/20 6,982,773 6,962,348 2.485% 182 6828 03/04/19 11,000,000 US Treasury 1.375% 08/31/20 10,975,074 10,947,367 2.559% 152 6829 03/01/19 9,000,000 US Treasury 1.500% 05/15/20 8,993,322 8,988,846 2.550% 44 6831 03/21/19 5,000,000 US Treasury 1.375% 09/30/20 4,987,695 4,974,396 2.430% 182 6833 03/21/19 5,000,000 US Treasury 1.500% 05/15/20 4,996,290 4,994,305 2.465% 44 6834 03/21/19 3,000,000 US Treasury 1.500% 07/15/20 2,996,952 2,992,035 2.443% 105 6835 04/15/19 8,000,000 US Treasury 1.500% 05/15/20 7,994,064 7,991,111 2.441% 44 6836 04/15/19 8,000,000 US Treasury 1.500% 05/15/20 7,994,064 7,991,319 2.419% 44 6841 06/04/19 6,000,000 US Treasury 1.625% 07/31/20 5,998,596 5,990,748 2.098% 121 6842 06/04/19 7,000,000 US Treasury 1.500% 07/15/20 6,992,888 6,988,149 2.099% 105 6857 06/06/19 4,000,000 US Treasury 1.500% 04/15/20 3,997,812 3,999,122 2.081% 14 6858 06/06/19 4,000,000 US Treasury 1.625% 06/30/20 3,999,376 3,996,106 2.026% 90 6877 08/23/19 7,000,000 US Treasury 1.375% 09/15/20 6,983,865 6,989,118 1.720% 167 6880 09/06/19 5,000,000 US Treasury 1.500% 07/15/20 4,994,920 4,996,260 1.763% 105 6882 09/09/19 5,000,000 US Treasury 1.750% 11/15/20 5,002,540 5,000,411 1.736% 228 6883 09/09/19 5,000,000 US Treasury 1.750% 11/15/20 5,002,540 5,000,514 1.732% 228 6884 09/13/19 7,000,000 US Treasury 1.750% 11/15/20 7,003,556 6,995,350 1.858% 228 6910 01/17/20 5,000,000 US Treasury 1.625% 10/15/20 5,001,170 5,001,170 1.580% 197 6913 01/17/20 10,000,000 US Treasury 1.125% 09/30/21 9,931,982 9,931,982 1.587% 547 6914 01/17/20 5,000,000 US Treasury 1.375% 04/30/21 4,989,121 4,989,121 1.579% 394 6898 12/04/19 6,000,000 US Treasury 1.250% 03/31/21 5,977,038 5,977,038 1.639% 364 Subtotal and average 143,000,000 142,786,189 142,677,691 2.126% 169

(Continued)

35 CITY OF WICHITA, KANSAS UNAUDITED POOLED FUNDS PORTFOLIO (CONTINUED) As of March 31, 2020

Security Buy Amortized Buy Days to ID DateFace Amount Description Coupon Maturity Market Value Cost Yield Maturity

TREASURY SECURITIES (Continued) Treasury Discount - Amortizing 6902 12/26/19 $ 6,000,000 US Treasury 1.545% 06/18/20 $ 5,979,915 $ 5,979,915 1.600% 78 Subtotal and average 6,000,000 5,979,915 5,979,915 1.600% 78

AGENCY SECURITIES Agency Discount - Amortizing 6925 01/27/20 10,000,000 Federal Home Loan Bank 1.560% 05/29/20 9,975,028 9,975,028 1.602% 58 6929 02/18/20 8,000,000 Federal Home Loan Bank 1.560% 05/07/20 7,987,520 7,987,520 1.609% 36 6830 02/25/20 6,000,000 Federal Home Loan Bank 1.560% 04/17/20 5,995,840 5,995,840 1.607% 16 6931 03/02/20 9,000,000 Federal Home Loan Bank 1.415% 04/09/20 8,997,170 8,997,170 1.457% 8 6932 03/02/20 6,000,000 Federal Home Loan Bank 1.395% 04/22/20 5,995,118 5,995,118 1.437% 21 Subtotal and average 39,000,000 38,950,676 38,950,676 1.545% 30

Agency Callable Securities 6701 07/31/17 5,000,000 Freddie Mac 1.750% 01/27/21 5,000,251 5,000,000 1.750% 301 6723 12/29/17 6,000,000 Fannie Mae 1.700% 05/15/20 6,000,053 5,997,855 2.000% 44 6743 03/14/18 7,000,000 Federal Home Loan Bank 2.250% 11/24/20 7,040,982 6,992,937 2.411% 237 6840 04/24/19 5,000,000 Freddie Mac 2.600% 04/24/23 5,012,912 5,000,000 2.600% 1,118 6891 10/17/19 5,000,000 Fannie Mae 1.800% 10/17/22 4,995,572 5,000,000 1.800% 929 6900 12/10/19 10,000,000 Fannie Mae 1.630% 12/10/21 10,000,000 10,000,000 1.653% 618 6904 01/08/20 10,000,000 Fannie Mae 1.910% 10/23/23 10,007,514 10,007,514 1.910% 1,300 6908 01/17/20 5,000,000 Fannie Mae 1.670% 01/13/23 5,000,000 5,000,000 1.670% 1,017 6911 01/21/20 10,000,000 Fannie Mae 1.710% 07/21/23 10,000,000 10,000,000 1.710% 1,206 6918 01/27/20 20,000,000 Fannie Mae 1.610% 05/26/22 20,000,000 20,000,000 1.610% 785 6927 01/30/20 5,000,000 Fannie Mae 1.610% 05/26/22 5,000,000 5,000,000 1.610% 785 Subtotal and average 88,000,000 88,057,284 87,998,306 1.829% 791

Agency Coupon Securities 6711 09/20/17 7,000,000 Federal Farm Credit Bank 1.500% 09/14/20 6,992,111 6,996,908 1.600% 166 6813 01/29/19 7,000,000 Federal Farm Credit Bank 2.600% 01/18/22 7,140,499 6,997,585 2.620% 657 6879 09/06/19 6,000,000 Federal Farm Credit Bank 1.750% 08/26/20 6,004,489 6,000,000 1.750% 147 6901 12/12/19 4,000,000 Federal Farm Credit Bank 2.480% 03/22/21 4,031,742 4,031,743 1.653% 355 6903 01/08/20 10,500,000 Federal Farm Credit Bank 1.600% 10/08/21 10,501,641 10,501,641 1.590% 555 6892 10/16/19 5,000,000 Federal Home Loan Bank 1.375% 09/28/20 4,987,334 4,993,712 1.634% 180 6893 10/16/19 5,000,000 Federal Home Loan Bank 1.375% 09/28/20 4,987,334 4,993,556 1.640% 180 6912 01/17/20 10,000,000 Federal Home Loan Bank 2.360% 05/23/22 10,162,613 10,162,613 1.584% 782 6928 01/30/20 6,000,000 Federal Home Loan Bank 1.500% 01/27/21 6,000,000 6,000,000 1.500% 301 6848 06/05/19 5,000,000 Freddie Mac 1.375% 05/01/20 4,994,082 4,997,062 2.090% 30 6889 10/01/19 7,000,000 Freddie Mac 1.625% 09/29/20 6,999,513 6,994,363 1.790% 181 6890 10/08/19 5,000,000 Freddie Mac 1.625% 09/29/20 4,999,652 4,999,366 1.651% 181 6926 01/29/20 10,000,000 Fannie Mae 1.500% 09/29/20 10,004,079 10,004,079 1.541% 181 6750 04/13/18 10,000,000 Fannie Mae 1.500% 12/24/20 9,970,105 9,927,682 2.530% 267 Subtotal and average 97,500,000 97,775,194 97,600,310 1.811% 331 Total $ 432,820,919 $ 432,870,177 $ 432,527,817

Yield to maturity 1.722% Weighted average days to maturity 300.69

36 REVISED 5/15/2020 Agenda Item No. II-6 V-7

City of Wichita City Council Meeting May 19, 2020

TO: Mayor and City Council

SUBJECT: Over Estimate Bid for Aquatics Master Plan Phase 1A (Districts IV and V)

INITIATED BY: Department of Public Works & Utilities

AGENDA: Consent New Business

Recommendation: Approve the revised estimate and approve acceptance of the lowest bid.

Background: The Aquatics Master Plan will guide more than $22 million in investments over the next two years for pool and water playground improvements. The City Council approved the plan on June 4, 2019. Existing pools at Aley, Harvest, Minisa, College Hill, Orchard, and McAdams Parks will be renovated. New water playgrounds will be installed at Evergreen, Edgemoor, Boston, Harrison, Planeview, and Linwood Parks. Upon completion of the master plan projects, there will be a total of 12 renovated or newly installed pools and water playgrounds throughout the City.

Analysis: This project will renovate the pools at Aley, McAdams, and Orchard Parks.

The lowest bid received for the project exceeded the Engineer’s Estimate by $983,348 or 15%. The additional cost is mainly related to the unknown nature of work. Rehabilitating or modifying an existing facility inherently comes with risk of encountering unforeseen issues during construction. Accepting this bid will allow the project to proceed without requiring it to be re-bid, thus eliminating a potential increase in the cost and delay in construction of the improvements. In accordance with Charter Ordinance No. 228, staff recommends that the City Council approve acceptance of the lowest bid based on the best interest of the City. A revised estimate has been prepared to reflect the increased cost of constructing the improvements.

Financial Considerations: Funding is available within the remaining Aquatics Master Plan budget approved by the City Council on October 25, 2019.

Legal Considerations: This bid acceptance complies with Charter Ordinance No. 228.

Recommendations/Actions: It is recommended that the City Council approve the revised estimate, approve acceptance of the lowest bid, and authorize the necessary signatures.

Attachments: Revised estimate and bid summary.

99 Page 1 PAVING BID TABULATION SUMMARY

Engineer's 203084 Construction Dondlinger & Sons Key Construction Estimate

Aquatics Master Plan- Phase BASE BID 1A GROUP 1 $6,463,295.00 $7,323,878.10 ADD ALT #1 GROUP 2 $115,689.69 ADD ALT #2a GROUP 3 $1,571.85 ADD ALT #2B GROUP 4 $5,503.42 (east of Hoover, north of Pawnee) BID BOND 482-11011 ADDENDA 3 R8010/R8011/R8012 $6,463,295.00 $7,446,643.06

Engineer's Construction Estimate

Aquatics Master Plan- Phase BASE BID 1A GROUP 1 $6,463,295.00 ADD ALT #1 GROUP 2 ADD ALT #2a GROUP 3 ADD ALT #2B GROUP 4 (east of Hoover, north of Pawnee) BID BOND 482-11011 ADDENDA 3 R8010/R8011/R8012 $6,463,295.00 Award 5-19-20 subject to City Council approval of new Engineer's Estimate and Budget Authorization. Revised Engineer's Estimate $7,446,643.06. 100

CHECKED BY:

REVIEWED BY: Agenda Item No. IX-1

City of Wichita City Council Meeting May 19, 2020

TO: Mayor and City Council Members SUBJECT: Resolution in Support of the Salvation Army INITIATED BY: City Council AGENDA: Council Member Agenda ______Recommendation: Adopt the resolution and authorize all necessary signatures.

Background: The Salvation Army provides food, shelter and financial assistance to people 365 days per year. Due to the increased demand for resources and staffing due to the COVID-19 pandemic, the Salvation Army is ready to institute these services for the COVID-19 crisis as a social service leader in this community. The Salvation Army requests the City Council’s letter of support to seek funding for its services. Analysis: This resolution finds that the Salvation Army provides needed services in Wichita and states the City Council’s support for its efforts to continue to provide services during the COVID-19 pandemic.

Financial Considerations: None.

Legal Considerations: None.

Recommendation/Action: It is recommended that the City Council adopt the resolution approving a letter of support and authorize all necessary signatures.

Attachments: Resolution and Letter of Support.

101 RESOLUTION NO. 20-151

A RESOLUTION IN SUPPORT OF THE SALVATION ARMY

WHEREAS, on March 12, 2020, Kansas Governor Laura Kelly declared that a state of disaster emergency exists in all of Kansas 105 counties due to COVID-19; and

WHEREAS, on March 13, 2020, the President of the United States declared the ongoing

COVID-19 a pandemic of sufficient severity and magnitude to warrrant an emergency declaration for all states, tribes, territories and the District of Columbia, and

WHEREAS, on March 18, 2020, the Sedgwick County Commission declared a local disaster emergency for Sedgwick County due to COVID-19; and

WHEREAS, the economic and social impacts of the global pandemic have increased the need for basic services such as food, shelter and finanical assistance for individuals in Wichita; and

WHEREAS, the Salvation Army’s services feed, shelter and provide financial assistance to people 365 days per year; and

WHEREAS, the Salvation Army has requested the City Council’s statement of support for its work, and the City finds that it is appropriate to respond to this request.

NOW, THEREFORE, BE IT RESOLVED that the City Council of Wichita, Kansas, hereby approves of the attached letter and authorizes the Mayor to sign.

102 ADOPTED by the governing body of the City of Wichita, Kansas, this 19th day of May, 2020.

CITY OF WICHITA, KANSAS

By______Brandon J. Whipple, Mayor ATTEST:

______Karen Sublett City Clerk

Approved as to Form:

______Jennifer Magaña, City Attorney and Director of Law

103 104 Agenda Item No. IX-2

City of Wichita City Council Meeting May 19, 2020

TO: Mayor and City Council Members SUBJECT: Resolution in Support of Local Independent Live Music Venues INITIATED BY: City Council AGENDA: Council Member Agenda ______Recommendation: Adopt the resolution and authorize all necessary signatures.

Background: Due to health and safety restrictions resulting from the COVID-19 pandemic, many independent live entertainment venues have been closed since mid-March, and are likely to remain closed for some time. Independent venues in Wichita have no opportunity to generate revenue and have no work to offer most of their employees, resulting in a severe economic hardship for businesses and employees. The City Council has been requested by representatives of Wichita’s independent live music venues to provide a statement of support for federal funding. Analysis: The attached resolution finds that local independent live music venues are an important part of the local economy and expresses the City Council’s support for federal funding to assist them during the period of economic hardship resulting from the COVID-19 pandemic.

Financial Considerations: None.

Legal Considerations: None.

Recommendation/Action: It is recommended that the City Council adopt the resolution of support and authorize the Mayor to sign.

Attachment: Resolution

105 RESOLUTION NO. 20-152

A RESOLUTION IN SUPPORT OF WICHITA’S INDEPENDENT LIVE MUSIC VENUES

WHEREAS, on March 13, 2020, the President of the United States declared the ongoing

COVID-19 a pandemic of sufficient severity and magnitude to warrrant an emergency declaration for all states, tribes, territories and the District of Columbia, and

WHEREAS, on March 24, 2020, Governor Laura Kelly issued Executive Order 20-18 temporarily prohibiting mass gatherings of more than 10 people, subject to certain exceptions; and

WHEREAS, on April 30, 2020, Governor Laura Kelly issued Executive Order 20-29, implementing a phased re-opening of businesses that would allow bars and nightclubs to open no earlier than May 18 with 50% of their capacities; and

WHEREAS, Executive Order 20-29 would allow all venues to open not before June 1 if social distancing of six feet between individuals is maintained except for infrequent or incidental moments of closer proximity; and

WHEREAS, independent live music venues are the backbone of the music industry and are a vital economic and cultural driver for our local community; and

WHEREAS, independent venues in Wichita host hundreds of events each year, employing hundreds of Wichita residents and attended by thousands of concertgoers; and

WHEREAS, due to these restrictions, many live entertainment venues are likely to remain closed for some time; and

WHEREAS, in the present situation, independent venues in Wichita have no opportunity to generate revenue and have no work to offer most of their employees; and

106 WHEREAS, these businesses are likely to be among the last to reopen, and capacity limitations will likely inhibit their ability to be economically viable or to fully recover for years.

NOW, THEREFORE, BE IT RESOLVED that the City Council of Wichita, Kansas, hereby supports Wichita’s local independent live entertainment venues and encourages amendments to the CARES 4 ACT that provide economic relief to these businesses.

ADOPTED by the governing body of the City of Wichita, Kansas, this 19th day of May, 2020.

CITY OF WICHITA, KANSAS

By______Brandon J. Whipple, Mayor ATTEST:

______Karen Sublett City Clerk

Approved as to Form:

______Jennifer Magaña, City Attorney and Director of Law

107 Agenda Item No. IX-3

City of Wichita City Council Meeting May 19, 2020

TO: Mayor and City Council Members SUBJECT: Resolution Adopting Procedures for Public Comment INITIATED BY: City Council AGENDA: Council Member Agenda ______Recommendation: Adopt the resolution and authorize the Mayor’s signature.

Background: Due to health and safety restrictions resulting from the COVID-19 pandemic, the City of Wichita’s Council Meetings are being made available to the public by live-streaming the broadcasts in lieu of in-person attendance. Public comment has been available through a variety of means since. At the April 21, 2020 meeting of the City Council, Council Members requested formal procedures for the receipt of public comment. Analysis: The attached resolution provides procedures for both written and live public comment at City Council Meetings.

Financial Considerations: None.

Legal Considerations: None.

Recommendation/Action: It is recommended that the City Council adopt the resolution and authorize the Mayor to sign.

Attachment: Resolution

108 RESOLUTION NO. 20-156

WHEREAS, U.S. Centers for Disease Control guidelines recommend physical distancing

of six feet between individuals to protect against the spread of the COVID-19 virus; and

WHEREAS, the City of Wichita desires the public’s participation in City Council meetings

while maintaining safe practices to protect against the spread of the COVID-19 virus; and

WHEREAS, the City desires to adopt procedures to provide for public participation in City

Council meetings.

NOW, THEREFORE, BE IT RESOLVED that the City Council of Wichita, Kansas,

hereby adopts the attached procedures for public participation in City Council meetings,

effective until further notice.

ADOPTED by the governing body of the City of Wichita, Kansas, this 19th day of May, 2020. CITY OF WICHITA, KANSAS

By: ______Brandon J. Whipple, Mayor

ATTEST:

______Karen Sublett City Clerk

Approved as to Form:

______Jennifer Magana, City Attorney and Director of Law

109 Procedure for Public Comments Regarding City Council Agenda Items

Due to the COVID-19 virus, and the closure of Wichita City Hall to the public, the City Council’s public agenda has been suspended. At the direction of the City Council at the April 21, 2020 City Council meeting, a formal procedure to receive comments has been developed. In order to provide for an orderly procedure for the citizens of Wichita to comment on items coming before the City Council, the following procedures are adopted: 1. The City Clerk will publish the Council agenda no later than the Friday prior to the meeting.

2. The public is invited to participate in the live meeting by attending a broadcast at Century II, 225 W Douglas Avenue, in Rooms 101A and 101B, where individuals may appear by video and speak remotely to the Council on agenda items. No prior sign-up is required. U.S. Centers for Disease Control guidelines, including but not limited to social distancing, will be followed.

3. The City Clerk will provide the email and mailing address to which public written comments may be submitted. Such written comments shall include the full name and address of the individual submitting the comments.

4. All written comments must be received by the City Clerk no later than 8:00 a.m. on the date of the City Council Meeting.

5. In lieu of reading public comments live into the record during the council meeting, such comments shall be provided in writing to the Mayor and each City Council Member.

6. All written comments shall be attached and made part of the official minutes of the public meeting by the City Clerk.

7. Nothing in this procedure is intended to limit or affect the public’s ability to provide comments or questions to the City Council via phone, e-mail, or other means provided by the Mayor or individual City Council Member.

110 Applications for Licenses May 19, 2020

Renew 2020 Address Gail Crump GS Entertainment 5858 S. Broadway Ave

111 CMB’S FOR May 19, 2020

Renew 2020 Consumption Off Premises Tammy Quach Phamily Express*** 1203 E. Pawnee

** General/Restaurant (need 50% or more gross revenue from sale of food) *** Retailer (Grocery stores, convenience stores, etc.)

112 113 114 Agenda Item No. II-4a

City of Wichita City Council Meeting May 19, 2020

TO: Mayor and City Council

SUBJECT: Petition for Improvements to Serve Catholic Charities Addition (District VI)

INITIATED BY: Department of Public Works & Utilities

AGENDA: Consent

Recommendation: Approve the petition and budget, and adopt the resolution.

Background: The petition is a requirement for redevelopment and is valid per Kansas Statute 12-6a01. The signatures on the petitions represent 100% of the improvement district.

Analysis: The project will provide water improvements required for a new commercial development located south of 37th Street North, east of Womer.

Financial Considerations: The petition total for the water improvements is $37,000. The funding source for the projects is 100% special assessment.

Legal Considerations: The Law Department has reviewed and approved the petition and resolution as to form.

Recommendations/Actions: It is recommended that the City Council approve the petition and budget, adopt the resolution, and authorize the necessary signatures.

Attachments: Petition and resolution.

115 PETITION 1 / 8 - DAD- co ot 763 WATER IMPROVEMENTS— CATHOLIC CHARITIES ADDITION WICHITA, SEDGWICK COUNTY, KANSAS)

TO: The Mayor and City Council ( the " Governing Body") City of Wichita, Kansas

1. The undersigned, being the owners of record of more than one- half of the area liable for assessment set forth below for the proposed improvements of the City of Wichita, Kansas ( the " City"), do hereby request that said improvements be made in the manner provided by K. S. A. 12- 6a01 et seq. ( the Act").

a) The improvements proposed to be made are as follows( the " Improvements"):

Construction of a water distribution system, including necessary water mains, pipes, valves, hydrants, and appurtenances to serve the Improvement District defined below].

The Improvements shall be constructed in accordance with City standards and plans and specifications prepared or approved by the City Engineer.

b) The estimated or probable cost of the proposed Improvements is: $ 37, 000. 00, exclusive of interest on financing and administrative and financing costs; said estimated amount to be increased at the pro rata rate of 1 percent per month from and after the date of submission of this Petition to the City. If expenses have been incurred for the Improvements and construction has not started within two years of the initial design contract, the Improvements will be deemed abandoned and expenses incurred to date will be assessed against property in the Improvement District defined below in accordance with the provisions hereof.

c) The extent of the proposed improvement district ( the " Improvement District") to be assessed for the costs of the proposed Improvements is:

CATHOLIC CHARITIES ADDITION Lot 2, Block A

d) The proposed method of assessment is equally per lot.

e) The proposed apportionment of the cost of the Improvements, between the Improvement District and the City at large, is: 100% to be assessed against the Improvement District and 0% to be paid by the City- at- large.

116 f) The payment of assessments proposed to be imposed hereunder may be indefinitely deferred against those property owners eligible for deferral pursuant to the City' s Special Assessment Deferral Program.

2. It is further requested that the proposed Improvements be made without notice and hearing as required by the Act.

3. If the Improvements are: ( i) abandoned, altered and/ or constructed privately, in part or whole, precluding the building of the Improvement under the authority of this Petition and the Act; or( ii) it is necessary for the City to redesign, repair or reconstruct the Improvements after its initial design and/ or construction because the design and/ or construction does not meet the requirements of City code provisions; any costs incurred by the City as a result of submission of this Petition shall be assessed to property within the proposed Improvement District in accordance with the provisions hereof.

4. Names may not be withdrawn from this Petition by the signers hereof after the Governing Body commences consideration of this Petition, or, later than seven ( 7) days after the filing hereof, whichever occurs first.

5. The Governing Body is further requested to proceed with adoption of a resolution authorizing the Improvements and establishing the Improvement District in accordance with the Act and the construction of the Improvements in an expeditious manner.

Property Owned Within Signature Dated Proposed Improvement District

Catholic Charities, Inc. Catholic Charities Addition

Lot 2, Block A

By - iv . .%.. b - 3 / 7/ 010

Wendy Glick, ' is': ent

THIS PETITION was filed in my office on 3/ i '/ c

9i,C-- . 7 0- -/ - Deputy City Clerk

117 132019

(Published in the Wichita Eagle, on May 22, 2020)

RESOLUTION NO. 20-153

A RESOLUTION DETERMINING THE ADVISABILITY OF THE MAKING OF CERTAIN INTERNAL IMPROVEMENTS IN THE CITY OF WICHITA, KANSAS; MAKING CERTAIN FINDINGS WITH RESPECT THERETO; AND AUTHORIZING AND PROVIDING FOR THE MAKING OF THE IMPROVEMENTS IN ACCORDANCE WITH SUCH FINDINGS (WATER IMPROVEMENTS – CATHOLIC CHARITIES ADDITION/SOUTH OF 37TH STREET NORTH, EAST OF WOMER) (448-2020-009763).

WHEREAS, a petition (the “Petition”) was filed with the City Clerk of the City of Wichita, Kansas (the "City") proposing certain internal improvements; and said Petition sets forth: (a) the general nature of the proposed improvements; (b) the estimated or probable cost of the proposed improvements; (c) the extent of the proposed improvement district to be assessed for the cost of the proposed improvements; (d) the proposed method of assessment; (e) the proposed apportionment of the cost between the improvement district and the City at large; and (f) a request that such improvements be made without notice and hearing as required by K.S.A. 12-6a01 et seq. (the "Act"); and

WHEREAS, the City Council (the “Governing Body”) of the City hereby finds and determines that said Petition was signed by the owners of record of more than one-half of the area liable for assessment for the proposed improvements, and is therefore sufficient in accordance with the provisions of the Act.

THEREFORE, BE IT RESOLVED BY THE GOVERNING BODY OF THE CITY OF WICHITA, KANSAS:

Section 1. Findings of Advisability. The Governing Body hereby finds and determines that:

(a) The improvements proposed to be made are as follows (the “Improvements”):

Construction of a water distribution system, including necessary water mains, pipes, valves, hydrants, and appurtenances to serve the Improvement District defined below.

(b) The estimated or probable cost of the proposed Improvements is: $37,000.00, exclusive of interest on financing and administrative and financing costs; said estimated amount to be increased at the pro rata rate of 1 percent per month from and after the date of submission of the Petition to the City. If expenses have been incurred for the Improvements and construction has not started within two years of the initial design contract, the Improvements will be deemed abandoned and expenses incurred to date will be assessed against property in the Improvement District defined below in accordance with the provisions hereof.

(c) The extent of the proposed improvement district (the "Improvement District") to be assessed for the costs of the proposed Improvements is:

CATHOLIC CHARITIES ADDITION Lot 2, Block A

(d) The proposed method of assessment is equally per lot.

In the event all or part of the lots or parcels in the proposed Improvement District are reconfigured before or after assessments have been levied, the assessments against the replatted area shall be recalculated on a square 118 foot basis. (e) The apportionment of the cost of the Improvements, between the Improvement District and the City at large, is: 100% to be assessed against the Improvement District and 0% to be paid by the City-at- large.

(f) The payment of assessments to be imposed hereunder may be indefinitely deferred against those property owners eligible for deferral pursuant to the City’s Special Assessment Deferral Program.

Section 2. Authorization of Improvements. The Improvements are hereby authorized and ordered to be made in accordance with the findings of the Governing Body as set forth in Section 1 of this Resolution.

Section 3. Plans and Specifications. The City Engineer shall prepare plans and specifications for said Improvements and a preliminary estimate of cost therefore, which plans, specifications and estimate shall be presented to the Governing Body for its approval.

Section 4. Bond Authority; Reimbursement. The Act provides for the Improvements to be paid by the issuance of general obligation bonds or special obligation bonds of the City (the "Bonds"). The Bonds may be issued to reimburse expenditures made on or after the date which is 60 days before the date of this Resolution, pursuant to Treasury Regulation § 1.150-2.

Section 5. Effective Date. This Resolution shall be effective upon adoption. This Resolution shall be published one time in the official City newspaper, and shall also be filed of record in the office of the Register of Deeds of Sedgwick County, Kansas.

ADOPTED by the City Council of the City of Wichita, Kansas, on May 19, 2020.

(SEAL) Brandon J. Whipple, Mayor

ATTEST:

Karen Sublett, City Clerk

APPROVED AS TO FORM:

Jennifer Magaña, City Attorney and Director of Law

119 Agenda Item No. II-5a City of Wichita City Council Meeting May 19, 2020

TO: Mayor and City Council

SUBJECT: Union Pacific Railroad (UPRR) Pipeline Crossing Agreement for Mt. Vernon from Broadway to Southeast Boulevard (District III)

INITIATED BY: Department of Public Works & Utilities

AGENDA: Consent

Recommendations: Approve the agreement.

Background: On August 19, 2008, the City Council approved an agreement with MKEC Engineering Inc. for design of improvements to Mt. Vernon from Broadway to Southeast Boulevard. The project was under design when the economic downturn occurred and was put on hold as other projects were deemed a higher priority. On December 5, 2017, the City Council approved the design concept.

Analysis: During the plan submittal and review process with Union Pacific Railroad (UPRR) it was determined by the railroad that a pipeline crossing agreement was needed to replace the existing sanitary sewer line that crosses its tracks.

Financial Considerations: The pipeline crossing agreement has a one-time processing fee of $4,990. The required insurance mentioned in the permit was already acquired by the City's construction contractor for this project. Funding is available within the existing budget approved by the City Council on December 17, 2019.

Legal Considerations: The Law Department has reviewed and approved the agreement as to form.

Recommendations/Actions: It is recommended that the City Council approve the agreement and authorize the necessary signatures.

Attachment: Agreement.

120 PGCIfUNIONIC IMP

April 09, 2020 Folder: 03160- 50

SHAWN MELLIES CITY OF WICHITA 455 N MAIN ENGINEERING 7TH FLOOR WICHITA KS 67202

Re: Proposed One ( 1) Underground Eighteen Inch PVC Sanitary Sewer Pipeline Encased In A Twenty-eight Inch Steel Casing, Pipeline Crossing of Railroad Property at Mile Post 246.4 on the Enid Subdivision at or near Wichita, Sedgwick County, Kansas

Shawn Mellies:

Attached is an original ofthe agreement covering your use of the Railroad Company' s right of way. Please print two copies, execute on your behalf and return ALL DOCUMENTS in one mailed packaged with a check for any payments required, as shown below to 1400 Douglas Street, Omaha, NE 68137- 1690 Attn: Casey Moore.

An original copy of the fully-executed document will be returned to you, when approved and processed by the Railroad Company. Also, please provide a resolution or other authorization for the party executing the documents, ifsignature authorization is required byyour Entity.

Payment in the amount of Four Thousand Nine Hundred Ninety Dollars ($ 4,990.00) is due and payable to Union Pacific Railroad Company upon your execution of the agreement. Please include your payment, with Folder No. 03160- 50 noted on that document. If you require formal billing, you may consider this letter as a formal bill and that 94-6001323 is this Corporation' s correct Federal Taxpayer Identification Number.

Railroad Protective Liability Insurance ( RPLI) may be obtained from any insurance company which offers such coverage. Union Pacific has also worked with a national broker, Marsh USA, to make available RPLI to you or your contractor. You can find additional information, premium quotes, and application forms at( uprr.marsh.com).

If we have not received the executed documents within six months from the date of this letter, this proposed offer of an agreement is withdrawn and becomes null and void.

If you have any questions, please contact me at [email protected].

Sincerely,

Casey Moore Sr Analyst RE Contracts

121 Union Pacific Railroad Real Estate 1400 Douglas Street Stop 1690 Omaha, Nebraska 68179- 1690 1x.( 402) 501- 0340 Pipeline Crossing 080808 Folder No. 03160- 50 Last Modified: 06/05/ 18 Form Approved, AVP-Law

PIPELINE CROSSING AGREEMENT

Mile Post: 246. 4, Enid Subdivision Location: Wichita, Sedgwick County, Kansas

THIS AGREEMENT (" Agreement") is made and entered into as of April 09, 2020, Effective Date") by and between UNION PACIFIC RAILROAD COMPANY, a Delaware corporation, (" Licensor") and CITY OF WICHITA, an to be addressed at 455 N Main, Engineering 7th Floor Wichita, Kansas 67202(" Licensee").

IT IS MUTUALLY AGREED BY AND BETWEEN THE PARTIES HERETO AS FOLLOWS:

Article 1. LICENSOR GRANTS RIGHT.

A. In consideration of the license fee to be paid by Licensee set forth below and in further consideration of the covenants and agreements to be performed by Licensee, Licensor hereby grants to Licensee the right to construct and thereafter, during the term hereof, maintain and operate one ( I) underground eighteen inch PVC Sanitary Sewer pipeline encased in a twenty-eight inch steel casing only, including any appurtenances required for the operation of said pipeline ( collectively, " Licensee's Facilities") across Licensor's real property, trackage, or other facilities located in Wichita, Sedgwick County, State of Kansas (" Railroad Property"). The specific specifications and limited purpose for Licensee' s Facilities on, along, across and under Railroad Property are described in and shown on the Print and Specifications dated February 07, 2020, attached hereto as Exhibit A and made a part hereof.

B. Licensee represents and warrants that Licensee's Facilities will ( i) only be used for one 1) underground eighteen inch PVC Sanitary Sewer pipeline encased in a twenty-eight inch steel casing, and ( ii) not be used to convey any other substance, any fiber optic cable, or for any other use, whether such use is currently technologically possible, or whether such use may come into existence during the life of this Agreement.

C. Licensee acknowledges that if it or its contractor provides Licensor with digital imagery depicting Licensee' s Facilities (" Digital Imagery"), Licensee authorizes Licensor to use the Digital Imagery in preparing Exhibit A. Licensee represents and warrants that through a license or otherwise, it has the right to use the Digital Imagery and to permit Licensor to use the Digital Imagery in said manner.

Article 2. LICENSE FEE.

Upon execution of this Agreement, the Licensee shall pay to the Licensor a one- time fee of Four Thousand Nine Hu nd red Ninety Dollars($4,990.00).

Article 3. TERM.

This Agreement shall take effect as of the Effective Date first herein written and shall continue in full force and effect until terminated as provided in the " TERMINATION; REMOVAL OF LICENSEE' S

FACILITIES" Section of Exhibit B.

122 Pipeline Crossing 080808 Folder No. 03160- 50 Last Modified: 06/ 05/ 18 Form Approved, AVP-Law

PIPELINE CROSSING AGREEMENT

Mile Post: 246.4, Enid Subdivision Location: Wichita, Sedgwick County, Kansas

THIS AGREEMENT(" Agreement") is made and entered into as of April 09, 2020,(" Effective Date") by and between UNION PACIFIC RAILROAD COMPANY, a Delaware corporation, Licensor") and CITY OF WICHITA, an to be addressed at 455 N Main, Engineering 7th Floor Wichita, Kansas 67202 (" Licensee").

IT IS MUTUALLY AGREED BY AND BETWEEN THE PARTIES HERETO AS FOLLOWS:

Article I. LICENSOR GRANTS RIGHT.

A. In consideration of the license fee to be paid by Licensee set forth below and in further consideration of the covenants and agreements to be performed by Licensee, Licensor hereby grants to Licensee the right to construct and thereafter, during the term hereof, maintain and operate one ( 1) underground eighteen inch PVC Sanitary Sewer pipeline encased in a twenty-eight inch steel casing only, including any appurtenances required for the operation of said pipeline ( collectively, " Licensee's Facilities") across Licensor' s real property, trackage, or other facilities located in Wichita, Sedgwick County, State of Kansas (" Railroad Property"). The specific specifications and limited purpose for Licensee's Facilities on, along, across and under Railroad Property are described in and shown on the Print and Specifications dated February 07, 2020, attached hereto as Exhibit A and made a part hereof.

B. Licensee represents and warrants that Licensee' s Facilities will ( i) only be used for one 1) underground eighteen inch PVC Sanitary Sewer pipeline encased in a twenty-eight inch steel casing. and ( ii) not be used to convey any other substance, any fiber optic cable, or for any other use, whether such use is currently technologically possible, or whether such use may come into existence during the life of this Agreement.

Article 2. LICENSE FEE.

Upon execution of this Agreement, the Licensee shall pay to the Licensor a one-time of Four Thousand Nine Hundred Ninety Dollars($ 4,990.00).

Article 3. TERM.

This Agreement shall take effect as of the Effective Date first herein written and shall continue in full force and effect until terminated as provided in the" TERMINATION; REMOVAL OF LICENSEE' S

FACILITIES" Section of Exhibit B.

123 Article 4. LICENSEE' S COMPLIANCE WITH GENERAL TERMS.

Licensee represents and warrants that all work on Licensee's Facilities performed by Licensee or its contractors will strictly comply with all terms and conditions set forth herein, including the General Terms and Conditions, attached hereto as Exhibit B and made a part hereof.

Article 5. INSURANCE.

A. During the term of this Agreement, Licensee shall fully comply or cause its contractor(s) to fully comply with the insurance requirements described in Exhibit C, attached hereto and made a part hereof. Upon request only, Licensee shall send copies of all insurance documentation ( e.g., certificates, endorsements, etc.) to Licensor at the address listed in the" NOTICES" Section of this Agreement.

B. If Licensee is subject to statute( s) limiting its insurance liability and/or limiting its ability to obtain insurance in compliance with Exhibit C of this Agreement, those statutes shall apply.

Article 6. DEFINITION OF LICENSEE.

For purposes of this Agreement, all references in this Agreement to Licensee will include Licensee's contractors, subcontractors, officers, agents and employees, and others acting under its or their authority ( collectively, a " Contractor"). If a Contractor is hired by Licensee to perform any work on Licensee's Facilities ( including initial construction and subsequent relocation, maintenance, and/or repair work), then Licensee shall provide a copy of this Agreement to its Contractor( s) and require its Contractor(s) to comply with all terms and conditions of this Agreement, including the indemnification requirements set forth in the" INDEMNITY" Section of Exhibit B. Licensee shall require any Contractor to release, defend, and indemnify Licensor to the same extent and under the same terms and conditions as Licensee is required to release, defend, and indemnify Licensor herein.

Article 7. ATTORNEYS' FEES, EXPENSES, AND COSTS.

If litigation or other court action or similar adjudicatory proceeding is undertaken by Licensee or Licensor to enforce its rights under this Agreement, all fees, costs, and expenses, including, without limitation, reasonable attorneys' fees and court costs, of the prevailing Party in such action, suit, or proceeding shall be reimbursed or paid by the Party against whose interest the judgment or decision is rendered. The provisions of this Article shall survive the termination of this Agreement.

Article 8. WAIVER OF BREACH.

The waiver by Licensor of the breach of any condition, covenant or agreement herein contained to be kept, observed and performed by Licensee shall in no way impair the right of Licensor to avail itself of any remedy for any subsequent breach thereof.

Article 9. ASSIGNMENT.

A. Licensee shall not assign this Agreement, in whole or in part, or any rights herein granted, without the written consent of Licensor, which must be requested in writing by Licensee. Any assignment or attempted transfer of this Agreement or any of the rights herein granted, whether voluntary, by operation of law, or otherwise, without Licensor's written consent, will be absolutely void and may result in Licensor's termination of this Agreement pursuant to the " TERMINATION; REMOVAL OF LICENSEE' S FACILITIES" Section of Exhibit B.

124 B. Upon Licensoe's written consent to any assignment, this Agreement will be binding upon and inure to the benefit of the parties thereto, successors, heirs, and assigns, executors, and administrators.

Article 10. SEVERABILITY.

Any provision of this Agreement which is determined by a court of competent jurisdiction to be invalid or unenforceable shall be invalid or unenforceable only to the extent of such determination, which shall not invalidate or otherwise render ineffective any other provision of this Agreement.

Article 11. NOTICES.

Except Licensee' s commencement of work notice( s) required under Exhibit B, all other notices required by this Agreement must be in writing, and( i) personally served upon the business address listed below (" Notice Address"), ( ii) sent overnight via express delivery by a nationally recognized overnight delivery service such as Federal Express Corporation or United Parcel Service to the Notice Address, or iii) by certified mail, return receipt requested to the Notice Address. Overnight express delivery notices will be deemed to be given upon receipt. Certified mail notices will be deemed to be given three( 3) days after deposit with the United States Postal Service.

If to Licensor: Union Pacific Railroad Company Attn: Analyst— Real Estate Utilities( Folder No. 03160-50) 1400 Douglas Street, MS 1690 Omaha, Nebraska 68179

If to Licensee: CITY OF WICHITA 455 N Main Engineering 7th Floor Wichita, Kansas, 67202

Article 12. SPECIAL PROVISION— CONSTRUCTION OBSERVATION.

Licensor requires Licensee to provide monitoring of tracks and construction observation through Licensor approved observer named below during all construction and installation work. Licensee is to directly coordinate services with the named inspector:

Railpros Field Services Email: RP. Utilitvnrailpros.com Phone( 682) 223- 5271

IN WITNESS WHEREOF, the parties hereto have caused this Agreement to be executed as of the date first herein written.

UNION PACIFIC RAILROAD COMPANY CITY OF WICHITA

By: By:

Casey Moore Name Printed: Union Pacific Railroad Real Estate- Utilities Title:

125 ATTEST:

KAREN SUBLETT, CITY CLERK

SEAL)

APPROV ! • S TO FO' j___ FER A - IA, CITY ATTORNE AND DIRECTOR OF LAW

126 0 CROSSING NON - FLAMMABLE LIQUID Q El ENCROACHMENT PIPELINE D BOTH

A UPRR R. O. W.

I 3181 F T. I' 2086 F T. I-

a9 FT. I- s sso FT.

W o A I 89 DEG. I x s f a cc i I , ANGLE OF cc m CROSSING a.

I " DESCRIBE DESCRIBE FIXED OBJECT I FIXED OBJECT CROSSING R CROSSING.: I wSt o ES 3731. 50) ES 3725. 00) NORTHARROW------

A JUPRRR. o: w. PLAN SCALE: NONE

cc cci3 OUTER OUTER IdId ap c c v TRACK TRACK I I e FT. I 9 FT. I I I I 100 F T. I 49 s. — NiA F T. F T. — I— 51 F T. i VENT PIPE 1 1._. I NIA FT. f• TOTAL TRACKS ' GROUND wa FT. NIA FT. I SURFACE DRAINAGE ITCH 1

T e`5 FT. I s FT. wAT.F el I T 1___ 1 CASING PIPE SECT ION P A LONGITUDINAL PIPE CARRIER 1 PE SCALE: NONONE 4. ENCROACHMENT NOTES: I) ALL DIMENSIONS MEASURED PERPENDICULAR TO THE CENTERLINE OF TRACK. 2) REFER TO AREMA VOLUME 1, CHAPTER 1, PART 5, SECTION 5. 3.

A) METHOD OF INSTALLATION JACK BBORE UNION PACIFIC B) GIST. FROM CENTERLINE OF TRACK TO PIPE ENCROACHMENT NA_ BUILDING AMERICA' C) SIGNS PROVIDED? N/A D) CARRIER MATERIAL 18- PVC IF RCP, CLASS V? NIA I I I I I SANITARY SEWER COMMODITY TO BE CONVEYED EXHIBIT "A " OPERATIONAL PRESSURE 0 PSI. MAOP 0 PSI. SUBDIVISION: Enid Sub WALL THICKNESS ( INCH)/ SCHEDULE or DIAMETER 1B" IN. CATHODIC/ COATING PROTECT ION NA TRACK TYPE: MAINLINE

STEEL wn . E) CASING MATERIAL IF RCP, CLASS V? M. P.: 246.40 LAT.: 37- 39'25.NI+ TOTAL LENGTH CASING PIPE: 100 FT. E. S. M.: 3731+ so LONG.: 97'+ 9'44. 34w WALL THICKNESS 0.44 IN. DIAMETER 28- IN. CATHODIC/ COATING PROTECTION NJA NEAREST CITY: COUNTY: STATE: CASING PIPE IS SEALED AT THE ENDS. WICHITA SEDGIAAcK KS 127 F) DISTANCE FROM CENTERLINE OF TRACK TO NEAR FACE OF APPLICANT: cmoFVlcHrra BORING AND JACKING PITS WHEN MEASURED AT RIGHT ANGLES 49 AND 51 FILE NO.: 3160-50 I DATE: 2 / 7 / 2020 Pipeline Crossing 06/05/ 18 Form Approved, AVP Law EXHIBIT B

GENERAL TERMS AND CONDITIONS

Section 1. LIMITATION AND SUBORDINATION OF RIGHTS GRANTED.

A. The foregoing grant is subject and subordinate to the prior and continuing right and obligation of Licensor to use and maintain its entire property including the right and power of Licensor to construct, maintain, repair, renew, use, operate, change, modify or relocate railroad tracks, signal, communication, fiber optics, or other wirelines, pipelines and other facilities upon, along or across any or all parts of its property, all or any of which may be freely done at any time or times by Licensor without liability to Licensee or to any other party for compensation or damages.

B. The foregoing grant is also subject to all outstanding superior rights ( including those in favor of licensees and lessees of Railroad Property) and the right of Licensor to renew and extend the same, and is made without covenant of title or for quiet enjoyment. It shall be Licensee's sole obligation to obtain such additional permission, license and grants necessary on account of any such existing rights.

Section 2. ENGINEERING REQUIREMENTS; PERMITS.

A. Licensee' s Facilities will be designed, constructed, operated, maintained, repaired, renewed, modified, reconstructed, removed, or abandoned in place on Railroad Property by Licensee or its contractor to Licensor's satisfaction and in strict conformity with: ( i) Licensor' s current engineering standards and specifications, including those for shoring and cribbing to protect Licensor's railroad operations and facilities (" UP Specifications"), except for variances approved in advance in writing by Licensor' s Assistant Vice President Engineering — Design or its authorized representative UP Engineering Representative"); ( ii) such other additional safety standards as Licensor, in its sole discretion, elects to require, including, without limitation, American Railway Engineering and Maintenance-of-Way Association (" AREMA") standards and guidelines ( collectively, " UP Additional Requirements"); and ( iii) all applicable laws, rules, and regulations, including any applicable Federal Railroad Administration and Federal Energy Regulatory Commission regulations and enactments collectively, " Laws"). If there is any conflict between UP Specifications, UP Additional Requirements, and Laws, the most restrictive will apply.

B. Licensee shall keep the soil over Licensee's Facilities thoroughly compacted, and maintain the grade over and around Licensee's Facilities even with the surface of the adjacent ground.

C. If needed, Licensee shall secure, at Licensee's sole cost and expense, any and all necessary permits required to perform any work on Licensee's Facilities.

Section 3. NOTICE OF COMMENCEMENT OF WORK; EMERGENCIES.

A. Licensee and its contractors are strictly prohibited from commencing any work associated with Licensee's Facilities without Licensor's written approval that the work will be in strict compliance with the " ENGINEERING REQUIREMENTS; PERMITS" Section of this Exhibit B. Upon Licensor's approval, Licensee shall contact both of Licensor's field representatives (" Licensor's Field Representatives") at least ten( 10) days before commencement of any work on Licensee' s Facilities.

128 B. Licensee shall not commence any work until: ( 1) Licensor has determined whether flagging or other special protective or safety measures(" Safety Measures") are required for performance of the work pursuant to the " FLAGGING" Section of this Exhibit B and provided Licensee written authorization to commence work; and ( 2) Licensee has complied with the " PROTECTION OF FIBER OPTIC CABLE SYSTEMS" Section of this Exhibit B.

C. If, at any time, an emergency arises involving Licensee's Facilities, Licensee or its contractor shall immediately contact Licensor's Response Management Communications Center at 888) 877- 7267.

Section 4. FLAGGING.

A. Following Licensee's notice to Licensor's Field Representatives required under the NOTICE OF COMMENCEMENT OF WORK; EMERGENCIES" Section of this Exhibit B, Licensor shall inform Licensee if Safety Measures are required for performance of the work by Licensee or its contractor on Railroad Property. If Safety Measures are required, no work of any kind may be performed by Licensee or its contractor(s) until arrangements for the Safety Measures have been made and scheduled. If no Safety Measures are required, Licensor will give Licensee written authorization to commence work.

B. If any Safety Measures are performed or provided by Licensor, including but not limited to flagging, Licensor shall bill Licensee for such expenses incurred by Licensor, unless Licensor and a federal, state, or local governmental entity have agreed that Licensor is to bill such expenses to the federal, state, or local governmental entity. Additional information regarding the submission of such expenses by Licensor and payment thereof by Licensee can be found in the " LICENSEE' S PAYMENT OF EXPENSES" Section of this Exhibit B. If Licensor performs any Safety Measures, Licensee agrees that Licensee is not relieved of any of responsibilities or liabilities set forth in this Agreement.

C. For flagging, the rate of pay per hour for each flogger will be the prevailing hourly rate in effect for an eight-hour day for the class of flagmen used during regularly assigned hours and overtime in accordance with Labor Agreements and Schedules in effect at the time the work is performed. In addition to the cost of such labor, a composite charge for vacation, holiday, health and welfare, supplemental sickness, Railroad Retirement and unemployment compensation, supplemental pension, Employees Liability and Property Damage, and Administration will be included, computed on actual payroll. The composite charge will be the prevailing composite charge in effect at the time the work is performed. One and one- half times the current hourly rate is paid for overtime, Saturdays and Sundays, and two and one- half times current hourly rate for holidays. Wage rates are subject to change, at any time, by law or by agreement between Licensor and its employees, and may be retroactive as a result of negotiations or a ruling of an authorized governmental agency. Additional charges on labor are also subject to change. If the wage rate or additional charges are changed, Licensee( or the governmental entity, as applicable) shall pay on the basis of the new rates and charges.

D. Reimbursement to Licensor will be required covering the full eight-hour day during which any flagger is furnished, unless the flagger can be assigned to other railroad work during a portion of such day, in which event reimbursement will not be required for the portion of the day during which the flagger is engaged in other railroad work. Reimbursement will also be required for any day not actually worked by the flaggers following the flaggers' assignment to work on the project for which Licensor is required to pay the flaggers and which could not reasonably be avoided by Licensor by assignment of such flaggers to other work, even though Licensee may not be working during such time. When it becomes necessary for Licensor to bulletin and assign an employee to a flagging position in compliance with union collective bargaining agreements, Licensee must provide Licensor a minimum of 129 five ( 5) days notice prior to the cessation of the need for a flagger. If five ( 5) days notice of cessation is not given, Licensee will still be required to pay flagging charges for the days the flagger was scheduled, even though flagging is no longer required for that period. An additional ten( 10) days notice must then be given to Licensor if flagging services are needed again after such five day cessation notice has been given to Licensor.

Section 5. SAFETY.

A. Safety of personnel, property, rail operations and the public is of paramount importance in the prosecution of any work on Railroad Property performed by Licensee or its contractor, and takes precedence over any work on Licensee's Facilities to be performed Licensee or its contractors. Licensee shall be responsible for initiating, maintaining and supervising all safety operations and programs in connection with any work on Licensee's Facilities. Licensee and its contractor shall, at a minimum comply, with Licensor's then current safety standards located at the below web address (" Licensor's Safety Standards") to ensure uniformity with the safety standards followed by Licensor's own forces. As a part of Licensee's safety responsibilities, Licensee shall notify Licensor if it determines that any of Licensors Safety Standards are contrary to good safety practices. Licensee and its contractor shall furnish copies of Licensor's Safety Standards to each of its employees before they enter Railroad Property. Union Pacific Current Safety Requirements

B. Licensee shall keep the job site on Railroad Property free from safety and health hazards and ensure that their employees are competent and adequately trained in all safety and health aspects of the work.

C. Licensee represents and warrants that all parts of Licensee' s Facilities within and outside of the limits of Railroad Property will not interfere whatsoever with the constant, continuous, and uninterrupted use of the tracks, property, and facilities of Licensor, and nothing shall be done or suffered to be done by Licensee at any time that would in any manner impair the safety thereof.

D. Licensor's operations and work performed by Licensor' s personnel may cause delays in Licensee's or its contractor' s work on Licensee's Facilities. Licensee accepts this risk and agrees that Licensor shall have no liability to Licensee or any other person or entity for any such delays. Licensee must coordinate any work on Railroad Property by Licensee or any third party with Licensor's Field Representatives in strict compliance with the " NOTICE OF COMMENCEMENT OF WORK: EMERGENCIES" Section of this Exhibit

E. Licensor shall have the right, if it so elects, to provide any support it deems necessary for the safety of Licensor's operations and trackage during Licensee's or its contractor' s construction, maintenance, repair, renewal, modification, relocation, reconstruction, or removal of Licensee' s Facilities. In the event Licensor provides such support, Licensor shall invoice Licensee, and Licensee shall pay Licensor as set forth in the" LICENSEE' S PAYMENT OF EXPENSES" Section of this Exhibit B.

F. Licensee may use unmanned aircraft systems (" UAS") to inspect Licensee's Facilities only upon the prior authorization from and under the direction of Licensor's Field Representatives. Licensee represents and warrants that its use of UAS on Railroad Property will comply with Licensor's then- current Unmanned Aerial Systems Policy and all applicable laws, rules and regulations, including any applicable Federal Aviation Administration regulations and enactments pertaining to UAS.

130 Section 6. PROTECTION OF FIBER OPTIC CABLE SYSTEMS.

Fiber optic cable systems may be buried on Railroad Property. Protection of the fiber optic cable systems is of extreme importance since any break could disrupt service to users resulting in business interruption and loss of revenue and profits. In addition to the notifications required under the " NOTICE OF COMMENCEMENT OF WORK; EMERGENCIES" Section of this Exhibit B, Licensee shall telephone Licensor during normal business hours( 7: 00 a.m. to 9:00 p.m. Central Time, Monday through Friday, except for holidays) at 1- 800- 336-9193 ( also a 24-hour, 7- day number for emergency calls) to determine if fiber optic cable is buried anywhere on Railroad Property to be used by Licensee. If it is, Licensee shall telephone the telecommunications company( ies) involved, and arrange for a cable locator, make arrangements for relocation or other protection of the fiber optic cable, all at Licensee' s expense, and will not commence any work on Railroad Property until all such protection or relocation has been completed.

Section 7. LICENSEE' S PAYMENT OF EXPENSES.

A. Licensee shall bear the entire cost and expense of the design, construction, maintenance, modification, reconstruction, repair, renewal, revision, relocation, or removal of Licensee's Facilities.

B. Licensee shall fully pay for all materials joined, affixed to and labor performed on Railroad Property in connection with the construction, maintenance, modification, reconstruction, repair, renewal, revision, relocation, or removal of Licensee's Facilities, and shall not permit or suffer any mechanic' s or materialman' s lien of any kind or nature to be enforced against the property for any work done or materials furnished thereon at the instance or request or on behalf of Licensee. Licensee shall promptly pay or discharge all taxes, charges, and assessments levied upon, in respect to, or on account of Licensee's Facilities, to prevent the same from becoming a charge or lien upon any property of Licensor, and so that the taxes, charges, and assessments levied upon or in respect to such property shall not be increased because of the location, construction, or maintenance of Licensee's Facilities or any improvement, appliance, or fixture connected therewith placed upon such property, or on account of Licensee' s interest therein. Where such tax, charge, or assessment may not be separately made or assessed to Licensee but shall be included in the assessment of the property of Licensor, then Licensee shall pay to Licensor an equitable proportion of such taxes determined by the value of Licensee' s property upon property of Licensor as compared with the entire value of such property.

C. As set forth in the " FLAGGING" Section of this Exhibit B, Licensor shall have the right, if it so elects, to provide any Safety Measures Licensor deems necessary for the safety of Licensor's operations and trackage during Licensee's or its contractor's construction, maintenance, modification, reconstruction, repair, renewal, revision, relocation, or removal of Licensee's Facilities, including, but not limited to supervision, inspection, and flagging services. In the event Licensor provides such Safety Measures, Licensor shall submit an itemized invoice to Licensee's notice recipient listed in the NOTICES" Article of this Agreement. Licensee shall pay to Licensor the total amount listed on such invoice within thirty( 30) days of Licensee's receipt of such invoice.

Section 8. MODIFICATIONS TO LICENSEE' S FACILITIES.

A. This grant is subject to Licensor's safe and efficient operation of its railroad, and continued use and improvement of Railroad Property ( collectively, " Railroad' s Use"). Accordingly, Licensee shall, at its sole cost and expense, modify, reconstruct, repair, renew, revise, relocate, or remove individually, " Modification", or collectively, " Modifications") all or any portion of Licensee's Facilities as Licensor may designate or identify, in its sole discretion, in the furtherance of Railroad' s Use.

131 B. Upon any Modification of all or any portion of Licensee's Facilities to another location on Railroad Property, Licensor and Licensee shall execute a Supplemental Agreement to this Pipeline Agreement to document the Modification( s) to Licensee's Facilities on Railroad Property. If the Modifications result in Licensee' s Facilities moving off of Railroad Property, this Agreement will terminate upon Licensee' s completion of such Modification( s) and all requirements contained within the TERMINATION; REMOVAL OF LICENSEE' S FACILITIES" Section of this Exhibit B. Any such Modification( s) off of Railroad Property will not release Licensee from any liability or other obligation of Licensee arising prior to and upon completion of any such Modifications to the Licensee's Facilities.

Section 9. RESTORATION OF RAILROAD PROPERTY.

In the event Licensee, in any manner moves or disturbs any property of Licensor in connection with the construction, maintenance, modification, reconstruction, repair, renewal, revision, relocation, or removal of Licensee' s Facilities, then, Licensee shall, as soon as possible and at Licensee' s sole cost and expense, restore Licensor' s property to the same condition as the same were before such property was moved or disturbed.

Section 10. INDEMNITY.

A. Definitions. As used in this Section:

1. " Licensor" includes Licensor, its affiliates, its and their officers, directors, agents and employees, and other railroad companies using Railroad Property at or near the location of Licensee' s installation and their officers, directors, agents, and

employees.

2. " Licensee" includes Licensee and its agents, contractors, subcontractors, sub-subcontractors, employees, officers, and directors, or any other person or entity acting on its behalf or under its control.

3. " Loss" includes claims, suits, taxes, loss, damages ( including punitive damages, statutory' damages, and exemplary damages), costs, charges, assessments, judgments, settlements, liens, demands, actions, causes of action, fines, penalties, interest, and expenses of any nature, including court costs, reasonable attorneys' fees and expenses, investigation costs, and appeal expenses.

B. Licensee shall release, defend, indemnify, and hold harmless Licensor from and against any and all Loss, even if groundless, fraudulent, or false, that directly or indirectly arises out of or is related to Licensee' s construction, maintenance, modification, reconstruction, repair, renewal, revision, relocation, removal, presence, use, or operation of Licensee's Facilities, including, but not limited to, any actual or alleged:

I. Bodily harm or personal injury ( including any emotional injury or disease) to, or the death of, any person(s), including, but not limited to, Licensee, Licensor, any telecommunications company, or the agents, contractors, subcontractors, sub-subcontractors, or employees of the foregoing;

2. Damage to or the disturbance, loss, movement, or destruction of Railroad Property, including loss of use and diminution in value, including, but not limited to, any telecommunications system( s) or fiber optic cable( s) on or near Railroad 132 Property, any property of Licensee or Licensor, or any property in the care, custody, or control of Licensee or Licensor;

3. Removal of person( s) from Railroad Property;

4. Any delays or interference with track or Railroad' s Use caused by Licensee' s activity( ies) on Railroad Property, including without limitation the construction, maintenance, modification, reconstruction, repair, renewal, revision, relocation, or removal of Licensee's Facilities or any part thereof, any activities, labor, materials, equipment. or machinery in conjunction therewith ;

5. Right( s) or interest( s) granted pursuant to this Agreement;

6. Contents escaping from Licensee's Facilities, including without limitation any actual or alleged pollution, contamination, breach, or environmental Loss;

7. Licensee' s breach of this Agreement or failure to comply with its provisions, including, but not limited to, any violation or breach by Licensee of any representations and warranties Licensee has made in this Agreement; and

8. Violation by Licensee of any law, statute, ordinance, governmental administrative order, rule, or regulation, including without limitation all applicable Federal Railroad Administration regulations.

C. THE FOREGOING OBLIGATIONS SHALL APPLY TO THE FULLEST EXTENT PERMITTED BY LAW FOR THE BENEFIT OF LICENSOR TO LOSSES CAUSED BY, ARISING FROM, RELATING TO, OR RESULTING FROM, IN WHOLE OR IN PART, THE NEGLIGENCE OF LICENSOR, AND SUCH NEGLIGENCE OF LICENSOR SHALL NOT LIMIT, DIMINISH, OR PRECLUDE LICENSEE' S OBLIGATIONS TO LICENSOR IN ANY RESPECT. NOTWITHSTANDING THE FOREGOING, SUCH OBLIGATION TO INDEMNIFY LICENSOR SHALL NOT APPLY TO THE EXTENT THE LOSS IS CAUSED BY THE SOLE, ACTIVE AND DIRECT NEGLIGENCE, GROSS NEGLIGENCE, OR WILLFUL MISCONDUCT OF LICENSOR AS DETERMINED IN A FINAL JUDGMENT BY A COURT OF COMPETENT JURISDICTION.

Section 11. TERMINATION; REMOVAL OF LICENSEE' S FACILITIES.

A. If Licensee does not use the right herein granted on Licensee's Facilities for one( 1) year, or if Licensee continues in default in the performance of any provision of this Agreement for a period of thirty ( 30) days after written notice from Licensor to Licensee specifying such default, Licensor may, at its sole discretion, terminate this Agreement by written notice to Licensee at the address listed in the NOTICES" Article of this Agreement. This Agreement will not terminate until Licensee complies with Paragraphs " C" and " D" of this Section found below.

B. In addition to the provisions of Paragraph " A" above, this Agreement may be terminated by written notice given by either party, without cause, upon thirty ( 30) days written notice to the non-terminating party at the address listed in the " NOTICES" Article of this Agreement. This Agreement will not terminate until Licensee complies with Paragraphs" C" and " D" of this Section found below.

C. Prior to the effective date of any termination described in this Section, Licensee shall submit an application to Licensor' s online Utility Contracts System at this link for Licensee's removal, or if applicable, abandonment in place of Licensee' s Facilities located on Railroad Property (" Removal/ Abandonment 133 Work"). Upon the UP Engineering Representative' s approval of Licensee's application for the RemovaUAbandonment Work, Licensor and Licensee shall execute a separate consent document that will govern Licensee's performance of the Removal/ Abandonment Work from those portions of Railroad Property not occupied by roadbed and/ or trackage Consent Document"). Licensee shall then restore the impacted Railroad Property to the same or reasonably similar condition as it was prior to Licensee's installation of Licensee's Facilities. For purposes of this Section, Licensee' s( i) performance of the Removal/ Abandonment Work, and ( ii) restoration work will hereinafter be collectively referred to as the " Restoration Work".

D. Following Licensee's completion of the Restoration Work, Licensee shall provide a written certification letter to Licensor at the address listed in the " NOTICES" Article of this Agreement which certifies that the Restoration Work has been completed in accordance with the Consent Document. Licensee shall report to governmental authorities, as required by law, and notify Licensor immediately if any environmental contamination is discovered during Licensee's performance of the Restoration Work. Upon discovery, the Licensee shall initiate any and all removal, remedial and restoration actions that are necessary to restore the property to its original, uncontaminated condition. Licensee shall provide written certification to Licensor at the address listed in the " NOTICES" Article of this Agreement that environmental contamination has been remediated and the property has been restored in accordance with Licensor's requirements. Upon Licensor's receipt of Licensee' s restoration completion certifications, this Agreement will terminate.

E. In the event that Licensee fails to complete any of the Restoration Work, Licensor may, but is not obligated, to perform the Restoration Work. Any such work actually performed by Licensor will be at the cost and expense of Licensee. In the event that Licensor performs any of the Restoration Work, Licensee shall release Licensor from any and all Loss ( defined in the " INDEMNITY" Section of this Exhibit B) arising out of or related to Licensor's performance of the Restoration Work.

F. Termination of this Agreement for any reason will not affect any of rights or obligations of the parties which may have accrued, or liabilities or Loss ( defined in the " INDEMNITY" Section of this Exhibit B), accrued or otherwise, which may have arisen prior to such termination.

134

1 EXHIBIT C

INSURANCE REQUIREMENTS

In accordance with Article 5 of this Agreement, Licensee shall( I) procure and maintain at its sole cost and expense, or( 2) require its Contractor(s) to procure and maintain, at their sole cost and expense, the following insurance coverage:

A. Commercial General Liability Insurance. Commercial general liability ( CGL) with a limit of not less than $ 2, 000,000 each occurrence and an aggregate limit of not less than $ 4, 000,000. CGL insurance must be written on ISO occurrence form CG 00 01 12 04 ( or a substitute form providing equivalent coverage).

The policy must also contain the following endorsement, WHICH MUST BE STATED ON THE CERTIFICATE OF INSURANCE:

Contractual Liability Railroads ISO form CG 24 17 10 01 ( or a substitute form providing equivalent coverage) showing " Union Pacific Railroad Company Property" as the Designated Job Site.

B. Business Automobile Coverage Insurance. Business auto coverage written on ISO form CA 00 01 10 01 ( or a substitute form providing equivalent liability coverage) with a limit of not less $ 2,000,000 for each accident, and coverage must include liability arising out of any auto ( including owned, hired, and non- owned autos).

The policy must contain the following endorsements, WHICH MUST BE STATED ON THE CERTIFICATE OF INSURANCE:

Coverage For Certain Operations In Connection With Railroads" ISO form CA 20 70 10 01 ( or a substitute form providing equivalent coverage) showing " Union Pacific Railroad Company Property" as the Designated Job Site.

C. Workers' Compensation and Employers' Liability Insurance. Coverage must include but not be limited to:

Licensee' s statutory liability under the workers' compensation laws of the state( s) affected by this Agreement.

Employers' Liability ( Part B) with limits of at least $ 500,000 each accident, $ 500, 000 disease policy limit$ 500,000 each employee.

If Licensee is self-insured, evidence of state approval and excess workers' compensation coverage must be provided. Coverage must include liability arising out of the U. S. Longshoremen's and Harbor Workers' Act, the Jones Act, and the Outer Continental Shelf Land Act, if applicable.

D. Environmental Liability Insurance. Environmental Legal Liability Insurance ( ELL) applicable to bodily injury, property damage, including loss of use of damaged property or of property that has not been physically injured or destroyed, cleanup costs, and defense, including costs and expenses incurred in the investigation, defense, or settlement of claims, or compliance with statute, all in connection with any loss arising from the insured' s performance under this Agreement. Except with respect to the limits of insurance, and any rights or duties specifically assigned to the first named insured, 135 this insurance must apply as if each named insured were the only named insured; and separately to the additional insured against which claim is made or suit is brought. Coverage shall be maintained in an amount of at least$ 2, 000,000 per loss, with an annual aggregate of at least$ 4,000,000.

Licensee warrants that any retroactive date applicable to ELL insurance coverage under the policy is the same as or precedes the Effective Date of this Agreement, and that continuous coverage will be maintained for a period of five ( 5) years beginning from the time the work under this Agreement is completed or if coverage is cancelled for any reason the policies extended discovery period, if any, will be exercised for the maximum time allowed.

E. Railroad Protective Liability Insurance. Licensee must maintain for the duration of work " Railroad Protective Liability" insurance written on ISO occurrence form CG 00 35 12 04 ( or a substitute form providing equivalent coverage) on behalf of Licensor only as named insured, with a limit of not less than $ 2,000,000 per occurrence and an aggregate of $6,000,000. The definition of "JOB LOCATION" and " WORK" on the declaration page of the policy shall refer to this Agreement and shall describe all WORK or OPERATIONS performed under this Agreement. Notwithstanding the foregoing, Licensee does not need Railroad Protective Liability Insurance after its initial construction work is complete and all excess materials have been removed from Licensor's property; PROVIDED, however, that Licensee shall procure such coverage for any subsequent maintenance, repair, renewal, modification, reconstruction, or removal work on Licensee's Facilities.

F. Umbrella or Excess Insurance. If Licensee utilizes umbrella or excess policies, and these policies must" follow form" and afford no less coverage than the primary policy.

Other Requirements

G. All policy( ies) required above ( except business automobile, workers' compensation and employers' liability) must include Licensor as " Additional Insured" using ISO Additional Insured Endorsement CG 20 26 ( or substitute form( s) providing equivalent coverage). The coverage provided to Licensor as additional insured shall not be limited by Licensee' s liability under the indemnity provisions of this Agreement. BOTH LICENSOR AND LICENSEE EXPECT THAT LICENSOR WILL BE PROVIDED WITH THE BROADEST POSSIBLE COVERAGE AVAILABLE BY OPERATION OF LAW UNDER ISO ADDITIONAL INSURED FORM CG 20 26.

H. Punitive damages exclusion, if any, must be deleted ( and the deletion indicated on the certificate of insurance), unless ( a) insurance coverage may not lawfully be obtained for any punitive damages that may arise under this Agreement, or( b) all punitive damages are prohibited by all states in which this Agreement will be performed.

I. Licensee waives all rights of recovery, and its insurers also waive all rights of subrogation of damages against Licensor and its agents, officers, directors and employees for damages covered by the workers' compensation and employers' liability or commercial umbrella or excess liability obtained by Licensee required in this Agreement, where permitted by law. This waiver must be stated on the certificate of insurance.

J. All insurance policies must be written by a reputable insurance company acceptable to Licensor or with a current Best's Insurance Guide Rating of A- and Class VII or better, and authorized to do business in the state( s) in which the work is to be performed.

K. The fact that insurance is obtained by Licensee will not be deemed to release or diminish the liability of Licensee, including, without limitation, liability under the indemnity provisions of this Agreement. Damages recoverable by Licensor from Licensee or any third party will not be limited by the amount of the required insurance coverage. 136 Agenda Item No. II-7

City of Wichita City Council Meeting May 19, 2020

TO: Mayor and City Council

SUBJECT: Cheney Dam Municipal Outlet Works Footbridge Pier Removal Exigency (All Districts)

INITIATED BY: Department of Public Works & Utilities

AGENDA: Consent

Recommendation: Ratify and approve the emergency Municipal Outlet Works (MOW) gate repairs, approve the change order and revised budget, and adopt the amending resolution.

Background: The MOW structure controlling all water to the Cheney Pump Station is constructed with five sliding gates. As part of the pier removal project Work Plan, as approved by the United States Bureau of Reclamation (USBR), interior inspection of the eight-foot diameter pipe extending beneath the damaged concrete pier was required to insure no visible damage was present prior to and after construction. During the planned initial inspection in coordination with the USBR, it was discovered two of the MOW intake gates and the MOW emergency gate failed to close completely. Consequently, a very limited visual inspection of the pipe was conducted by divers with the pump station completely shut down to stop flow. The two remaining MOW intake gates, which normally remain closed during normal operations, were not operated.

Repairs must be performed immediately to adjust and replace the brass wedges, which seal the gates. In addition, the large diameter internal gate stem serving the emergency gate was discovered in need of immediate replacement. All work must be performed underwater by divers.

Analysis: The replacement of the stem and associated actuator equipment located on top of the MOW can be efficiently done by use of the crane mobilized to remove the pier. The cost savings, by avoiding remobilization of the crane and the floating platform system, is approximately $275,000. To realize this savings, the new stainless steel stems must be ordered as soon as possible. Marine Diving Solutions (MDS) is scheduled to begin mobilization on the east State Park boat ramp on May 5th in coordination with the Kansas Department of Wildlife, Parks and Tourism. MDS is prepared to order the new stem and related gate guide replacement materials to perform this work as soon as possible to prevent remobilization costs. Due to the urgency and complex nature of repairs needed, staff recommends MDS perform this work due to its expertise and having a work platform equipped with a crane pre-mobilized onsite. Work on the project will be performed on a time and materials basis.

Financial Considerations: The cost of the change order is $254,865. The City Council approved $1,100,000 for the Cheney Intake Pier Removal project on September 17, 2019. An additional $1,100,000 is available in the Adopted 2019-2028 Capital Improvement Program in 2021 in the Water Production Improvements line item, which supports various needs throughout the Water Production division. Staff requests $300,000 to provide for this change order. The total revised budget will be $1,400,000.

The project will be funded by future revenue bonds or water utility cash reserves. If bonds are issued, an additional 8% could be added for bond reserves and financing costs. 137 Legal Considerations: City Ordinance 2.64.020(a), “Emergencies,” expressly authorizes the City Manager to approve work to be performed for emergency repair of critical infrastructure facilities by an outside contractor without formal bidding. The City Manager approved proceeding with the project on May 5, 2020.The resolution and notice of intent have been reviewed and approved as to form by the Law Department.

Recommendation/Action: It is recommended that the City Council ratify the City Manager’s emergency approval of the repairs, approve the change order, adopt the amending resolution and authorize the necessary signatures.

Attachments: Change Order, Amending Resolution, and Notice of Intent.

138 pi C ! T Y : O F

0,111011TR May 1, 2020 PUBLIC WORKS- ENGINEERING CHANGE ORDER

To: Marine Diving Solutions Project: Cheney Dam Municipal Outlet Works Footbridge Pier Removal

Change Order No.: 1 Project No.: 448- 90948 Purchase Order No.: P019190930 OCA No.: 678073 CHARGE TO OCA No.: W8031( 678073) ORG CODE: 54252818

Please perform the following extra work at a cost not to exceed $ 254,865. 13 Work for this Change Order cannot be completed until approved by all. Contractor should expect approximately 6 weeks for approval.

Additional Work: Repair leaking gates on the Municipal Outlet Works Structure and replace main guard gate stem and guides.

Reason for Additional Work: Leaking gates and a corroded main guard gate stem were discovered in a recent inspection that was not part of the original scope of work. These critical repairs need to be performed in an expedited manner as there is no way to stop water from entering or exiting the structure.

The cost below is an estimate. Staff and the contractor will track time and materials used for final adjustment to budget charges.

Negotiated/ Line# KDOT# Item Bid Qty Unit Price Extension New PE Time and Materials Estimate Negotiated 1LS $ 254, 865. 13 254, 865. 13

TOTAL: $254, 865. 13

CIP Budget Amount: 1, 400, 000. 00 Amended Contract Amt.: $ 1, 085, 747. 00 Orig P0190930:$ 1, 055, 867.00 Supp P0190640:$ 29, 880. 00

Consultant: Staff Current CO Amt.: 254, 865. 13 Exp.& Encum. To Date: 1, 095, 404. 80 Amt. of Previous CO' s: 0. 00 Total of All CO' s: 254, 865. 13 CO Amount: 254, 865. 13 Unencum. Bal. After CO: 49, 730.07 Adjusted Contract Amt.: $ 1, 340, 612. 13

Recommended By: Approved:

if tan reitenbach, P. E. ate Gary J., P. E. Date Special Projects Engineer City E giirer

Approved: Approved

an5tephens Ian Stephens .wsr.1070.20. b5. 05 tmsso 5/ 5/ 2020 X Contractor Date Alan King Date 139 Director of Public Works& Utilities 5Eby{ Approved as to Form: By Order of the City Council:

Jennifer Magafia Date Brandon Whipple Date City Attorney and Director of Law Mayor

Attest: City Clerk

140 RESOLUTION NO. 20-154

A RESOLUTION AMENDING AND SUPPLEMENTING RESOLUTION NO. 19- 349 OF THE CITY OF WICHITA, KANSAS WHICH DECLARED IT NECESSARY TO CONSTRUCT, RECONSTRUCT, ALTER, REPAIR, IMPROVE, EXTEND AND ENLARGE THE WATER AND SEWER UTILITY OWNED AND OPERATED BY THE CITY, TO ISSUE REVENUE BONDS FOR THE PURPOSE OF PAYING CERTAIN COSTS THEREOF, AND PROVIDING FOR THE GIVING OF NOTICE OF SUCH INTENTION IN THE MANNER REQUIRED BY LAW.

WHEREAS, the City of Wichita, Kansas (the “City”) is a municipal corporation, duly created, organized and existing under the Constitution and laws of the State; and

WHEREAS, the Governing Body has heretofore by Resolution No. 19-349 of the City (the “Prior Resolution), found and determined that it is necessary and advisable to construct, reconstruct, alter, repair, and improve the Utility in the following manner:

Cheney Intake Pier Removal

(the “Project”) at an estimated cost of $1,100,000; and

WHEREAS, the Prior Resolution also determined to be necessary and advisable to issue revenue bonds of the City under the authority of the Act, in an aggregate principal amount not to exceed $1,188,000 in order to pay all or a portion of the costs of the Project and related reserves, interest on financing and administrative and financing costs (the “Bonds”) to be payable from the revenues of the Utility; and

WHEREAS, the City now desires to increase the financing initiated under the Prior Resolution to support replacement of additional parts within the Project, and it is therefore necessary to amend the Prior Resolution.

BE IT RESOLVED BY THE GOVERNING BODY OF THE CITY OF WICHITA, KANSAS, AS FOLLOWS:

Section 1. Amendment. Section 1 and Section 2 of the Prior Resolution are hereby amended to read as follows:

141 1 Section 1. Project Authorization. It is hereby determined that it is necessary and advisable to construct, reconstruct, alter, repair, and improve the Utility in the following manner:

Cheney Intake Pier Removal

(the “Amended Project”) at an estimated cost, including related design and engineering expenses of $1,400,000. It is hereby further authorized, ordered and directed that the Amended Project be designed, acquired, constructed and/or installed in accordance with plans and specifications therefor prepared under the direction of the City Engineer or his designee and approved by the Governing Body; said plans and specifications to be placed on file in the offices of the Utility. The Amended Project will not cause duplication of any existing water or sewer utility service furnished by a private utility in the City.

Section 2. Project Financing. In order to pay all or a portion of the costs of the Amended Project and related reserves, interest on financing and administrative and financing costs, it is hereby found and determined to be necessary and advisable to issue revenue bonds of the City under the authority of the Act, in an aggregate principal amount not to exceed $1,512,000 (the “Bonds”). The Bonds shall not be general obligations of the City payable from taxation, but shall be payable from the revenues derived from the operations of the Utility. Costs of the Amended Project in excess of the proceeds of the Bonds, if any, shall be paid from unencumbered moneys of the Utility which will be available for that purpose. The Bonds may be issued to reimburse expenditures authorized by the Prior Resolution, which were made on or after the date 60 days before its adoption, and to reimburse additional expenditures authorized by this Resolution, which were made on or after the date 60 days before the date of adoption of this Resolution, all pursuant to Treasury Regulation §1.150-2.

Section 2. Notice. Before issuing the Bonds authorized herein, there shall be published one (1) time in the official newspaper of the City, a notice of the intention of the Governing Body to undertake the Amended Project and to issue the Bonds (the “Notice”); and if within fifteen (15) days after the publication of such Notice, there shall be filed with the City Clerk, a written protest against the Amended Project or the issuance of the Bonds, signed by not less than twenty per cent (20%) of the qualified electors of the City, the Governing Body shall thereupon submit such proposed Amended Project and the Bonds to the electors of the City at a special election to be called for that purpose as provided by the Act. If no sufficient protest is filed with the City Clerk within the period of time hereinbefore stated, then the Governing Body shall have the authority to proceed with the Amended Project and issuance of the Bonds.

Section 3. Repeal and Ratification. In the event no sufficient protest petition is filed in accordance with the Act against the Amended Project and the Bonds as set forth in Section 2 hereof, Sections 1 and 2 of the Prior Resolution, as they previously existed are hereby repealed and replaced in their entirety with the amended versions set forth in Section 1 hereof; and the rest and remainder the Prior Resolution is hereby ratified and confirmed. If a protest petition is filed and/or if a required referendum does not approve the Amended Project and the Bonds, the Prior Resolution remains in full force and effect with respect to the Project and the Bonds authorized therein.

Section 4. Effective Date. This Resolution shall be in full force and effect from and after its adoption by the Governing Body.

ADOPTED by the City Council of the City of Wichita, Kansas, by not less than two-thirds of the members voting in favor thereof, on May 19, 2020.

142 2 (SEAL) Brandon J. Whipple, Mayor

ATTEST:

Karen Sublett, City Clerk

APPROVED AS TO FORM:

Jennifer Magaña, Director of Law and City Attorney

143 3 S8021 (Published in The Wichita Eagle, on May 22, 2020.)

NOTICE

TO: THE RESIDENTS OF THE CITY OF WICHITA, KANSAS

You are hereby notified that the City Council (the “Governing Body”) of the City of Wichita, Kansas (the “City”), adopted Resolution No. 20-154, on May 19, 2020, (the “Resolution”). The Resolution amended Resolution No.19-349 (the “Prior Resolution”) which found and determined it to be necessary and declared its intention to construct, reconstruct, alter, repair and improve the City of Wichita, Kansas Water and Sewer Utility (the “Project”), which is owned and operated by the City (the “Utility”), and authorized the issuance of revenue bonds in amount not to exceed $1,188,000 in order to finance all or a portion of the costs of the Project and related reserves, interest on financing and administrative and financing costs. The City desired to increase the financing initiated under the Prior Resolution to support replacement of additional parts within the Project

Cheney Intake Pier Removal

(the “Amended Project”) at an estimated cost, including related design and engineering expenses of $1,400,000 and declared the intention to issue revenue bonds an aggregate principal amount not to exceed $1,512,000 under the authority of K.S.A. 10-1201 et seq., as amended and supplemented by Charter Ordinance No. 211 of the City (the “Bonds”) in order to finance all or a portion of the costs of the Amended Project and related reserves, interest on financing and administrative and financing costs.

The Bonds shall not be general obligation bonds of the City payable from taxation, but shall be payable only from the revenues derived from the operations of the Utility. Costs of the Project in excess of the proceeds of the Bonds shall be paid from unencumbered moneys of the Utility which will be available for that purpose.

This Notice shall be published one time in the official newspaper of the City; and if, within fifteen (15) days from and after the publication date hereof, there shall be filed in the Office of the City Clerk a written protest against the Amended Project and the issuance of the Bonds, which protest is signed by not less than twenty percent (20%) of the qualified electors of the City, then the question of the Project and the issuance of the Bonds shall be submitted to the electors of the City at a special election which shall be called for that purpose as provided by law. If no sufficient protest to the Amended Project and the issuance of the Bonds is filed within said period, then the Governing Body shall have the authority to proceed with the Amended Project and issuance of the Bonds.

BY ORDER of the Governing Body of the City of Wichita, Kansas, on May 19, 2020.

/s/ BRANDON J. WHIPPLE, Mayor

ATTEST: /s/ Karen Sublett, City Clerk

144 Agenda Item No. II-8

City of Wichita City Council Meeting May 19, 2020

TO: Mayor and City Council

SUBJECT: Fire Prevention and Safety Grant Program

INITIATED BY: Wichita Fire Department

AGENDA: Consent

______

Recommendation: Authorize submission and acceptance of the Fiscal Year (FY) 2019 Fire Prevention & Safety Grant Program (FP&S).

Background: The FY 2019 FP&S grant program is one of three grant programs that constitute the Department of Homeland Security (DHS) Federal Emergency Management Agency’s (FEMA) focus on enhancing the safety of the public and firefighters with respect to fire and fire related hazards. The FP&S grant program accomplishes this by assisting fire prevention programs and supporting firefighter health and safety research and development. The FP&S Program represents one part of a comprehensive set of measures authorized by Congress and implemented by DHS. Among the five basic homeland security missions noted in the 2018 DHS Quadrennial Homeland Security Review, the FP&S Program supports the goal to Strengthen National Preparedness and Resilience.

Analysis: The objectives of the FY 2019 FP&S Grant Program are for grantees to carry out fire prevention education and training, fire code enforcement, fire/arson investigation, firefighter safety and health programming, prevention efforts, and research and development. The deadline for submission for the grant is May 29, 2020.

Financial Considerations: If approved to submit, Wichita Fire Department (WFD) plans to apply for up to $20,000. There is a 5% local cost share for the FP&S. The WFD plans to utilize money from the WFD Operational Budget for the $1,000 cost share.

Legal Considerations: The Law Department has approved the FY 2019 FP&S submission as to form.

Recommendations/Actions: It is recommended that the City Council authorize submission and acceptance of the FY 2019 FP&S.

Attachment(s): The Department of Homeland Security (DHS) Notice of Funding Opportunity (NOFO) Fiscal Year 2019 FP&S.

145 The U.S. Department of Homeland Security Notice of Funding Opportunity FY 2019 Fire Prevention and Safety

NOTE: If you are going to apply for this funding opportunity and have not obtained a Data Universal Numbering System (DUNS) number and/or are not currently registered in the System for Award Management (SAM), please take immediate action to obtain a DUNS Number, if applicable, and then to register immediately in SAM. It may take four weeks or more after you submit your SAM registration before your registration is active in SAM, then an additional 24 hours for Grants.gov to recognize your information. Information on obtaining a DUNS number and registering in SAM is available from Grants.gov at: http://www.grants.gov/web/grants/register.html. Detailed information regarding DUNS and SAM is also provided in Section D of this NOFO, subsection, Content and Form of Application Submission.

A. Program Description

Issued By Department of Homeland Security (DHS), Federal Emergency Management Agency (FEMA), Grant Programs Directorate (GPD)

Assistance Listings Number (formerly Catalog of Federal Domestic Assistance (CFDA) Number) 97.044

Assistance Listings Title (formerly CFDA Title) Assistance to Firefighters Grant (AFG)

Notice of Funding Opportunity (NOFO) Title Fiscal Year (FY) 2019 Fire Prevention and Safety (FP&S)

NOFO Number DHS-19-GPD-044-000-98

Authorizing Authority for Program Section 33 of the Federal Fire Prevention and Control Act of 1974 (Pub. L. No. 93-498, as amended) (15 U.S.C. § 2229)

Appropriation Authority for Program Department of Homeland Security Appropriations Act, 2019 (Pub. L. No. 116-6)

Program Type New

146 Page 1 of 58 FY 2019 FP&S NOFO Program Overview, Objectives, and Priorities

Overview

The Fiscal Year (FY) 2019 Fire Prevention and Safety (FP&S) grant program is one of three grant programs that constitute the Department of Homeland Security (DHS) Federal Emergency Management Agency’s (FEMA) focus on enhancing the safety of the public and firefighters with respect to fire and fire- related hazards. The FP&S grant program accomplishes this by assisting fire prevention programs and supporting firefighter health and safety research and development. The FP&S Program represents one part of a comprehensive set of measures authorized by Congress and implemented by DHS. Among the five basic homeland security missions noted in the 2018 DHS Quadrennial Homeland Security Review, the FP&S Program supports the goal to Strengthen National Preparedness and Resilience.

The 2018-2022 FEMA Strategic Plan creates a shared vision for the field of emergency management and sets an ambitious, yet achievable, path forward to unify and further professionalize emergency management across the country. The FP&S Program supports FEMA Strategic Goal #2: Ready the Nation for Catastrophic Disasters. We invite all of our stakeholders and partners to also adopt these priorities and join us in building a stronger agency and a more prepared and resilient nation.

According to the latest report to Congress by the U.S. Fire Administration, analysis of various fire trends during the past decades reveals remarkable progress in many aspects of the fire-related threats in the U.S. However, there remain several areas where additional efforts can reduce fire-related impacts. Homes built in or near WUI areas are increasing life and property risks as well as firefighting costs. During the past few years, WUI fires have destroyed entire communities; commercial, industrial and residential structures; and essential critical infrastructure in California, Colorado, Idaho, Montana, Oregon, Utah, Washington, and other states and tribal lands that experience an expanding WUI risk. This trend could be mitigated by state, local, tribal, and territorial jurisdictions adopting the most current model building codes and requiring homeowner management of the immediate, physical environment and surrounding vegetation. These practices are known as Firewise mitigation concepts. Furthermore, the trend could be mitigated by advocating for public policy that clearly communicates the inherent risk of building in WUI areas, and the public cost of financing emergency response and fire suppression.

Residential fires remain the cause of approximately 80 percent of fire deaths each year. While this number of residential fire deaths has reduced substantially since the creation of the USFA in 1974, the majority of these losses stem from the lack of the oldest and most reliable defensive technology: automatic fire sprinklers. Automatic fire sprinklers are commonplace in businesses and institutions but have not reached widespread use in all residential occupancies.

147 Page 2 of 58 FY 2019 FP&S NOFO Adoption of the most current model codes by local jurisdictions would lead to expanded use and more lives saved. Therefore, the 2019 FP&S Program will reward local jurisdictions that are proactively taking steps to adopt and enforce the most current codes by giving additional consideration (i.e., these jurisdictions will score higher) during the competitive review process. FEMA intends to build upon this structure in future NOFO’s.

In awarding these grants, the Administrator of FEMA is required to consider the following:

• The findings and recommendations of the Technical Evaluation Panel (TEP); • The degree to which an award will reduce deaths, injuries and property damage by reducing the risks associated with fire-related and other hazards; and • The extent of an applicant’s need for an FP&S Grant and the need to protect the United States as a whole.

FP&S Grants are offered to support projects in two activities:

• Fire Prevention and Safety Activity (FP&S): The FP&S Activity is designed to reach high-risk target groups and mitigate the incidence of death, injuries and property damage caused by fire and fire-related hazards. Accordingly, the five project categories eligible for funding under this activity are:

1. Community Risk Reduction; 2. Wildfire Risk Reduction; 3. Code Enforcement/Awareness; 4. Fire & Arson Investigation; and 5. National/State/Regional Programs and Studies.

• Firefighter Safety Research and Development (R&D) Activity: The R&D Activity is aimed at improving firefighter safety, health, or wellness through research and development that reduces firefighter fatalities and injuries. The six project categories eligible for funding under this activity are:

1. Clinical Studies; 2. Technology and Product Development; 3. Database System Development; 4. Dissemination and Implementation Research; 5. Preliminary Studies; and 6. Early Career Investigator. Objectives

The objectives of the FY 2019 FP&S Grant Program are for grantees to carry out fire prevention education and training, fire code enforcement, fire/arson investigation, firefighter safety and health programming, prevention efforts, and research and development. 148 Page 3 of 58 FY 2019 FP&S NOFO Program Priorities

For information on program priorities and objectives for the FY 2019 FP&S Grant Program, refer to Appendix B – Programmatic Information and Priorities.

Performance Metrics

Performance metrics for this program:

• FP&S Activity o Community Risk Reduction: 1. Decrease in fire incidents per 1,000 residents in target population 2. Decrease in fire deaths per 1,000 residents in target population 3. Percent of whole community population trained 4. Percent of target population trained 5. Local number of lives saved o Code Enforcement/Awareness: 1. Decrease in percentage of total fire losses occurring in inspectable occupancies 2. Decrease in structural fires per 1,000 residents of inspectable occupancies 3. Decrease in fire deaths per 1,000 residents of inspectable occupancies 4. Decrease in inspectable property structure fires with at least $25,000 in loss o Fire and Arson Investigation: 1. Increase in percentage of fires where cause is determined 2. Increase in arson arrest and conviction rates o National/State/Regional Programs and Studies: 1. Number of firefighters trained

• R&D Activity (All Categories) 1. Number of Training Academies adopting training materials developed through FP&S Research (breakout by Career and Volunteer) 2. Number of firefighters trained with materials developed through FP&S Research (breakout by Career and Volunteer) 3. Industry standards influenced, changed, or added through FP&S Research

Data for these metrics will be collected throughout the life of the grant during reporting and closeout.

149 Page 4 of 58 FY 2019 FP&S NOFO B. Federal Award Information

Award Amounts, Important Dates, and Extensions

Available Funding for the NOFO: $35,000,000.001

Projected Number of Awards: 150

Period of Performance: 12 – 36 months. Extensions are permitted. For additional information on period of performance extensions, refer to Section H: Additional Information.

• FP&S Activity: The period of performance for projects funded under the FP&S Activity is generally 12 months. Eligible applicants who propose complex projects, such as those under the National/Regional/State Programs and Studies project category, may apply for up to a 24-month period of performance from the date of award.

• R&D Activity: The period of performance for projects proposed under the R&D Activity is 12, 24, or 36 months from the date of award.

Projected Period of Performance Start Date(s): 07/01/2020

Projected Period of Performance End Date(s): 06/30/2021-06/30/2023

Funding Instrument: Grant

C. Eligibility Information

Eligible Applicants

The following entities are eligible to apply directly to FEMA under this NOFO:

1. Fire Prevention and Safety Activity (FP&S) Fire departments and national, regional, state, local, tribal and non-profit organizations that are recognized for their experience and expertise in fire prevention and safety programs and activities. Both private and public non- profit organizations are eligible to apply for funding in this activity. For-profit organizations, federal agencies and individuals are not eligible to receive an FP&S Grant Award under the FP&S Activity.

1 Note that this figure differs from the total amount appropriated under the Department of Homeland Security Appropriations Act, 2019, Pub. L. No. 116-6. $350,000,000 is the total amount appropriated by Pub. L. No. 116-6 to meet the statutory requirements of § 33 of the Federal Fire Prevention and Control Act of 1974, as amended (codified at 15 U.S.C. § 2229). A portion of these “available grant funds” will be allocated to the Fire Prevention & Safety (FP&S) program, which will have a separate NOFO and application period. $35,000,000 will be allocated to FP&S for FY 2019. 150 Page 5 of 58 FY 2019 FP&S NOFO 2. Firefighter Safety Research and Development Activity (R&D) National, state, local, federally recognized tribal, and non-profit organizations, such as academic (e.g., universities), public health, occupational health, and injury prevention institutions. Both private and public non-profit organizations are eligible to apply for funding in this activity. Fire departments are not eligible to apply for funding in the R&D Activity. Additionally, for-profit organizations, federal agencies, and individuals are not eligible to receive a grant award under the R&D Activity.

Eligibility Criteria

FP&S Grants are offered to support projects in two activities:

• Fire Prevention and Safety Activity: FP&S Projects are designed to reach high-risk target groups and mitigate the incidence of death and injuries caused by fire and fire-related hazards.

• Firefighter Safety Research and Development Activity: R&D Projects are aimed at improving firefighter safety, health, or wellness through research and development that reduces firefighter fatalities and injuries.

Each activity has its own application and eligibility requirements. These requirements are outlined in Appendix B – Programmatic Information and Priorities.

Other Eligibility Criteria

National Fire Incident Reporting System (NFIRS) NFIRS reporting is not a requirement to apply for any FP&S Program; however, fire departments that receive funding under this program must agree to provide information to the NFIRS for the period covered by the assistance. If a recipient does not currently participate in the incident reporting system and does not have the capacity to report at the time of the award, that recipient must agree to provide information to the system for a twelve-month period commencing as soon as possible after they develop the capacity to report. Capacity to report to the NFIRS must be established prior to the termination of the performance period. The recipient may be asked by FEMA to provide proof of compliance in reporting to NFIRS. Any recipient that stops reporting to NFIRS during their grant’s period of performance may be subject to the remedies for noncompliance at 2 C.F.R. § 200.338, unless it has yet to develop the capacity to report to NFIRS, as described above.

National Incident Management System (NIMS) Implementation FP&S Grant Program applicants are not required to comply with the National Incident Management System (NIMS) to apply for funding under this NOFO or to be awarded a grant under this NOFO. However, any applicant that receives an FY 2019 FP&S Grant Program award must achieve the level of NIMS compliance required by the authority having command and control jurisdiction over the applicant’s emergency service 151 Page 6 of 58 FY 2019 FP&S NOFO operations (e.g., a local government), prior to the end of the grant’s period of performance.

Maintenance of Effort A maintenance of effort is required under this program for all recipients, unless modified by a waiver, subject to waiver eligibility. An applicant seeking an award under this NOFO shall agree to maintain during the term of the grant, the applicant’s aggregate expenditures relating to the activities allowable under this NOFO at not less than 80 percent of the average amount of such expenditures in the two fiscal years preceding the fiscal year in which the grant award is received. For more information on waiver eligibility, please see Appendix C – Award Administration Information, Section I. Economic Hardship Waivers of Cost Share and Maintenance of Effort Requirements for the FP&S Grant Program for more information.

Cost Share or Match An eligible applicant seeking an FP&S Grant Program award to carry out an activity shall agree to make available non-federal funds to carry out such activity in an amount equal to and not less than 5 percent of the grant awarded. FEMA’s new grant application portal, FEMA Grants Outcomes (FEMA GO) may be accessed at https://go.fema.gov. FEMA GO automatically calculates the cost share in the Budget section of the application.

All recipients should ensure that they are thoroughly familiar with FEMA’s cost sharing requirements identified below, as well as the appropriate cost principles as identified at 2 C.F.R. § 200.101(b)(1). The recipient is not required to have the cost share at the time of application. However, before a grant is awarded, FEMA may contact potential awardees to determine whether the recipient has the funding in hand or if the recipient has a viable plan to obtain the funding necessary to fulfill the cost sharing requirement.

Cost Share Calculator

FEMA provides a cost share calculator for use while developing an application. The Cost Share Calculator is available online at https://www.fema.gov/fire-prevention-safety-grants-documents.

Types of Cost Share

1) Cash Cost share match (cash or “hard match”), including non-federal cash spent for project-related costs.

2) In-Kind Cost share match (also known as “soft match” or non-cash) are allowable for FP&S grants. This includes using the values for the following in-kind contributions to meet the cost share requirement:

• Complementary activities (such as providing additional smoke alarms for installation or education materials for public education); and • Provision of staff, facilities, services, material or equipment. 152 Page 7 of 58 FY 2019 FP&S NOFO

In-kind is the value of something received or provided that does not have a cost associated with it. For example, where an in-kind match is permitted, then the value of donated services could be used to comply with the match requirement. Also, third party in-kind contributions may count toward satisfying match requirements, provided the recipient receiving the contributions expends them as allowable costs in compliance with provisions listed above.

Recipients who use in-kind contributions for their five percent cost share must comply with all applicable regulations and 2 C.F.R. Part 200 regarding matching or cost-sharing. Applicants who are under consideration for award and plan to use in-kind as their method for cost sharing will be asked to submit their plan for documenting and verifying in-kind contributions prior to award. Please see 2 C.F.R. § 200.306, as applicable, for further guidance regarding cost matching.

For more information on 2 C.F.R. Part 200, please visit https://www.ecfr.gov/cgi- bin/text- idx?SID=d0069c71db0a011854b3d1a2b5019133&mc=true&tpl=/ecfrbrowse/Titl e02/2cfr200_main_02.tpl

Economic Hardship Waivers The Administrator of FEMA may waive or reduce cost share requirements in cases of demonstrated economic hardship. Please see Appendix C – Award Administration Information.

D. Application and Submission Information

Key Dates and Times Date Posted to Grants.gov: April 21, 2020 Application Start Date: April 27, 2020 at 8:00 a.m. Eastern Time Application Submission Deadline: May 29, 2020 at 5:00 p.m. Eastern Time Anticipated Funding Selection Date: June 1, 2020 Anticipated Award Date: July 1, 2020

In general, DHS/FEMA will not review applications received after the deadline or consider them for funding. DHS/FEMA may, however, extend the application deadline at the request of an applicant who can demonstrate that good cause exists to justify extending the deadline. Good cause for an extension may include technical problems outside of the applicant’s control that prevent submission of the application by the deadline, or other exigent or emergency circumstances. If applicants experience technical issues, they must notify the AFG Help Desk as soon as possible. The AFG Help Desk can be reached at 1-866-274-0960 or by e-mail: [email protected]. The AFG Help Desk is open Monday – Friday, 8 a.m. – 4 p.m. Eastern Time.

153 Page 8 of 58 FY 2019 FP&S NOFO Other Key Dates

Event Suggested Deadline for Completion Obtaining DUNS Number Four weeks before actual submission deadline Obtaining a valid EIN Eight weeks before actual submission deadline Updating SAM registration Four weeks before actual submission deadline Submitting complete application in FEMA GO One week before actual submission deadline

Agreeing to Terms and Conditions of the Award By submitting an application, applicants agree to comply with the requirements of this NOFO and the terms and conditions of the award, should they receive an award.

Address to Request Application Package The online FY 2019 FP&S Grant Program application is available through the Assistance to Firefighters Grant (AFG) Program’s FEMA GO (FEMA Grant Outcomes) application portal at https://go.fema.gov.There are several ways to access application information:

• AFGP website (http://www.fema.gov/firegrants) • Grants.gov (http://www.grants.gov) • U.S. Fire Administration (http://www.usfa.fema.gov)

Hard copies of the application are not available. However, the Telephone Device for the Deaf (TDD) and/or Federal Information Relay Service (FIRS) number available for this Notice is: (800) 462-7585.

FEMA will process applications through FEMA GO. Application tutorials and Frequently Asked Questions (FAQs) explain the current FP&S Grant Program, assist with the online grant application, and highlight lessons learned and changes for FY 2019. For more details, please visit the AFGP website at http://www.fema.gov/firegrants.

Content and Form of Application Submission DHS makes all funding opportunities available on the Internet, accessible at http://www.grants.gov. For technical assistance with Grants.gov, call the customer support hotline 24 hours per day, 7 days per week (except Federal holidays) at (800) 518- 4726 or e-mail at [email protected].

The Grants.gov website will direct applicants to FEMA GO application portal at https://go.fema.gov, which contains the online FP&S application. All required forms have been incorporated into the online FP&S application.

FEMA GO will allow the applicant’s authorized representative(s) to log in and create their own account. This account is specific to the authorized user and must not be shared with other personnel. The FEMA GO account is separate from any previous accounts created in the eGrants system. Applicants can save, retrieve, update, and revise their work 154 Page 9 of 58 FY 2019 FP&S NOFO through the end of the application period. The automated system does not allow applicants to submit incomplete applications. The system alerts applicants when required information has not been entered. Prior to final submission, an online application may be saved, retrieved or edited up to the application deadline.

Technological Note: FEMA GO is compatible with Internet Explorer (version 11 or higher), Firefox (version 73 or higher), or Chrome (version 80 or higher). Users who attempt to use tablet type devices or other browsers may encounter issues with using FEMA GO.

Unique Entity Identifier and System for Award Management (SAM)

All applicants for this award must:

1. Be registered and active in SAM in order to apply; 2. Provide a valid DUNS number in its application; and 3. Continue to maintain an active SAM registration with current information at all times during which it has an active federal award or an application or plan under consideration by DHS.

DHS/FEMA may not make a federal award to an applicant until the applicant has complied with all applicable DUNS and SAM requirements and, if an applicant has not fully complied with the requirements by the time DHS/FEMA is ready to make a federal award, DHS/FEMA may determine that the applicant is not qualified to receive a federal award and use that determination as a basis for making the federal award to another applicant.

Electronic Delivery DHS is participating in the Grants.gov initiative that provides the grant communities a single site to find grant funding opportunities. Before applying for a DHS Grant, applicants must have a Data Universal Number System, or DUNS number, and must be registered and active in SAM.

DUNS Instructions for obtaining a DUNS number can be found at the following Website: http://www.grants.gov/web/grants/applicants/organization-registration/step-1-obtain-duns- number.html.

System for Award Management (SAM) Applicant registration in SAM is free. All applicants must be registered and active in order to apply online. Step-by-step instructions for registering with SAM can be found here: http://www.grants.gov/web/grants/applicants/organization-registration/step-2-register- with-sam.html. Please remember that SAM registration is only active for one year and must be renewed annually.

Existing SAM.GOV account holders should check their account to make sure it is “ACTIVE.” SAM registration should be completed at the beginning of the application 155 Page 10 of 58 FY 2019 FP&S NOFO period and renewed annually to avoid becoming "INACTIVE."

Please allow plenty of time before the grant application submission deadline to obtain a DUNS number and then to register in SAM. It may take four weeks or more after the applicant submits the SAM registration before the registration is active in SAM, then an additional 24 hours for Grants.gov and FEMA GO to recognize the information.

FEMA may not make an award to an entity until the entity has complied with the requirements to provide a valid DUNS number and maintain an active SAM registration with current information. If the applicant is noncompliant with this requirement at the time of award offer, then FEMA may determine the applicant is not qualified to receive an award.

IMPORTANT: The SAM registration process must be completed by the applicant. It is imperative that the information provided by the applicant is correct and current. Please ensure that your organization’s name, address, DUNS number, and Employer Identification Number, or EIN, are up to date in SAM and that the DUNS number used in SAM is the same one used to apply for all other FEMA awards. The organization’s name on the SF 1199A Direct Deposit Form must be entered as it appears in SAM. Payment under any FEMA award is contingent on the recipient’s having a current SAM registration.

Help with SAM The SAM quick start guide for new recipient registration and SAM video tutorial for new applicants are tools created by the General Services Administration (GSA) to assist those registering with SAM. If applicants have questions or concerns about a SAM registration, please contact the Federal Support Desk at https://www.fsd.gov/fsd-gov/home.do or call toll free (866) 606-8220.

How to Get a Commercial and Government Entity (CAGE) Code To get a CAGE code, applicants must first be registered in SAM, which is a requirement for doing business with the Federal Government. Applicants will be assigned a CAGE code as part of the SAM validation process, and as soon as the registration is active, applicants may view the CAGE code online by logging in to the SAM account.

Timely Receipt Requirements and Proof of Timely Submission All applications must be received by 5/29/2020 at 5 p.m. Eastern Time. FEMA GO automatically records proof of timely submission and the system generates an electronic date/time stamp when FEMA GO successfully receives the application. The individual with the Authorized Organization Representative (AOR) role that submitted the application will also receive the official date/time stamp and a FEMA GO tracking number in an email serving as proof of their timely submission on the date and time that FEMA GO received the application. Applications received by FEMA GO after the established due date will not be considered for funding.

156 Page 11 of 58 FY 2019 FP&S NOFO Applicants using slow internet connections, such as dial-up connections, should be aware that transmission can take some time before FEMA GO receives your application. FEMA GO will provide either an error message or a successfully received transmission in the form of an email sent to the AOR that submitted the application. The FEMA GO Support Center reports that some applicants end the transmission because they think that nothing is occurring during the transmission process. Do not do this – it may cause your application to fail to be submitted and consequently not be considered for funding. Please be patient and give the system time to process the application.

Intergovernmental Review An intergovernmental review may be required. Applicants must contact their State’s Single Point of Contact (SPOC) to comply with the state’s process under Executive Order 12372 (see https://www.archives.gov/Federal-register/codification/executive- order/12372.html; https://www.whitehouse.gov/wp-content/uploads/2019/02/SPOC- February-2019.pdf.).

Funding Restrictions Federal funds made available through this award may only be used for the purpose set forth in this award and must be consistent with the statutory authority for the award. Award funds may not be used for matching funds for any other federal grants/cooperative agreements, lobbying, or intervention in federal regulatory or adjudicatory proceedings. In addition, federal funds may not be used to sue the Federal government or any other government entity. Failure to adhere to the award conditions will cause the recipient to be considered in default of the grant agreement and may require the return of all federal funds disbursed under the grant.

Applicants may only submit one application but may submit up to three projects under each activity (FP&S and R&D). Any applicant that submits more than one application may have all applications deemed ineligible. Applicants who request funding to conduct a risk assessment may not request funding for any additional projects under the FP&S Activity. For more information on restrictions on use of award funds, please see Appendix B – Ineligible Projects and Appendix C – Award Administration Information.

Construction or Remodeling/Renovation Costs Construction costs are not eligible under the FP&S Grant Program. Construction includes major alterations to a building that changes the profile or footprint of the structure. To support eligible awarded activities, remodeling/renovations to an existing facility are limited to minor interior alterations costing less than $10,000 and should be requested under Modification to Facilities. Some of these activities may require an Environmental and Historic Preservation (EHP) review; certain costs associated with an EHP review are eligible for reimbursement.

Environmental and Historic Preservation (EHP) Compliance As a federal agency, DHS/FEMA is required to consider the effects of its actions on the environment and historic properties to ensure that all activities and programs funded by the agency, including grants-funded projects, comply with federal EHP regulations, 157 Page 12 of 58 FY 2019 FP&S NOFO laws, and Executive Orders as applicable.

Recipients proposing projects for DHS/FEMA funding that have the potential to impact the environment, including, but not limited to modification or renovation of existing buildings, structures, and facilities, must participate in the GPD EHP review process. The GPD EHP review process involves the submission of a screening form that includes a detailed project description that explains the goals and objectives of the proposed project along with supporting documentation so that DHS/FEMA may determine whether the proposed project has the potential to impact environmental resources and/or historic properties. Recipients proposing projects that have the potential to impact the environment will be able to attach the screening form within the FEMA GO system as part of their grant application; in cases where recipients do not attach the screening form to their applications, completed screening forms can be submitted via email to [email protected] after the application has been submitted. In some cases, GPD also is required to consult with other regulatory agencies and the public in order to complete the review process. The EHP review process must be completed before funds are released to carry out the proposed project. DHS/FEMA GPD may not fund projects that are initiated without the required EHP review.

Additionally, all recipients are required to comply with GPD EHP Policy Guidance. GPD EHP Policy Guidance can be found in FEMA Policy (FP) 108-023-1, Grants Programs Directorate Environmental Planning and Historic Preservation Policy Guidance.

FP&S Grant Program projects that involve the installation of equipment not specifically excluded from a FEMA EHP Review, per the GPD Programmatic Environmental Assessment (PEA), such as ground-disturbing activities, or modification/renovation of existing buildings or structures, must undergo a FEMA EHP Review.

No facilities modification or renovation projects can proceed, with the exception of project planning, prior to formal FEMA approval. Funds for activities that do not require an EHP Review may be requested by the recipient. The following activities would not require the submission of the GPD EHP Screening Form:

• Planning and development of policies or processes • Management, administrative, or personnel actions • Classroom-based training • Acquisition of mobile and portable equipment (not involving installation) on or in a building

Pre-Award Costs Only costs incurred during the period of performance are allowable. However, recipients may request to be reimbursed for grant writer fees (see Appendix C – Award Administration Information, Section II. Grant Writer/Preparation Fees; see also Appendix B – Programmatic Information and Priorities).

158 Page 13 of 58 FY 2019 FP&S NOFO Award Limits Applications and awards under the FP&S Grant Program are limited to a maximum federal share of $1.5 million. FP&S Research and Development applicants applying under the Early Career Investigator category are limited to a maximum federal share of $75,000 per project year.

Management and Administration (M&A) Costs Management and administrative (M&A) expenses are not operational costs but are necessary costs incurred in direct support of the grant or as a consequence of it. As such, these costs can be itemized in financial reports. M&A expenses should be based only on actual expenses or known contractual costs; requests that are simple percentages of the award, without supporting justification, will not be allowed or considered for reimbursement. Salaries and fringe benefits for personnel directly supporting the grant are not required to be included in the M&A budget line item. No more than 3 percent of the federal share of FP&S funds awarded may be expended by the recipient for M&A associated with the FP&S award.

Indirect Facilities & Administrative (F&A) Costs Indirect F&A costs are those costs incurred for a common or joint purpose benefitting more than one cost objective. These costs are not readily assignable to the costs objectives specifically benefitted, without effort disproportionate to the results achieved. Indirect costs are allowable under this program as described in 2 C.F.R. pt. 200, including 2 C.F.R. § 200.414.

Applicants with a negotiated indirect cost rate agreement that desire to charge indirect costs to an award must provide a copy of their negotiated indirect cost rate agreement at the time of application. Applicants that are not required by 2 C.F.R. pt. 200 to have a negotiated indirect cost rate agreement but are required by 2 C.F.R. pt. 200 to develop an indirect cost rate proposal must provide a copy of their proposal at the time of application. Copies of the indirect cost rate agreements or proposals, along with the AFG application number, must be submitted electronically to [email protected]. Post-award requests to charge indirect costs will be considered on a case-by-case basis and based upon the submission of an agreement or proposal as discussed above.

Indirect costs will be evaluated as part of the application for federal funds and must be included as a line item in the Request Details section of the application, to determine if they are allowable, reasonable, or disproportionally impact an application’s cost benefit.

Multiple Projects Eligible applicants (identified by unique federal tax identification numbers) may only submit one application. Applicants may submit an application for up to three projects under each activity (FP&S and R&D). Applicants applying for funding under both the FP&S and R&D Activities must do so within the same application. Each project within an application must be presented separately as a free-standing proposal. Any applicant that submits more than one application may have all applications deemed ineligible. Risk 159 Page 14 of 58 FY 2019 FP&S NOFO assessments are eligible for funding under the FP&S Activity; however, if selected as an activity project, no other projects may be eligible for funding under the FP&S Activity in the 2019 FP&S Grant Application year.

Example 1 A community has a strategic goal of reducing the number of fires caused by the use of barbecue grills on the balconies of apartments. Attainment of this goal will be supported through two projects. The applicant plans to:

• Launch a public education project • Strengthen code enforcement activities

Although both projects aim to reach the same goal, the projects are independent of one another and will be funded as such. Therefore, the public education items would be listed as one supporting project and the code enforcement items listed as the second supporting project.

Although both projects will be included in one application, the projects must be independent in that the completion of one project, or any tasks within that project, does not depend on the funding of the other project. Each project requires its own separate supporting budget and Narrative Statement explaining how accomplishing these independent projects will help achieve the overall goal.

Example 2 A community or organization may have more than one strategic goal depending on its audience or risk. For example, a national organization may have a goal to reduce firefighter fatalities through a national outreach project. It may also have a goal studying the effectiveness of public education messages. The organization would create one project for firefighter safety initiatives and a second project for national public education efforts.

E. Application Review Information

Funding priorities and criteria for evaluating applications submitted under this NOFO are established by FEMA based on the recommendations from the Criteria Development Panel, as well as applicable laws and regulations. Each year, FEMA convenes a panel of fire service professionals to develop funding priorities for the FP&S Grant Program. The panel makes recommendations about funding priorities as well as developing criteria for awarding grants.

The nine fire service organizations represented on the panel are: • International Association of Fire Chiefs • International Association of Fire Fighters • National Volunteer Fire Council • National Fire Protection Association 160 Page 15 of 58 FY 2019 FP&S NOFO • National Association of State Fire Marshals • International Association of Arson Investigators • International Society of Fire Service Instructors • North American Fire Training Directors • Congressional Fire Service Institute

The Criteria Development Panel is charged with making recommendations to FEMA regarding the creation or modification of previously established funding priorities as well as developing criteria for awarding grants. The content of this NOFO reflects implementation of the Criteria Development Panel’s recommendations with respect to the priorities, direction, and criteria for awards. i) Application Evaluation Criteria Prior to making a federal award, the federal awarding agency is required by 31 U.S.C. § 3321 note, 41 U.S.C. § 2313, and 2 C.F.R. § 200.205 to review information available through any OMB-designated repositories of government-wide eligibility qualification or financial integrity information. Therefore, application evaluation criteria may include the following risk-based considerations of the applicant: (1) financial stability; (2) quality of management systems and ability to meet management standards; (3) history of performance in managing federal awards; (4) reports and findings from audits; and (5) ability to effectively implement statutory, regulatory, or other requirements.

1) Supplemental Financial Integrity Review

Prior to making a federal award where the anticipated federal share of a federal award will be greater than the simplified acquisition threshold, currently $250,000 (see Section 805 of the National Defense Authorization Act for Fiscal Year 2018, Pub. L. No. 115-91, OMB Memorandum M-18-18 at https://www.whitehouse.gov/wp-content/uploads/2018/06/M-18-18.pdf; see also FEMA Information Bulletin No. 434, Increases and Changes to the Micro- Purchase and Simplified Acquisition Thresholds): • DHS/FEMA is required to review and consider any information about the applicant in the designated integrity and performance system accessible through the System for Award Management (SAM), which is currently the Federal Awardee Performance and Integrity Information System (FAPIIS) and is also accessible through the SAM website. • An applicant, at its option, may review information in FAPIIS and comment on any information about itself that a federal awarding agency previously entered. • DHS/FEMA will consider any comments by the applicant, in addition to the other information in FAPIIS, in making a judgment about the applicant’s integrity, business ethics, and record of performance under federal awards when completing the review of risk posed by applicants, as described in 2 C.F.R. § 200.205.

161 Page 16 of 58 FY 2019 FP&S NOFO ii) Review and Selection Process All applications submitted under this NOFO are competitively scored by no less than three members of the Peer Panel. Applications will also be evaluated through a series of internal FEMA review processes for completeness, adherence to programmatic guidelines, technical feasibility, costs/quantities, and anticipated effectiveness of the proposed project(s). The process by which applications will be reviewed is outlined below:

1) Peer Review Panels i. Peer Review Panel Process – Fire Prevention and Safety Activity Projects All FP&S activity applications will be evaluated by a peer review process. A panel of peer reviewers is comprised of fire service representatives recommended by the CDP. These peer reviewers will assess the merits of each project application with respect to the detail provided in the Narrative Statement on the activity, including the evaluation elements listed in the Narrative Evaluation Criteria below.

The panel will independently score each project within the application, discuss the merits or shortcomings of the application, and document the findings. A consensus is not required.

ii. Peer Review Panel Process – Research and Development Activity Projects The peer review process is comprised of a Fire Service Panel Review and a Science Panel Review.

Fire Service Panel Review All eligible project applications will first be reviewed and scored by a panel of fire service experts to assess the need for the research results and the likelihood that the results would be implemented by the fire service in the United States. The projects that are determined most likely to be implemented to enable improvement in firefighter safety, health, or wellness will be deemed to be in the “competitive range” and will be forwarded to the second level of project review, which is the scientific panel review process. This panel will be comprised of scientists and technology experts who have expertise pertaining to the subject matter of the proposal. A consensus is not required.

Science Panel Review Scientific reviewers will independently score projects in the competitive range and, if necessary, discuss the merits or shortcomings of the project in order to reconcile any major discrepancies identified by fellow reviewers. A consensus is not required.

162 Page 17 of 58 FY 2019 FP&S NOFO 2) Technical Evaluation Panel (TEP) The highest ranked projects from both Activities will be deemed in the fundable range. Applications that are in the fundable range will undergo a Technical Review by the FEMA Program Office prior to being recommended for award. The FEMA Program Office will assess the request with respect to costs, quantities, feasibility, eligibility, and recipient responsibility prior to recommending any application for award. Additionally, FEMA will review whether the project duplicates other federally funded research or prevention activities in order to avoid duplication.

Once the review process is complete, each project’s score will be determined, and a final ranking of project applications will be created. FEMA will award grants based on this final ranking.

3) Narrative Evaluation Criteria All complete and eligible applications are evaluated relative to FP&S Grant Program funding priorities (see information on the funding priorities in Appendix B – Programmatic Information and Priorities, Section III. Funding Priorities).

The Narrative Statement of the application must provide specific details about the activity for which applicants seek funding, including budget details. The weighted evaluation criteria used by the peer reviewers in the determination of the grant award, as described below, make up the elements of the Narrative. The FEMA GO system includes a time out feature. If no browser activity is detected for a period of time, you will be logged out of the system. Therefore, it is recommended that applicants type the Narrative Statement information offline using a word processing program to avoid being logged out of the system. Once the Narrative Statement is complete, applicants can then cut-and-paste the text into the appropriate sections within the Narrative Statement section of the online application.

Please note the Narrative Statement blocks do not allow for formatting. Do not type the Narrative Statement using only capital letters. Additionally, do not include tables, special fonts (e.g., quotation marks, bullets), or graphs. Space for the Narrative Statement is limited. While each element must have a minimum of 200 characters, the maximum amount of characters varies based on the questions being asked. Once the Narrative Statement is saved to the online application, log- out and then log back in to the application to verify that the information was successfully saved.

Fire Departments and Interest Organizations are assigned differing weights for each scored element. Peer Review Panelists will evaluate and score each activity based on the following narrative elements within each activity:

163 Page 18 of 58 FY 2019 FP&S NOFO i. Evaluation Criteria for Projects - Fire Prevention and Safety Activity

• Financial Need (Departments-10%, Interest Organizations-0%): Applicants must provide details in the Applicant Information section of the application on the need for financial assistance to carry out the proposed project(s). Applicants may include other unsuccessful attempts to acquire financial assistance. Applicants should: provide detail about the applicant’s operating budget, including a high- level breakdown of the budget; describe the applicant’s inability to address financial needs without federal assistance; and discuss other actions the applicant has taken to meet their needs (e.g., state assistance programs or other grant programs). While interest organizations do not receive points for their financial need, they must provide all details listed above in their application regarding their financial need to be considered for funding.

• Vulnerability Statement (Departments-20%, Interest Organizations-25%): The assessment of fire risk is essential in the development of an effective project goal, as well as meeting FEMA’s goal to reduce risk by conducting a risk assessment as a basis for action. Vulnerability is a “weak link,” demonstrating high-risk behavior, living conditions, or any type of high-risk situation. The Vulnerability Statement should include a description of the steps taken to determine the vulnerability and identify the target audience. The methodology for determination of vulnerability (i.e., how the vulnerability was found) should be discussed in-depth in the application’s Narrative Statement. o Fire Department applicants: note that 5% of the available 20% for this narrative element will be provided to those applicants that can demonstrate their commitment and proactive posture to reducing fire risk. Applicants must explain their code adoption and enforcement (to include Wildland Urban Interface and commercial/residential sprinkler code adoption and enforcement) and mitigation strategies (including whether or not the jurisdiction has a FEMA-approved mitigation strategy) to receive the full 20%. Also, note that departments can demonstrate their commitment to reducing fire risk by applying to implement fire mitigation strategies (code adoption and enforcement) via this application. o The specific vulnerability that will be addressed with the proposed project can be established through a formal or informal risk assessment. FEMA encourages the use of local statistics, rather than national statistics, when discussing the vulnerability. o In a clear, to-the-point statement, the applicant should summarize the vulnerability the project will address, including who is at risk, what the risks are, where the risks are, and how the risks can be prevented, reduced, or mitigated. o For the purpose of the FY 2019 FP&S NOFO, formal risk assessments consist of the use of software programs or recognized expert analysis that assess risk trends. o Informal risk assessments could include an in-house review of available data (e.g., National Fire Incident Reporting System [NFIRS]) to determine fire 164 Page 19 of 58 FY 2019 FP&S NOFO loss, burn injuries or loss of life over a period of time, and the factors that are the cause and origin for each occurrence, including a lack of adoption and enforcement of certain codes.

• Project Description (Departments-20%, Interest Organizations-25%): Applicants must describe in detail not only the project components but also how the proposed project addresses the identified capability gap, due to financial need and/or the vulnerabilities identified in the vulnerability statement. The following information should be included: o Project Components o Review of any existing programs or models that have been successful. o Detailed description of how the proposed project components fill the identified capability gap o If working with Fire Service Partners/Organizations, identify each partner/organization and the role(s) they will fill in the successful completion of the proposed project.

• Implementation Plan (Departments-25%, Interest Organizations-30%): Each project proposal should include details on the implementation plan which discusses the proposed project’s goals and objectives. The following information should be included to support the implementation plan: o Goals and objectives o Details regarding the methods and specific steps that will be used to achieve the goals and objectives o Timelines outlining the chronological project steps (this is critical for determining the likeliness of the project’s completion within the period of performance) o Where applicable, examples of marketing efforts to promote the project, who will deliver the project (e.g., effective partnerships), and the manner in which materials or deliverables will be distributed o Requests for props (i.e., tools used in educational or awareness demonstrations), including specific goals, measurable results, and details on the frequency for which the prop will be utilized as part of the implementation plan. Applicants should include information describing the efforts that will be used to reach the high-risk audience and/or the number of people reached through the proposed project (examples of props include safety trailers, puppets, or robots)

NOTE: For applicants proposing a complex project that may require a 24- month Period of Performance, please include significant justification and details in the implementation plan that justify the applicant’s need for a Period of Performance of more than 12 months.

• Evaluation Plan (Departments-15%, Interest Organizations-15%): Projects should include a plan for evaluation of effectiveness and identify measurable goals. Applicants seeking to carry out awareness and educational projects, for 165 Page 20 of 58 FY 2019 FP&S NOFO example, should identify how they intend to determine that there has been an increase in knowledge about fire hazards, or measure a change in the safety behaviors of the audience. Applicants should demonstrate how they will measure risk at the outset of the project in comparison to how much the risk decreased after the project is finished. There are various ways to measure the knowledge gained about fire hazards, including the use of surveys, pre- and post-tests, or documented observations. Applicants are encouraged to attend training on evaluation methods, such as the National Fire Academy’s “Demonstrating Your Fire Prevention Program’s Worth.” Note: In addition to a detailed evaluation plan as described above, if awarded, grant recipients are required to report on specific performance metrics through performance reports and at closeout (see page 3-4 for required performance metrics).

• Cost-Benefit (Departments-10%, Interest Organizations-5%): Projects will be evaluated and scored by the Peer Review Panelists based on how well the applicant addresses the fire prevention needs of the department or organization in an economic and efficient manner. The applicant should show how it will maximize the level of funding that goes directly into the delivery of the project. The costs associated with the project also must be reasonable for the target audience that will be reached, and a description should be included of how the anticipated project benefit(s) (quantified if possible) outweighs the cost(s) of the requested item(s). The application should provide justification for all costs included in the project in order to assist the Technical Evaluation Panel with their review.

• Additional Considerations

o Meeting the needs of people with disabilities: Applicants in the Community Risk Reduction category will receive additional consideration if, as part of their comprehensive smoke alarm installation and education program, they address the needs of people with disabilities (e.g., deaf/hard-of-hearing) in their community. o Experience and Expertise: Applicants who demonstrate their experience and ability to conduct fire prevention and safety activities, and to execute the proposed or similar project(s), will receive additional consideration. ii. Evaluation Criteria for Projects - Research and Development Activity

All projects will be reviewed by a fire service expert panel using weighted evaluation criteria, and those projects deemed to be in the “competitive range” will then be reviewed by a scientific peer review panel using weighted evaluation criteria to score the project. Scientific peer review evaluations will impact the ranking of a project for funding. Funding decisions will be informed by an assessment of how well the application addresses the criteria and considerations listed below.

166 Page 21 of 58 FY 2019 FP&S NOFO 1. Fire Service Panel Evaluation Criteria:

• Purpose (25%): Applicants should clearly identify the benefits of the proposed research project to improve firefighter safety, health, or wellness, and identify specific gaps in knowledge that will be addressed.

• Implementation by Fire Service (25%): Applicants should discuss how the outcomes/products of this research, if successful, are likely to be widely/nationally adopted and accepted by the fire service as changes that enhance firefighter safety, health, or wellness.

• Potential Impact (15%): Applicants should discuss the potential impact of the research outcome/product on firefighter safety by quantifying the possible reduction in the number of fatal or non-fatal injuries or on projected wellness by significantly improving the overall health of firefighters.

• Barriers (15%): Applicants should identify and discuss potential fire service and other barriers to successfully completing the study on schedule, including contingencies and strategies to deal with barriers if they materialize. This may include barriers that could inhibit the proposed fire service participation in the study, barriers that could inhibit the adoption of successful results by the fire service when the project is completed, or project components most likely to cause delay in successful completion.

• Partners (20%): Applicants should recognize that participation of the fire service as a partner in the research from development to dissemination is regarded as an essential part of all projects. Describe the fire service partners and contractors that will support the project to accomplish the objectives of the study. The specific roles and contributions of the partners to the project should be described. Partnerships may be formed with local and regional fire departments and also with national fire-related organizations. Letters of support and letters of commitment to actively participate in the project should be included in the Appendix of the application. Generally, participants of a diverse population, including both career and volunteer firefighters, are expected to facilitate acceptance of results nationally. In cases where this is not practical, due to the nature of the study or other limitations, these circumstances should clearly be explained.

2. Science Panel Evaluation Criteria:

• Project goals, objectives, and specific aims (15%): Applicants should address how the purpose, goals, objectives, and specific aims of the proposal will lead to results that will improve firefighter safety, health, or wellness. For multi-year projects, greater detail should be given for the first year. Also, describe the specific goals and objectives for the second and third years.

167 Page 22 of 58 FY 2019 FP&S NOFO • Literature Review (10%): Applicants should provide a literature review that is relevant to the project’s goals, objectives, and specific aims. The citations are placed in the narrative text and references listed at the end of the Narrative Statement (and not in the Appendix) of the application. The review should be of sufficient depth to make it clear that the proposed project is necessary, adds to an existing body of knowledge, is different from current and previous studies, and offers a unique contribution.

• Project Methods (20%): Applicants should provide a description of how the project will be carried out, including demonstration of the overall scientific and technical rigor and merit of the project. This includes the operations to accomplish the purpose, goals, and objectives, and the specific aims of the project. Plans to recruit and retain human subjects, where applicable, should be described. Where human subjects are involved, describe plans for submission to the Institutional Review Board (IRB) (for further guidance and requirements, see the Human Subjects Research section on page 27 of this NOFO).

• Project Measurements (20%): Applicants should provide evidence of the technical rigor and merit of the project, such as data pertaining to validity, reliability, and sensitivity (where established) of the facilities, equipment, instruments, standards, and procedures that will be used to carry out the research. The applicant should discuss the data to be collected to evaluate the performance methods, technologies, and products proposed to enhance firefighter safety, health, or wellness. The applicant should demonstrate that the measurement methods and equipment selected for use are appropriate and sufficient to successfully deliver the proposed project objectives.

• Project Analysis (20%): The applicant should indicate the planned approach for analysis of the data obtained from measurements, questionnaires, or computations. Specify within the plan what will be analyzed, the statistical methods that will be used, the sequence of steps, and interactions as appropriate. It should be clear that the Principal Investigator (PI) and research team have the expertise to perform the planned analysis and defend the results in a peer review process.

• Dissemination and Implementation (15%): Applicants should indicate dissemination plans for scientific audiences (e.g., plans for submissions to specific peer review publications) and for firefighter audiences (e.g., via websites, magazines, and conferences). Also, assuming positive results and where applicable, indicate future steps that would support dissemination and implementation throughout the fire service. These are likely to be beyond the current study, so those features of the research activity that will facilitate future dissemination and implementation should be discussed. All applicants should specify how the results of the project, if successful, might be disseminated and implemented in the fire service to improve firefighter safety, health, or wellness.

168 Page 23 of 58 FY 2019 FP&S NOFO It is expected that successful R&D Activity Projects may give rise to future programs including FP&S Activity Projects.

• Additional Considerations: The following considerations are not scored but may impact the evaluation of the application as a whole. This information may be used by application reviewers or by FEMA during technical review prior to making funding decisions.

o Cost vs. Benefit: Cost vs. benefit in this evaluation element refers to the costs of the grant for the research and development project vs. the benefits that are projected for firefighters who would have improved safety, health, or wellness. Applicants should demonstrate a high benefit for the cost incurred and effective utilization of federal funds for research activities.

o Financial Need: In the Applicant Information section of the application, applicants must provide details on the need for federal financial assistance to carry out the proposed project(s). Included in the description might be other unsuccessful attempts to acquire financial assistance. Applicants should provide details about the organization’s operating budget, including a high- level breakdown of the budget; describe the department’s inability to address financial needs without federal assistance; and discuss other actions the department has taken to meet their staffing needs (e.g., state assistance programs, other grant programs).

o Mentoring (for Early Career Investigator Projects Only): An important part of Early Career Investigator projects is the integration of mentoring for the principal investigator by experienced researchers in areas appropriate to the research project, including exposure to the fire service community as well as support for ongoing development of knowledge and skills. Mentoring is regarded as critical to the research skills development of early career principal investigators. As part of the application Appendix, the applicant should identify the mentor(s) that have agreed to support the applicant and the expected benefit of their interaction with the researcher. A biographical sketch and letter of support from the mentor(s) are encouraged and should be included in the Appendix materials.

3. Research and Development (R&D) Activity Formatting Requirements:

1. Applications must include one Narrative Statement and one Appendix document (per project).

2. The Narrative Statement for the R&D Activity is limited to 20 pages per project. The first page of the Narrative Statement must include an abstract of approximately 250 words that addresses purpose and aims, relevance, methods, and anticipated outcomes. All narrative text, including pertinent references and footnotes, must be in the Narrative Statement. The contact 169 Page 24 of 58 FY 2019 FP&S NOFO information (e-mail address and telephone number) for the principal investigator must be provided on the first page of the Narrative Statement.

3. It may be useful to organize the Narrative Statement to follow the R&D Evaluation Criteria listed within this announcement. Responses to the Fire Service criteria should be provided within the application in FEMA GO.

4. Tables and figures may be included in either the Narrative Statement or the Appendix document.

5. The Appendix is limited to 25 pages per project. It may include, as appropriate, data collection instruments, additional tables and figures, illustrations, specifications for product designs, and letters of commitment and role description from partners. Additionally, if this project is a resubmission, applicants may use the Appendix to address how they adapted the proposal to address reviewer concerns from a previous year.

6. A biographical sketch (bio sketch) for the PI and lead scientists, as well as other key research personnel listed in the budget, are to be included in the Appendix, but are limited to a maximum of two pages per bio sketch. Applicants are strongly encouraged to follow the biographical sketch sample (see Section e. Biographical Sketch Sample for Research and Development Projects) in preparing the bio sketch.

7. Font: Times New Roman or Arial.

8. Font Size: 11 point (11 pt.) or larger.

9. Page Dimensions: Page dimensions must be 8.5" x 11" or smaller.

10. Margins: All margins (top, bottom, left, and right) must be at least 1".

11. Header: The header on each page of the Narrative Statement and the Appendix must contain: • PI (surname) • Institution name (abbreviated) • Project Short Title • Page Number

4. Biographical Sketch Sample for Research and Development Projects Applicants for the R&D Activity should provide Curriculum Vitae (CV) for PIs and also for lead scientists in the application appendix. The applicant is limited to a maximum of two pages per CV. • Font Size: Minimum 11pt • Font Type: Times New Roman or Arial • Page Count: Two (maximum) 170 Page 25 of 58 FY 2019 FP&S NOFO • Must be completed by PI and Co-PI(s)

NAME POSITION TITLE (Last, First, Middle) Institution/Organization

EDUCATION/TRAINING (Begin with baccalaureate or other initial professional education, such as nursing, and include postdoctoral training.) DEGREE FIELD OF INSTITUTION AND LOCATION (if YEAR(s) STUDY applicable)

Each CV should include:

• Positions. List all appointments or other professional positions held, beginning with the present position and include years, title, organization, city, state and country.

• Service. Include all positions held on advisory committees or other working groups, including all Federal Government advisory committees or other public working groups, beginning with most recent.

• Honors. Include all honors received in past 10 years and selected others.

• Peer reviewed publications. Include all peer-reviewed publications in past 10 years, beginning with most recent, and selected others.

• Other publications. Include all documents produced in past 10 years, beginning with most recent, and selected others.

• Research Support. List funding sources and amounts for all ongoing and completed research projects (federal and non-federal support) for past 10 years and selected others.

5. Human Subjects Research

The information in this section pertains only to those studies that include human subjects. Human subjects may be, for instance, firefighters who participate in laboratory or field testing. As it would be standard practice for such research in the clinical sciences, all PI’s with studies involving human subjects must submit their protocols to their local IRB. IRB approval must precede any research activities involving human subjects.

In addition, DHS-funded research that involves human subjects carries with it an additional obligation that involves review and approval by the DHS Compliance 171 Page 26 of 58 FY 2019 FP&S NOFO Assurance Program Office (CAPO). The FEMA AFG/FP&S Grant Program Office will serve as liaison for gaining DHS approvals prior to proceeding with the human subjects aspect of the project.

If the project is non-clinical, such as a technology project that is primarily product development with an emphasis on engineering, it is possible that such a project may be exempt from CAPO review and approval. Such determination will be made by CAPO in cooperation with the FP&S Grant Program Office following award.

DHS/FEMA has a responsibility to ensure that mechanisms and procedures are in place to protect the safety of human subjects in DHS/FEMA supported research. DHS requirements are set forth in DHS Management Directive No. 026-04, Protection of Human Subjects, which adopts 45 C.F.R. Part 46, Subparts A-D. A grant recipient must agree to meet all DHS requirements for studies using human subjects (and ensure any subrecipients or subcontractors meet those requirements) prior to implementing any work with human subjects. Therefore, before enrolling participants or commencing research involving human subjects, a grant recipient will provide a copy of the following for review and approval by the DHS Compliance Assurance Program Office:

• Department of Health and Human Services (HHS) Federal-Wide Assurance (FWA) Number (NOTE: The CAPO will assist domestic or international institutions that do not currently have an FWA in submitting an application to HHS) • Documentation of review by an Institutional Review Board (IRB) registered with HHS, including IRB registration number, IRB name, and notice of IRB approval or exemption of the relevant research • IRB-approved research protocol, such as contained in the methods section • IRB-approved informed consent document (template) or IRB waiver of informed consent

Documentation should be submitted to the FP&S Grant Program Office which coordinates directly with the CAPO. The CAPO will conduct a regulatory compliance assessment and forward comments or concerns to the grant recipient. The recipient must address in writing all regulatory concerns to the satisfaction of the CAPO before a letter of certification is issued and participant enrollment can begin. However, development of tools (e.g., survey instruments), protocols, and data gathering approaches may proceed prior to project certification. The grant recipient must submit annual reports to the CAPO to include evidence of subsequent IRB reviews, amendments, or any changes of protocol.

F. Federal Award Administration Information

Notice of Award Once FEMA has approved and recorded an award in the system, FEMA GO sends an award package to the grant official authorized by the recipient. FEMA GO will provide the award package and email notification. The authorized grant official should follow the directions in the notification to accept the award documents. The authorized grant official should read the award package carefully for instructions on administering the 172 Page 27 of 58 FY 2019 FP&S NOFO grant, to determine whether there has been an adjustment to the award, and to become familiar with the terms, conditions and responsibilities of federal award recipients. The offered award will remain on hold and be available for a maximum of 30 days until the recipient either accepts or declines the award via FEMA GO online or unless FEMA grants additional time to accept the award. The recipient should follow the directions in the notification to confirm acceptance of the award. Failure to accept the grant award within 30 days of an offer of award may result in a loss of funds. Recipients may request additional time to accept the award if needed.

Differences Between Application Request and Award During the review process for a FP&S award, FEMA may have modified the application request(s). These modifications will be identified in the award package provided upon the offer of an award. If the awarded activities, scope of work, or requested dollar amount(s) do not match the application as submitted, the recipient shall only be responsible for completing the activities actually funded by FEMA. The recipient is under no obligation to start, modify, or complete any activities requested by but not funded by the award. The award package will identify any differences under the Approved scope of work section.

Turndown Notifications FEMA GO will provide all applicants who do not receive an FY 2019 FP&S award with a turndown notification. The notification email will briefly describe why FEMA did not recommend the application for funding. Due to the high volume of applications and turndowns, detailed debriefs for each applicant are not possible.

Administrative and National Policy Requirements All successful applicants for all DHS grant and cooperative agreements are required to comply with DHS Standard Terms and Conditions, which are available online at: https://www.dhs.gov/publication/fy15-dhs-standard-terms-and-conditions. The applicable DHS Standard Terms and Conditions will be those in effect at the time in which the award was made. Before accepting the award, the Authorized Organizational Representative (AOR) should carefully read the award package for instructions on administering the grant award and the terms and conditions associated with responsibilities under federal awards. Recipients must accept all conditions in this NOFO as well as any special terms and conditions in the Notice of Award to receive an award under this program. By submitting an application, applicants also are deemed to have accepted all of the conditions in this NOFO.

Research & Development Activity Awards The recipient agrees to participate in each two-day annual meeting that may take place during the period of performance and should include the primary staff involved with the grant (example: PI and one researcher). The award recipient also agrees to notify, and allow participation/attendance by AFG Program Office staff at key meetings involving grant activities.

For any publication that results from FEMA grant-supported research, the award recipient 173 Page 28 of 58 FY 2019 FP&S NOFO must include an acknowledgment of FEMA grant support. If the award recipient issues any press releases concerning the outcome of the funded research, FEMA must be notified in advance to allow for coordination.

Finally, the award recipient agrees to provide full public access to any peer reviewed scholarly publications directly arising from research funded by the Federal Government in whole or in part under this award. This shall be accomplished by the recipient providing FEMA the final published documents no later than twelve months after their initial publication for republication by FEMA, in keeping with FEMA’s rights under 2 C.F.R. §200.315(b).

Financial and Programmatic Reporting Recipients are required to submit various financial and programmatic reports as a condition of their award acceptance. Future awards and funds drawdown may be withheld if these reports are delinquent. Recipients should keep detailed records of all transactions involving the grant. FEMA may at any time request copies of purchasing documentation along with copies of cancelled checks for verification.

Federal Financial Reporting Requirements

Federal Financial Reports (SF-425) Recipients of FP&S Grants are required to submit semi-annual Federal Financial Reports (FFR) (SF-425). The FFR is to be submitted using FEMA GO online in the calendar year beginning with the period after the award is made. Grant recipients are required to submit an FFR throughout the entire period of performance of the grant. Reports are due • No later than July 30 (for period January 1 – June 30) • No later than January 30 (for period July 1 – December 31) • Within 90 days after the end of the Period of Performance The Federal Financial Reporting Form (FFR) SF-425 and instructions are available here: https://www.grants.gov/web/grants/forms/post-award-reporting- forms.html#sortby=1

Financial and Compliance Audit Report For fiscal years beginning on or after December 26, 2014, recipients that expend $750,000 or more from all federal funding sources during their fiscal year are required to submit an organization-wide financial and compliance audit report. The audit must be performed in accordance with the requirements of GAO’s Government Auditing Standards, located at http://www.gao.gov/govaud/ybk01.htm, and the requirements of Subpart F of 2 C.F.R. Part 200, located at http://www.ecfr.gov/cgi-bin/text- idx?SID=876f827f6fae2c4bce610e9427a6d229&node=sp2.1.200.f&rgn=div6.

Program Performance Reporting Requirements

The recipient is responsible for completing and submitting a programmatic 174 Page 29 of 58 FY 2019 FP&S NOFO Performance Report using FEMA GO. The programmatic Performance Report is due every six months after the grant’s award date, and thereafter until the period of performance ends.

The Performance Report should include the following:

• A brief narrative of overall project(s) status

• A summary of project expenditures

• A description of any potential issues that may affect project completion

• Other information specific to the Activities awarded.

Closeout Reporting Requirements Within 90 days after the end of the period of performance, recipients must submit a final SF-425 and final performance report within the closeout module in FEMA GO (R&D recipients provide a minimum of ten (10) pages in addition to the SF-425 that includes data, results and conclusions derived from the funded project throughout the period of performance). Additional instructions will be provided to the recipient prior to the end of the period of performance.

In addition, any recipient that issues subawards to any subrecipient is responsible for closing out those subawards as described in 2 C.F.R. § 200.343. Recipients must ensure that they complete the closeout of their subawards in time to submit all necessary documentation and information to DHS/FEMA during the closeout of their prime grant award.

After these reports have been reviewed and approved by FEMA, a close-out notice will be completed to close out the grant. The notice will indicate the period of performance as closed, list any remaining funds that will be de-obligated, and address the requirement of maintaining the grant records for a minimum of three years from the date of the final SF- 425. The recipient is responsible for returning any funds that have been drawn down but remain as unliquidated on recipient financial records. Information on how to return funds to FEMA is available at http://www.fema.gov/media-library/assets/documents/31261?id=7080.

Administrative Closeout Administrative closeout is a unilateral mechanism for FEMA to move forward with closeout of a grant award using available grant award information in lieu of final reports from the recipient. It is a last resort and recipients should always submit their final reports instead of relying on this mechanism. This mechanism can also require FEMA to make cash or cost adjustments and ineligible cost determinations based on the information it has, which may result in identifying a debt owed to FEMA by the recipient.

FEMA may use the administrative closeout process when a recipient is not responsive to 175 Page 30 of 58 FY 2019 FP&S NOFO FEMA’s reasonable efforts to collect required reports needed to complete the standard closeout process. FEMA will make three written attempts to collect required reports before initiating administrative closeout.

If FEMA administratively closes an award where no final FFR has been submitted, FEMA uses that administrative closeout date in lieu of the final FFR submission date as the start of the three-year record retention period under 2 C.F.R. § 200.333.

In addition, if an award is administratively closed, FEMA may decide to impose remedies for noncompliance per 2 C.F.R. § 200.338, consider this information in reviewing future award applications, or apply special conditions to existing or future awards.

Disclosing Information per 2 C.F.R. § 180.335 This reporting requirement pertains to disclosing information related to government- wide suspension and debarment requirements. Before a recipient enters into a grant award with FEMA, the recipient must notify FEMA if it knows if it or any of the recipient’s principals under the award fall under one or more of the four criteria listed at 2 C.F.R. § 180.335:

• Are presently excluded or disqualified; • Have been convicted within the preceding three years of any of the offenses listed in 2 C.F.R. § 180.800(a) or had a civil judgment rendered against it or any of the recipient’s principals for one of those offenses within that time period; • Are presently indicted for or otherwise criminally or civilly charged by a governmental entity (federal, state or local) with commission of any of the offenses listed in 2 C.F.R. § 180.800(a); or • Have had one or more public transactions (federal, state, or local) terminated within the preceding three years for cause or default.

At any time after accepting the award, if the recipient learns that it or any of its principals falls under one or more of the criteria listed at 2 C.F.R. § 180.335, the recipient must provide immediate written notice to FEMA in accordance with 2 C.F.R. § 180.350.

Monitoring Recipients will be monitored periodically by FEMA staff, both programmatically and financially, to ensure that the project goals, objectives, performance requirements, timelines, milestone completion, budgets, and other related program criteria are being met. Monitoring may be accomplished through either a desk-based review, onsite monitoring visits, or both. Monitoring will involve the review and analysis of the financial, programmatic, performance, compliance, and administrative processes and policies, activities, and other attributes of each federal assistance award and will identify areas where technical assistance, corrective actions, and other support may be needed.

The recipient is responsible for monitoring all subaward activities to ensure compliance with federal and state laws, regulations, and guidance. Responsibilities include the 176 Page 31 of 58 FY 2019 FP&S NOFO accounting of receipts and expenditures, cash management, maintaining of adequate financial records, reporting and refunding expenditures disallowed by audits, monitoring, or other assessments and reviews.

G. DHS Awarding Agency Contact Information and Resource Information

Resources are available to:

• Guide applicants in completing FP&S Grant Applications; and • Assist grant recipients with the programmatic or financial administration of an award.

AFG/FP&S Help Desk The AFG/FP&S Help Desk provides technical assistance to applicants for the online completion and submission of applications into FEMA GO, answers questions concerning applicant eligibility and grant recipient responsibilities, and offers assistance in the programmatic administration of awards. The AFG/FP&S Help Desk can be contacted at (866) 274-0960 or by email at [email protected]. Normal hours of operation are from 8:00 a.m. to 4:30 p.m., Monday through Friday. All times listed are Eastern Time.

FEMA GO System Information For technical assistance with FEMA GO, please contact the Enterprise Service Desk at (877) 611-4700. Regular hours of operation are also from 8 a.m. to 4:30 p.m. Eastern Time, Monday through Friday.

H. Additional Information

Extensions to the Grant Period of Performance Extensions to the period of performance under this grant program are allowed. An award’s period of performance must be active for a recipient to submit a proposed extension request to FEMA. Recipients should request extensions sparingly and only under exceptional circumstances, as failure to complete a project within the initial period of performance may impact future applications for funding. Approval is not guaranteed.

Extensions to the initial period of performance identified in the award will only be considered through formal requests, via FEMA GO, and must contain specific and compelling justifications as to why an extension is required.

All extension requests must contain:

1. Grant Program, Fiscal Year, and award number; 2. Reason for delay—this must include details of the legal, policy, or operational challenges being experienced that prevent the final outlay of awarded funds by the applicable deadline; 3. Current status of the activity/activities; 4. Approved period of performance termination date and new project completion date; 177 Page 32 of 58 FY 2019 FP&S NOFO 5. Amount of funds drawn down to date; 6. Remaining available funds, both federal and non-federal; 7. Budget outlining how remaining federal and non-federal funds will be expended; 8. Plan for completion, including milestones and timeframes for achieving each milestone and the position/person responsible for implementing the plan for completion; and 9. Certification that the activity/activities will be completed within the extended period of performance without any modification to the original Statement of Work approved by FEMA.

Requirements for Extension Consideration To be eligible for consideration, extension requests must be submitted via FEMA GO. Requests can be submitted no later than 60 days prior to the end of the award’s period of performance.

In accordance with FEMA policy, extensions are reviewed on a case-by-case basis, and typically are granted for no more than a six-month time period. Extension requests will be granted only due to compelling legal, policy, or operational challenges. The review process can take up to 30 days or longer. This review period should be factored into the timing of when to submit a request for an extension.

Example: Recipients may request an extension where a specific statute or regulation mandates an environmental review that cannot be completed within this timeframe; or where other exceptional circumstances warrant a brief extension.

178 Page 33 of 58 FY 2019 FP&S NOFO Appendix A – Application Updates Appendix A contains detailed information on changes between FY 2018 and FY 2019 to the FP&S Grant Program.

New for FY 2019 • Micro Grants are not available for 2019 • FY 2019 Applications will be submitted in FEMA GO. • Fire Departments and Interest Organizations scoring changes under Evaluation Criteria for Projects - Fire Prevention and Safety Activity • Wildfire Risk Reduction Programs are an eligible Category. • Wood Chipper Program is added to the list of eligible costs when part of a Wildfire Risk Reduction Program: o Contract services for fuel reduction or removal (community wood chipper), or o Renting wood chippers, and o Salary & benefits for employee for dedicated community wood chipper duties • Occupational Health is included as an R&D Special Emphasis Topic • Additions to the ineligible expenses list: o Entertainment: electronics, events, etc. o Props (except as required for educational programs) o Robotics o Demonstration tug boats o Inflatable houses o Dollar amount for giveaways (plastic fire helmets, stickers, plastic badges, etc.) is $2,500 for fire departments, and $5,000 for regional grants o Fire Safety Trailers allowed only as part of a regional project

179 Page 34 of 58 FY 2019 FP&S NOFO – Appendix A Appendix B – Programmatic Information and Priorities Appendix B contains more detailed information on FP&S Grant Program Information and Priorities. Reviewing this information may help applicants make their application(s) more competitive.

I. Application Instructions/Tips

IMPORTANT Once the application has been submitted, it cannot be changed. There is no appeal process for inaccurate or incomplete information retained by the system due to improper or multiple browser usage by the applicant.

The Authorized Organization Representative (AOR) that submitted the application will receive an automatic FEMA GO notification email once the system receives the application.

Application Notes • For the most competitive application, select those local need(s) that most closely align with one or more FP&S Grant Program priorities • When filling out the online application, applicants are required to provide basic demographic information regarding their department and the community served and must provide detailed information regarding the items or activities for which they are seeking funding. • If awarded, the application request(s) may be modified during the award review process; if the awarded activities, Scope of Work, or amount(s) do not match the application as submitted, the grant recipient shall only be responsible for completing the activities actually funded. The grant recipient is under no obligation to start, modify, or complete any activities requested, but not funded by this award. Please review the Award Package.

II. Funding Priorities

A. Activity Eligibility Overview

The following two activities are eligible under the FP&S Grant Program: • Fire Prevention & Safety (FP&S) Activity • Research & Development (R&D) Activity

B. Category Eligibility Overview

The following tables list the eligible categories under each activity:

180 Page 35 of 58 FY 2019 FP&S NOFO – Appendix B Eligible Project Categories for FP&S Activity • Community Risk Reduction • Code Enforcement/Awareness • Wildfire Risk Reduction • National/State/Regional Programs and Studies • Fire & Arson Investigation

Eligible Project Categories for R&D Activity • Clinical Studies • Database System Development • Technology and Product Development • Dissemination and Implementation Research • Preliminary Studies • Early Career Investigator

C. FP&S Activity Priorities

FEMA desires to provide flexibility to applicants to design innovative strategies and/or unique proposals that reach for a higher level of safety for the public with respect to fire and fire-related hazards. All proposals, as part of the vulnerability statement, will be evaluated on how well the applicant demonstrates the understanding of their actual community fire and safety risks. A community risk assessment should be used to document the “risk” as a basis for mitigation. If the applicant has evidence of a community risk, the application should be based on solving the problem that will reduce the risk. A risk analysis should be the foundation of the application. Risk assessments are eligible for funding; however, if selected as activity project, no other projects may be eligible for funding under the FP&S Activity in the 2019 FP&S Grant Application year.

FEMA encourages applicants designing fire prevention initiatives to utilize the “Fire is Everyone’s Fight™” campaign from the United States Fire Administration (USFA). This program uses a wide range of resources to communicate the importance of taking action to protect ourselves and the people we love from the dangers of fire. “Fire is Everyone’s Fight™” is designed to unite the fire service and many others in a collaborative effort to reduce home fire injuries, deaths, and property loss. It invites fire departments, safety advocates, community groups, schools, and others to rally behind a common and compelling theme. USFA and its partners will communicate and reinforce key lessons across many proven fire safety and prevention initiatives and programs. This initiative can be found at https://www.usfa.fema.gov/prevention/outreach/fief/

1. Comprehensive Fire and Life Safety Education Program A comprehensive education program goes beyond awareness of risk factors. It is based on a plan that contains elements designed to result in knowledge gain, application of knowledge, and, ultimately, behavior change based upon understanding and acceptance of new knowledge and skills. The 5-step planning process, as developed by the United States Fire Administration, is used for the design, implementation and evaluation of comprehensive education programs. Important steps in the process include risk analysis, community partners, intervention strategy, implementation and evaluation. An intervention strategy that incorporates multiple Es 181 Page 36 of 58 FY 2019 FP&S NOFO – Appendix B (Education, Engineering, and Enforcement) has the best chance of making a measurable difference.

Note: More information on the five-step planning process can be found at www.usfa.fema.gov in the document titled “Public Fire Education Planning, a Five-Step Process” https://www.usfa.fema.gov/downloads/pdf/publications/fa-219.pdf.

EXAMPLE People learn best when information is presented simply, repeated often, sustained over a period of time, and practiced. This is especially true when educating children about fire and life safety. A comprehensive education program using a fire safety trailer might look like this:

• Risk Analysis: The fire department uses local incident data to identify and prioritize the types of fires occurring in the community. The program planning team ensures appropriate educational messages are included to address the fire problems that are causing these incidents. They focus attention and resources in specific areas or neighborhoods where fire calls are most frequent. • Community Partners: The fire department reaches out to schools in the neighborhoods at highest risk of fire to schedule a safety trailer visit. They partner with classroom teachers, who work with the students ahead of time to prepare for the visit. The teacher introduces key fire safety concepts, along with vocabulary words the firefighters will use during the visit. • Intervention Strategy: The safety trailer is used as a hands-on tool for students to learn and practice what they know about fire safety. Lessons are tailored to the age and ability of the students. For example, the smoke feature is not used for a classroom of preschoolers, as this would frighten some of the children. • Implementation: The trailer visit is implemented as part of a three-part implementation strategy - before, during, and after. BEFORE the visit, teachers prepare students about what they will learn and do when the trailer visits their school. DURING the visit, firefighters explain key safety messages in simple terms and give students a chance to practice what to do. AFTER the visit, teachers talk with students about what they learned, and encourage them to test their smoke alarms and practice a home fire drill with their families. The teachers help identify families that do not have smoke alarms. When possible, the fire department follows up with these families to install smoke alarms in these homes and educate the parents and caregivers about fire safety. Use of multiple Es might be appropriate lessons (Education) combined with free smoke alarm installation (Engineering) according to code requirements (Enforcement). • Evaluation: With the teacher’s help, the fire department conducts a follow up session with the students in class to review lessons learned and gauge sustained knowledge. Additionally, with assistance from the school, the fire department may send home a parent survey to determine how many homes installed smoke alarms, tested smoke alarms, and practiced a family fire drill since the visit. The fire department would then compare current local incident data with the data collected during the risk analysis to determine the impact of the program.

182 Page 37 of 58 FY 2019 FP&S NOFO – Appendix B 2. Category Priorities and Eligible Projects a. Community Risk Reduction Category

Community Risk Reduction Category — Program Priorities

According to data available to FEMA and the USFA, working smoke alarms and residential sprinklers greatly reduce the risk of fire casualties for the nation’s residents. Therefore, under this category there are three distinct, but equal, priorities.

1. Smoke Alarm Installations: Priority will be given to programs that target a specific high-risk population to conduct both door-to-door smoke alarm installations and provide home safety inspections, as part of a comprehensive home fire safety campaign. The comprehensive home fire safety campaign must also include an educational program that is delivered to the occupant at the time of the installation and inspection.

Further, additional consideration will be given to applicants who incorporate supplies for deaf/hard-of-hearing alarm installations as part of their comprehensive installation and education effort (hardwiring of deaf/hard-of-hearing smoke alarms is eligible).

FEMA, through its FP&S Grants, promotes the use of smoke alarms that are powered by non-removable, long-life batteries, and are enclosed within a tamper-resistant housing.

Applicants who do not plan on using smoke alarms powered by non-removable, long- life batteries, and are enclosed within a tamper-resistant housing, must address the rationale for using alternatives.

2. Sprinkler Awareness: Priority will also be given to programs that include sprinkler awareness that affect the entire community in this effort, such as educating the public about sprinklers, promoting sprinklers, and demonstrating working models of sprinklers. Installation of sprinkler systems is only eligible if proposed as part of a sprinkler demonstration/educational effort.

3. Risk Assessments: Priority will also be given to community-appropriate comprehensive risk assessments and risk reduction planning. Wildland Urban Interface (WUI) risk assessment projects should be applied for under this category.

NOTE: Applications that request a risk assessment are precluded from applying for additional projects.

Community Risk Reduction — Examples of Other Eligible Projects

Smoke Alarms: Applicants who are unable Public Education: National or local to meet the above stated funding priority projects that promote the reduction of (door-to-door installations and home safety injury due to fire or other safety hazards inspections) for this category are still are eligible under this activity. Projects 183 Page 38 of 58 FY 2019 FP&S NOFO – Appendix B Community Risk Reduction — Examples of Other Eligible Projects eligible to apply for smoke alarms but will may include burn prevention, media/public not receive a priority rating. This includes relations campaigns, injury prevention, or projects that encompass educational other community risk reductions that could components that teach how smoke alarms be justified in the Narrative Statement. work to provide early warning in case of a Educational props (educational tools), fire, while promoting the installation of including fire extinguisher trainers, must be smoke alarms and/or inspections to assure part of a comprehensive and detailed public that previously installed smoke alarms are safety education campaign. Eligible items operational. Applicants who will not include escape planning, model homes, perform installation of the alarms should safety trailers (for regional applications discuss in their Narrative Statement the only) and curriculum delivery tools. methodology for ensuring that the alarms Projects that will deliver training to the will be properly installed. FEMA, through public in the area of automatic external its FP&S Grants, promotes the use of smoke defibrillators (AEDs), Cardio-Pulmonary alarms that are powered by non-removable, Resuscitation (CPR), or age-appropriate long-life batteries, and are enclosed within a fire extinguisher training will be tamper-resistant housing. Applicants who do considered. However, if the projects are for not plan on using smoke alarms powered by fire department operational staff, these non-removable, long-life batteries, and are projects should be requested under the enclosed within a tamper-resistant housing, Assistance to Firefighters Grant Program. must address the rationale for using alternatives.

Training: Local or regional projects to Juvenile Fire setter Projects: Projects that educate or train personnel in the area of are designed to mitigate the instances of public education are eligible under this fire set by children are eligible under this activity. activity. Projects may have treatment and intervention components. The intervention components should be age appropriate.

General Prevention/Awareness: Projects that include general prevention initiatives, including studies, lock-box installation, Carbon-Monoxide (CO) detectors, address markers, cooking range technologies, etc., will be eligible under this activity.

184 Page 39 of 58 FY 2019 FP&S NOFO – Appendix B b. Wildfire Risk Reduction

Wildfire Risk Reduction — Program Priority

Priority is given to Wildfire Risk Reduction Programs. Education and awareness programs that protect lives, property, and natural resources from fire in the Wildland Urban Interface (WUI) (not forestry), including Community Wildfire Protection Plans (CWPP) or programs supporting fire adapted community initiatives, should be applied for under this activity. Fuel reduction demonstrations, in a targeted location as part of an awareness and education effort, are considered. Education and awareness programs should apply to the entire community such as educating the public about fire-related WUI risks, promoting fuel reduction, and may include a community Wood Chipper Program and/or External Home Sprinkler Kits.

Note: Wildland Urban Interface (WUI) risk assessment projects should be applied for under the community Risk Reduction, Risk Assessment Category.

Wildfire Risk Reduction — Examples of Other Eligible Projects

External Home Sprinkler Kits— are only Wood Chipper Programs—are only eligible if eligible if proposed as part of a WUI proposed as part of a WUI education/awareness effort. education/awareness effort.

Wood Chipper Programs may include contract services for fuel reduction or removal (community wood chipper) or renting wood chippers plus salary and benefits for employees with dedicated community wood chipper duties. Wood Chippers may not be purchased through this grant program.

c. Code Enforcement/Awareness Category

Code Enforcement/Awareness Category — Program Priority

Priority is given to projects that focus on first time or reinstatement of code adoption and code enforcement, including Wildland Urban Interface (WUI) fire codes for communities with a WUI-wildfire risk. See the U.S. Fire Administration Wildland Urban Interface toolkit for additional information on WUI codes.

185 Page 40 of 58 FY 2019 FP&S NOFO – Appendix B Code Enforcement/Awareness — Examples of Other Eligible Projects

Assistance for the adoption or awareness of Promotion of code enforcement to improve building codes engineering and/or enacting fire-related ordinances for new construction

Support for conducting inspections (including personnel costs, equipment, code books, and/or training assistance) d. Fire & Arson Investigation Category

Fire & Arson Investigation Category — Program Priority

Priority will be given to projects that aim aggressively to investigate every fire.

Fire & Arson Investigation — Examples of Other Eligible Projects

Arson investigation trailers Arson investigation equipment (including Personal Protective Equipment (PPE))

Arson investigator training Arson-related surveillance equipment

Arson prevention training Personnel costs

Educational materials Media equipment e. National/State/Regional Programs and Studies Category National/State/Regional Programs and Studies — Program Priority

Priority is given to projects that focus on residential fire issues and/or firefighter safety and wellness by dissemination and implementation of programs, polices, or products from previous studies that used rigorous scientific methods to determine effectiveness or develop new projects that do not include a research component. Firefighter safety and wellness projects should aim to measurably change firefighter behavior and decision-making.

The following projects cannot be applied for under the National/State/Regional Programs and Studies Category: o Creation of new databases must be applied for under the Research & Development Activity. 186 Page 41 of 58 FY 2019 FP&S NOFO – Appendix B National/State/Regional Programs and Studies — Program Priority

o Research to determine effectiveness of programs, polices, or products should be applied for under the Research & Development Activity. o Studies or research requiring Institutional Review Board (IRB) review and or approval must be applied for under the Research & Development Activity. o Fire departments that wish to carry out internal, local, firefighter safety and wellness projects should apply under the Assistance to Firefighters Grant (AFG) Program.

3. Ineligible Projects and Items The following table describes the projects and items that are ineligible under the FP&S Activity: Ineligible Projects and Items for FP&S Activity • Educational props (i.e., tools that are • Fire suppression equipment, supplies, used in educational or awareness and vehicles demonstrations) that are not a part of a • Fire extinguishers comprehensive educational program, a • Firefighting training tools or equipment, planned educational effort, or lack personal protective equipment (PPE), description of these elements fitness equipment, or immunizations • Costumes and/or puppets that are not part (NOTE: PPE traditionally worn in fire of a comprehensive educational program. suppression may also be appropriate for • AED, CPR, or fire extinguisher training arson investigation when a risk for for operational staff reignition exists, and is allowable under • Fire hydrants/dry hydrants, supplies, the Arson Investigation Category if labor, and installation costs justified in the Narrative) • Weather/disaster notification devices • Installation of sprinkler systems that do (e.g., sirens) not include an educational/demonstration • Driver simulator training tools that are component not part of a state or national education • Suppression-related training including effort that leads to driver certifications Firefighter I, Firefighter II, wildland compliant to NFPA 1002 or its firefighting, training exercises, or drills equivalent for suppression or disasters activities • Sprinkler head caps • Communication equipment, including • Development of Administrative portable radios or computer-aided Documents (e.g., SOPs, manuals) dispatch (CAD) systems • Live animals • Community projects that include the use • Firearms of tot finder/child finder, seniors, or pet • Equipment that is considered finder decals entertainment as opposed to educational • Hydrant poles or markers tools that are part of a comprehensive • Fire-retardant house gel(s) program • Fire safety equipment (e.g., smoke • Fire extinguisher training for children alarms, carbon monoxide detectors, surge under 14 years old and adults over the protectors) that does not adhere to a fire age of 65 service recognized standard (e.g., non- UL, listed, ANSI fire safety equipment) 187 Page 42 of 58 FY 2019 FP&S NOFO – Appendix B Ineligible Projects and Items for FP&S Activity • Fire extinguisher training that is not part • Alarm system and alarm system of a comprehensive prevention/ installation education program • Equipment that has no intrinsic fire • Vehicles (not including tow vehicles, prevention or life safety education which are limited to $6,000 per application application) • Command Center Packages on fire safety • Dollar amount for giveaways (plastic fire trailers helmets, stickers, plastic badges, etc.) is • Prescribed burns $2,500 for fire departments, and $5,000 • Fuel reduction equipment for regional grants • Vegetation removal equipment • Inflatable bounce houses (this does not • Entertainment: electronics, events, etc. include houses with non-inflatable floors, • Props (except as required for educational commonly used in education programs) programs) • Unmanned Aerial Vehicles • Robotics • Fire Safety Trailers will only be eligible • Demonstration tug boats under regional projects • Other items or services that do not directly support the Fire Prevention & Safety Grant Program Objectives.

D. Research and Development (R&D) Activity Priorities

The goal of the R&D Activity is to reduce firefighter line-of-duty fatalities and injuries through research to improve firefighter safety, health, or wellness.

In November 2015, the National Fallen Firefighters’ Foundation (NFFF) hosted the third National Fire Service Research Agenda Symposium (RAS) to update the agenda with current priorities. A copy of the research agenda is available on the NFFF Website at http://www.everyonegoeshome.com/resources/research-symposium-reports/.

Projects that meet the intent of this research agenda with respect to firefighter health and safety, as identified by the NFFF working group, will be given consideration. However, the applicant is not limited to these specific projects. All proposed projects, regardless of whether they have been identified by this working group, will be evaluated.

1. R&D Activity Project Eligibility Information Applicants are strongly encouraged to seek partnerships with the fire service that will support the ongoing project efforts from design through dissemination and implementation. It would be appropriate for most applications to include one or more local or regional fire departments and one or more national level fire-related organizations.

Since the R&D Activity aims to improve the safety, health, or wellness of firefighters, having strong partnerships with the fire service is essential to the likely relevance and effectiveness of

188 Page 43 of 58 FY 2019 FP&S NOFO – Appendix B the project. Letters of commitment to actively participate in the project from the fire service are encouraged and may be inserted in the Appendix Section of the application for funding.

Cost effectiveness analysis is encouraged, in clinical, technology and product development, and dissemination and implementation research projects. The World Health Organization’s Guide to Cost-Effectiveness Analysis provides information on how to evaluate and utilize cost- effectiveness analysis.

Ultimately, the use of cost effectiveness results will be based on the overall study being successful and finding that firefighter safety, health or wellness was improved by the program, policy or product.

All proposed R&D Activities must address the potential for improvement in firefighter safety, health or wellness both in the short term and long term.

Proposed projects must address the potential for a successful research outcome to be implemented in the fire service and reduce firefighter fatalities or injuries.

The following are descriptions of six R&D Activity categories. These categories are not listed in order of importance. This is not intended to be an all-inclusive list of projects that will be considered. Applicants may also find the list of previously funded R&D projects on the AFG Website: https://www.fema.gov/firegrants.

a. Clinical Studies Category Clinical Studies The clinical studies R&D category include projects that address behavioral, social science, and cultural research as well as physiological and medical research activities.

Such studies must address the relevant aspects of reducing fatal and non-fatal injuries among firefighters and, where possible, have rigorous design that permits attribution of results to the intervention.

In addition to being relevant and rigorous, each study should target the appropriate level of investigation, based on the state of the science.

At the most basic level, the study might be foundational, investigating the underlying risk and protective factors associated with certain injury outcomes.

These may include the following: • Individual level characteristics • Departmental/organizational policies • Firefighters behavioral practices and norms • Environmental factors

Where evidence exists to progress to more applied research, the study should emphasize 189 Page 44 of 58 FY 2019 FP&S NOFO – Appendix B Clinical Studies intervention development and testing for effectiveness, including in the field setting. For instance, if certain tests in clinical care settings are known to identify those at risk for cardiovascular events, then the study may focus on modification of, if necessary, and implementation of such tests in fire service settings. To ensure study rigor, the study’s design would use a randomized control trial, with comparison to usual care. Inclusion of a cost- effectiveness analysis is strongly encouraged.

Where the effectiveness of an intervention has been established in the field setting, the final level of study aims to facilitate adoption of the research results in the fire service by conducting dissemination and implementation research. Such study may investigate the impact of strategies for widespread implementation with fidelity (see Dissemination and Implementation Research R&D category). b. Technology and Product Development Technology and Product Development The technology and product development category include projects that result in outcomes that can enhance safety of firefighter activities. Firefighter safety can be improved through greater understanding of fire phenomena inside and outside structures, and the development of products to enhance firefighter situational awareness and effectiveness. Projects can develop new technology or adapt existing products and technology to new uses.

Projects shall address the safety of firefighters for all types of fire incidents including residential, commercial, industrial, and wildland fires. Technology and product development projects can address fire and firefighting hazards by making use of technology transfer opportunities in which existing technologies can be adapted to enhance firefighter safety.

As the intention of the R&D Activity is to deliver outcomes that are likely to be implemented nationally by the fire service, inclusion of a cost-effectiveness analysis is encouraged.

Technology and product development projects need to assess the ultimate practicality of deployment and use of the results by firefighters during actual firefighting operations. In making a selection of local fire department and/or national fire service organization partners, consideration should be given to the capabilities of the partners to assist in the evaluation of the project outcomes. c. Database System Development Database System Development Database systems are used for the systematic collection of information that aims to determine the predictors and correlates for incidents pertaining to fatal and non-fatal injuries. The focus of the data collection may include but is not limited to: • Firefighter demographic and health factors (e.g., age, blood pressure) • Firefighter employment factors (e.g., shift, volunteer, training) 190 Page 45 of 58 FY 2019 FP&S NOFO – Appendix B Database System Development • Firefighter safety behaviors (e.g., seat belt use, hydration) • Firefighting equipment • Personal protective equipment (PPE) • Departmental/organizational safety policies and practices • Cultural or social norms regarding injury prevention practices • Community-based resources (e.g., hospitals, communication systems) • Environmental factors such as local building structures, types of building materials

Applications may, for instance, focus on the design and feasibility of a new database system, expand variables and/or data collection methods, seek to build upon an existing database system, or move from a local level database system to a broader state or regional level system.

Applicants proposing to interface with government databases must explain how the systems will interface or data exchange will occur. The narrative must also explain how this effort will not duplicate existing databases or previously funded efforts. d. Dissemination and Implementation Research Dissemination and Implementation Research Applications may propose dissemination and implementation research projects including the ways new programs, policies, or products, with credible evidence of effectiveness, are moved to nationwide adoption and use. Credible evidence of effectiveness is defined as positive results from systematic and rigorous study, and the absence of negative results or side effects.

For instance, this category may be used to apply to conduct a study for the dissemination and implementation of a result from a prior firefighter safety, health, or wellness R&D Activity, provided the project resulted in success as represented by publication in a peer review journal or other expert review of findings deemed appropriate by the grantor. e. Preliminary Studies Preliminary Studies Project ideas may require information, evidence, experimentation, and study in order to justify a larger and complete project that can impact firefighter safety, health or wellness. Preliminary studies of one-year duration may be proposed to obtain a sufficient amount of evidence to justify a future larger study. Preliminary studies, while narrower in scope, must have the same high levels of scientific rigor and relevance to the fire service as studies in other R&D categories. The successful completion of a preliminary study does not result in special priority for the larger follow-on proposal submitted in a subsequent application period. The level of funding requested should be appropriate to the limited goal and purpose of the preliminary effort.

191 Page 46 of 58 FY 2019 FP&S NOFO – Appendix B f. Early Career Investigator Early Career Investigator This project category is intended to promote the development of principal investigators engaged in research to improving firefighter safety, health and wellness. This category is reserved for projects led by a principal investigator who received a Ph.D. or equivalent advanced level research degree within five years of the opening date of the application period. Projects that are affiliated with larger ongoing fire service research efforts may be proposed. The applicant must be the sponsoring institution, as individuals are not eligible to receive an award under this program. All proposed projects must also have a fire service partner. As noted earlier, these projects are limited to a maximum $75,000 federal share per project year.

2. Special Emphasis Topics

The following topics will receive additional consideration during the review process:

Special Emphasis Topic #1. Behavioral Health To address firefighters' concerns with post-traumatic stress, depression, suicide, and related issues, and because resiliency intervention studies have demonstrated effectiveness with firefighters and other first responders, the AFG Program Office encourages proposals for behavioral health projects that use a dissemination and implementation research approach so that evidence-based resiliency programs will be more readily adopted, implemented with fidelity, and sustained.

Special Emphasis Topic #2. Occupational Health In the course of responding to fire and other emergencies, firefighters routinely work in an environment where they are exposed to chemical and physical hazards. Initial research shows that these exposures are linked with disease outcomes in areas of cancer, cardiovascular and reproductive health. Proposals are encouraged to understand contributions of biological, genetic, physiological, behavioral, psychological and sociological factors; to develop and test interventions, procedures and products for efficacy and effectiveness; and to conduct dissemination and implementation research that will consider how best to adopt evidence-based standards and practices. Priority is given to studies that include under-researched populations, those with higher risks, and those with unique exposures.

Special Emphasis Topic #3. Wildland and WUI In recent years, there has been an increase in the frequency of large, uncontrollable wildland fires including those that impact communities in the wildland-urban interface (WUI). The physical demands and fire environment, as well as the tactics and equipment associated with wildland fire fighting differ from structural firefighting. Research directed at mitigating the safety and health hazards associated with wildland fire fighting is encouraged. Firefighter safety, health and wellness research issues includes vehicle crashes, acute exposures, respiratory protection, personal protective equipment requirements, communications, physical fitness, and wildland fire incident modeling. Proposals are encouraged to improve wildland firefighter safety, health and wellness through applicable technology and product development; behavioral, clinical and social 192 Page 47 of 58 FY 2019 FP&S NOFO – Appendix B research; and dissemination and implementation research.

3. Ineligible Projects and Items

The following tables describe projects and items that are ineligible under R&D.

Ineligible Projects and Items for R&D Activity • Projects that focus primarily on • Projects that emphasize funding for curriculum development and delivery of service delivery education or training materials • Applications that include violations of • A descriptive study about the fire service intellectual property or any study without reduced firefighter injury or enhanced firefighter safety aims • Projects with local emphasis and little or no indication of application to the broader fire service

193 Page 48 of 58 FY 2019 FP&S NOFO – Appendix B Appendix C – Award Administration Information Appendix C contains more detailed information on FP&S Award Administration. Reviewing this information may help grant recipients in the programmatic and financial administration of their award(s).

Help FEMA Prevent Fraud, Waste, and Abuse If applicants or recipients have information about instances of fraud, waste, abuse, or mismanagement involving FEMA programs or operations, they should contact the DHS OIG Hotline at (800) 323-8603, by fax at (202) 254-4297, or email [email protected].

I. Economic Hardship Waivers of Cost Share and Maintenance of Effort Requirements for the Fire Prevention & Safety (FP&S) Grant Program under the AFG Program

In cases of demonstrated economic hardship, and upon the request of the recipient, the Administrator may waive or reduce an AFG cost share or maintenance of effort requirement for certain recipients. (15 U.S.C. § 2229(k)(4)(A)). As required by statute, the Administrator of FEMA is required to establish guidelines for determining what constitutes economic hardship. FEMA has issued Information Bulletin No. 427, Economic Hardship Waivers: AFG Grant Program, FP&S Grant Program, and SAFER Grant Program. FP&S applicants for FY 2019 must indicate at the time of application whether they are requesting a waiver and whether the waiver is for the cost share requirement, for the maintenance of effort requirement, or both.

II. Grant Writer/Preparation Fees

Fees for grant writers may be included as a pre-award expenditure. Grant writer fees that are contingent on a successful application are not an eligible expense. For grant writer fees to be eligible as a pre-award expenditure, the fees must be specifically identified and listed in the Request Details section of the application. FP&S only will consider reimbursements for application preparation, not administration, up to but not more than $1,500. As permitted under 2 C.F.R. Part 180, grant recipients may not use federal grant funds to reimburse any entity, including a grant writer or preparer, if that entity is a suspended or debarred party, and the suspension or debarment occurred prior to the time in which the grant recipient contracted with the contractor. Grant recipients must verify that the contractor is not suspended or debarred from participating in specified federal procurement or non- procurement transactions as permitted under 2 C.F.R. § 180.300.

By submitting the application, applicants are certifying all of the information contained therein is true and an accurate reflection of the organization, and that regardless of the applicant’s intent, the submission of information that is false or misleading may result in actions by FEMA. These actions include but are not limited to the submitted application not being considered for award, temporary withholding of funding under the existing award pending investigation, or referral to the DHS Office of the Inspector General. 194 Page 49 of 58 FY 2019 FP&S NOFO – Appendix C

Prior to submission of the application, please review all work produced by grant writers or other third parties for accuracy. In addition, in order to charge grant writer fees to the grant award, the fees must have been paid no later than 30 days after the end of the application period. The following documentation shall be provided to FEMA upon request: i. A copy of the grant writer’s contract for services ii. A copy of the invoice or purchase order iii. A copy of the canceled check (front and back)

Failure to provide the requested documentation may result in the grant writer fee being deemed ineligible and the grant reduced accordingly.

NOTE: FEMA requires that all applicants identify any individual or organization that assisted with the development, preparation, or review of the application to include drafting or writing the narrative and budget, whether that person, entity, or agent is compensated or not and whether the assistance took place prior to submitting the application.

III. Maintenance and Sustainment for FP&S Grant Program

The use of FEMA preparedness grant funds for the costs of repairs or replacement, as well as maintenance contracts, warranties, and user fees may be allowable.

The intent of eligible Maintenance and Sustainment activities is to provide direct support to the critical capabilities developed using FEMA and other DHS grants and support activities. Routine upkeep and the supplies, expendables, or one-time use items that support routine upkeep (e.g., gasoline, tire replacement, routine oil changes, monthly inspections, or grounds and facility maintenance) are the responsibility of the recipient and may not be funded with FP&S funding.

Generally, when purchasing a maintenance agreement, service contract, or extended warranty for systems or equipment, the period of coverage provided under such a plan may not extend beyond the period of performance of the grant with which the agreement, warranty, or contract is purchased.

The duration of an extended warranty purchased incidental to the original purchase of the equipment may exceed the period of performance as long as the coverage purchased is consistent with that which is typically provided for, or available through, these types of agreements, warranties, or contracts. When purchasing a stand-alone warranty or extending an existing maintenance contract on an already-owned piece of equipment or system, coverage purchased may not exceed the period of performance of the award used to purchase the maintenance agreement or warranty. As with warranties and maintenance agreements, this policy extends to licenses and user fees as well.

Even if purchased incidental to the original purchase of the equipment, the duration of an extended maintenance agreement or warranty must also be reasonable for the type of equipment or system being purchased. For example, if a vendor offers a 10-year extended 195 Page 50 of 58 FY 2019 FP&S NOFO – Appendix C warranty incidental to the purchase of a piece of equipment, but the useful life of that equipment being purchased is five years, the purchase of a 10-year extended warranty would not be a reasonable cost and may not be charged to the grant.

IV. Taxes, Fees, Levies, and Assessments

Taxes, fees, levies, or assessments that the recipient is legally required to pay and is directly related to an eligible FP&S Grant program acquisition activity may be charged to an FP&S award as permitted under 2 C.F.R. § 200.470. These charges shall be identified and enumerated in the FP&S application’s Narrative and the Request Details section of the acquisition activity.

Any avoidable and unreasonable costs that result from the action or inaction of a recipient (or recipient’s agent), or that prevent that recipient from enjoying any lawful exemption, waiver, or reduction of any tax, fee, levy, or assessment directly related to any eligible FP&S Grant Program acquisition activity, are not chargeable to any FP&S award.

Example: Governmental entities and Public Safety Agencies are exempt from some Federal Communications Commission (FCC) fees, but only if the eligible organization submits an exemption or waiver request to the FCC.

Government entities are not required to pay FCC regulatory fees. Non-profit entities (exempt under Section 501 of the Internal Revenue Code) also may be exempt. The FCC requires that any entity claiming exempt status submit, or have on file with the FCC, a valid IRS Determination Letter documenting its nonprofit status or certification from a governmental authority attesting to its exempt status. For more information, please visit http://www.fcc.gov/.

V. Subscription, Access, Membership, or User Fees

No subscription, access, membership, termination of services, or user fees, are chargeable to any FP&S Award.

VI. Vehicle Costs

Tow vehicles may be eligible as a transportation expense if adequately justified in the proposal. Tow vehicle costs are limited to $6,000 per application.

Otherwise, vehicles are not eligible for funding.

VII. Excess Funds

After completing the initial projects proposed in the recipient's application, some recipients may have unexpended funds remaining in their budget. These excess funds may result from any combination of under-budget acquisition activities or competitive procurement processes. 196 Page 51 of 58 FY 2019 FP&S NOFO – Appendix C

These cost shared excess funds may be utilized to enhance or continue the approved project(s). FEMA expects excess funds to be obligated concurrent with an award’s period of performance to address a known or critical need related to the awarded project(s). Approval of excess funds does not justify an extension to the period of performance.

VIII. Procurement Integrity

Through audits conducted by DHS Office of Inspector General (OIG) and FEMA grant monitoring, findings have shown that some FEMA recipients have not fully adhered to the proper procurement requirements when spending grant funds. Anything less than full compliance with federal procurement policies jeopardizes the integrity of the grant as well as the grant program. Noncompliance with the federal procurement rules may result in FEMA imposing specific conditions as described in 2 C.F.R. § 200.207 or other remedies for noncompliance under 2 C.F.R. § 200.338.

The below highlights the federal procurement requirements for FEMA recipients when procuring goods and services with federal grant funds. DHS will include a review of recipients’ procurement practices as part of the normal monitoring activities. All procurement activity must be conducted in accordance with federal procurement standards at 2 C.F.R. §§ 200.317 – 200.326. Select requirements under these standards are listed below. The recipient must comply with all requirements, even if they are not listed below.

Under 2 C.F.R. § 200.317, when procuring property and services under a federal award, states must follow the same policies and procedures they use for procurements from their non-federal funds; additionally, states must follow 2 C.F.R. § 200.322 regarding procurement of recovered materials, and 2 C.F.R. § 200.326 regarding required contract provisions.

All other non-federal entities, such as tribes, must use their own documented procurement procedures which reflect applicable state, local, tribal and territorial regulations, provided that the procurements conform to applicable federal law and the standards identified in 2 C.F.R. Part 200. These standards include, but are not limited to, providing for full and open competition consistent with the standards of 2 C.F.R. § 200.319.

Competition and Conflicts of Interest Among the requirements of 2 C.F.R. § 200.319(a) applicable to all non-federal entities other than states, in order to ensure objective contractor performance and eliminate unfair competitive advantage, contractors that develop or draft specifications, requirements, statements of work, or invitations for bids or requests for proposals must be excluded from competing for such procurements. FEMA considers this an organizational conflict of interest and interprets this restriction as applying to contractors that help a recipient develop its grant application, project plans, or project budget. This prohibition also applies to the use of former employees to manage the grant or carry out a contract when such former employees worked on such activities while they were employees of the non-federal entity. 197 Page 52 of 58 FY 2019 FP&S NOFO – Appendix C

Under this prohibition, unless the non-federal entity solicits for and awards a contract covering both development and execution of specifications (or similar elements as described above), and this contract was procured in compliance with 2 C.F.R. §§ 200.317 – 200.326, federal funds and funds applied to the award’s cost share cannot be used to pay a contractor to carry out the work if that contractor also worked on the development of such specifications. This rule applies to all contracts funded with federal grant funds, including pre-award costs, such as grant writer fees, as well as post-award costs, such as grant management fees. For more information on grant writer and grant management costs, see Appendix C – Award Administration information, Section II. Grant Writer/Preparation Fees.

Additionally, some of the situations considered to be restrictive of competition include, but are not limited to: • Placing unreasonable requirements on firms in order for them to qualify to do business. • Requiring unnecessary experience and excessive bonding. • Noncompetitive pricing practices between firms or between affiliated companies. • Noncompetitive contracts to consultants that are on retainer contracts. • Organizational conflicts of interest. • Specifying only a “brand name” product instead of allowing “an equal” product to be offered and describing the performance or other relevant requirements of the procurement. • Any arbitrary action in the procurement process.

Pursuant to 2 C.F.R. § 200.319(b), non-federal entities other than states must conduct procurements in a manner that prohibits the use of statutorily or administratively imposed state, local, tribal or territorial geographical preferences in the evaluation of bids or proposals, except in those cases where applicable federal statutes expressly mandate or encourage geographic preference. Nothing in this section preempts state licensing laws. When contracting for architectural and engineering services, geographic location may be a selection criterion provided its application leaves an appropriate number of qualified firms, given the nature and size of the project, to compete for the contract.

Pursuant to 2 C.F.R. § 200.318(c)(1), non-federal entities other than states are required to maintain written standards of conduct covering conflicts of interest and governing the actions of their employees engaged in the selection, award, and administration of contracts. No employee, officer, or agent may participate in the selection, award, or administration of a contract supported by a federal award if he or she has a real or apparent conflict of interest. Such conflicts of interest would arise when the employee, officer or agent, any member of his or her immediate family, his or her partner, or an organization which employs or is about to employ any of the parties indicated herein, has a financial or other interest in or a tangible personal benefit from a firm considered for a contract.

The officers, employees, and agents of the non-federal entity may neither solicit nor accept gratuities, favors, or anything of monetary value from contractors or parties to subcontracts. However, non-federal entities may set standards for situations in which the financial interest 198 Page 53 of 58 FY 2019 FP&S NOFO – Appendix C is not substantial, or the gift is an unsolicited item of nominal value. The standards of conduct must provide for disciplinary actions to be applied for violations of such standards by officers, employees, or agents of the non-federal entity.

If the recipient or subrecipient (other than states) has a parent, affiliate, or subsidiary organization that is not a state, local, tribal or territorial government the non-federal entity must also maintain written standards of conduct covering organizational conflicts of interest. In this context, organizational conflict of interest means that because of a relationship with a parent company, affiliate or subsidiary organization, the non-federal entity is unable or appears to be unable to be impartial in conducting a procurement action involving a related organization. The non-federal entity must disclose in writing any potential conflicts of interest to FEMA or the pass-through entity in accordance with applicable FEMA policy.

Supply Schedules Generally, a non-federal entity may seek to procure goods or services from a federal supply schedule, state supply schedule, or group purchasing agreement. State and local governments may procure goods and services from a General Services Administration (GSA) schedule. Information about GSA programs for state and local governments can be found at https://www.gsa.gov/resources-for/programs-for-state-and-local-governments. For local governments that purchase off a GSA schedule, this will satisfy the federal requirements for full and open competition provided that the recipient follows the GSA ordering procedures; however, local governments will still need to follow the other rules under 2 C.F.R. §§ 200.317 – 200.326, such as contract cost and price (§ 200.323) and solicitation of minority, women-owned, or small businesses (§ 200.321).

For non-federal entities other than states, such as tribes, that want to procure goods or services from a state supply schedule, cooperative purchasing program, or other similar program, in order for such procurements by to be permissible, the following must be true: • The procurement of the original contract or purchasing schedule and its use by the recipient complies with state and local law, regulations, and written procurement procedures. • The state or other entity that originally procured the original contract or purchasing schedule entered into the contract or schedule with the express purpose of making it available to the recipient and other similar types of entities. • The contract or purchasing schedule specifically allows for such use, and the work to be performed for the non-federal entity falls within the scope of work under the contract as to type, amount, and geography. • The procurement of the original contract or purchasing schedule complied with all of the procurement standards applicable to non-federal entities other than states under at 2 C.F.R. §§ 200.317 – 200.326. • With respect to the use of a purchasing schedule, the recipient must follow ordering procedures that adhere to state and local laws and regulations and the minimum requirements of full and open competition under 2 C.F.R. Part 200.

If a non-federal entity other than a state seeks to use such a state supply schedule, cooperative purchasing program, or other similar type of arrangement, it is recommended 199 Page 54 of 58 FY 2019 FP&S NOFO – Appendix C that recipients discuss their procurement plans with the FEMA Grant Programs Directorate.

Documentation Non-federal entities are required to maintain and retain the following: • Backup documentation, such as bids and quotes. • Cost/price analyses on file for review by federal personnel, if applicable. • Other documents required by federal regulations applicable at the time a grant is awarded to a recipient.

FEMA requires that non-federal entities maintain the following documentation for federally funded purchases: • Specifications • Solicitations • Competitive quotes or proposals • Basis for selection decisions • Purchase orders • Contracts • Invoices • Canceled checks

Non-federal entities should keep detailed records of all transactions involving the grant. FEMA may at any time request copies of purchasing documentation along with copies of cancelled checks for verification. See, e.g., 2 C.F.R. §§ 200.318(i), 200.333, 200.336.

Non-federal entities who fail to fully document all purchases will find their expenditures questioned and subsequently disallowed.

Pursuant to FEMA’s discretion under 2 C.F.R. § 200.313(a)(2), recipients may not encumber equipment procured with FP&S funding.

IX. Payments and Amendments

Payments FP&S Payment/Drawdown Requests are generated using FEMA GO.

FP&S Payment/Drawdown Requests from the recipient will be governed by applicable federal regulations, including at 2 C.F.R. § 200.305.

Recipients should not expend funds or request drawdowns until all special conditions listed on the grant award document have been met and request for payment in FEMA GO has been approved.

Recipients should draw down funds based upon immediate disbursement requirements; however, FEMA strongly encourages recipients to draw down funds as close to disbursement or expenditure as possible to avoid accruing interest.

200 Page 55 of 58 FY 2019 FP&S NOFO – Appendix C When submitting payment requests, the grant recipient must identify the budget line item with which the reimbursements are associated. This detail should be entered in the Reason for Request section.

Advances Recipients shall be paid in advance, provided they maintain or demonstrate the willingness and ability to maintain procedures to minimize the time elapsing between the transfer of the funds and their disbursement by the recipient, and financial management systems that meet the standards for fund control and accountability as established in 2 C.F.R. Part 200.

Although advance drawdown requests are permissible, recipients remain subject to applicable federal law in effect at the time a grant is awarded to the recipient. Governing interest requirements include the Uniform Administrative Requirements Cost Principles, and Audit Requirements for Federal Awards at 2 C.F.R. Part 200 and the Cash Management Improvement Act (CMIA) and its implementing regulations at 31 C.F.R. Part 205. Interest under CMIA will accrue from the time federal funds are credited to a recipient’s account until the time the recipient pays out the funds for program purposes.

Recipients must follow applicable federal regulations governing interest earned on payment advances in effect at the time a grant is awarded to the recipient, including 2 C.F.R. § 200.305.

Reimbursement Reimbursement of the recipient is the preferred method of payment under the grant award when the requirements to be paid in advance, per 2 C.F.R. § 200.305, cannot be met. In accordance with U.S. Department of Treasury regulations at 31 C.F.R. Part 205, if applicable, the recipient shall maintain procedures to minimize the time elapsing between the transfer of funds and the disbursement of said funds.

Program Income, Rebates, and Other Revenue Recipients shall disburse program income, rebates, refunds, contract settlements, audit recoveries, and interest earned on such funds before requesting additional cash payments, in accordance with applicable federal regulations at 2 C.F.R. Part 200.

The reduction of federal financial participation via rebates/refunds may generate excess funds for the recipient, if the recipient had already obligated its cost share match based upon the original award figures.

If the recipient had already obligated its original cost share prior to the rebate, then the recipient may have minimum excess funds equal to the difference between the original cost share less the rebate adjusted cost share.

Payment Requests During Closeout For 90 days after the expiration of the period of performance, during an award’s closeout reconciliation, a recipient may only submit reimbursement payment requests.

201 Page 56 of 58 FY 2019 FP&S NOFO – Appendix C Reimbursement payment requests shall only be for obligations that were obligated and received within the active period of performance of the award. The recipient’s request should contain clear and specific information certifying that the liquidation of federal funds is reimbursement for an obligation properly incurred during the active period of performance; FEMA may request documentation supporting the reimbursement for review.

Amendments FP&S Award amendments may be approved, on a case-by-case basis, for the following reasons: • Extension of the period of performance in order to complete the scope of work. Extension amendments must be requested at least 60 days from the end of the grant’s period of performance. • Changes to the activity, mission, retroactive approval [pre-award], closeout issues, some excess funds requests. These scope of work amendments are not allowable in the final 3 months of the grant’s period of performance. • Budget changes (adding funds to award/non-closeout de-obligation of funds). • Other changes to the awarded grant may also require specific amendments. Please contact your assigned Program Analyst for assistance in determining if an amendment is required.

Amendments will only be considered when submitted via FEMA GO online. These requests must contain specific and compelling justifications for the requested change.

The FEMA Grant Programs Directorate strongly encourages the timely expenditure of grant funds by recipients to be consistent with the goals and objectives outlined in the FP&S Grant Program.

NOTE: A recipient may de-obligate (return) unused funds (those remaining funds drawn down via payment request and/or remaining award funding that was never requested) to FEMA prior to the end of an award’s Period of Performance, or at closeout. To exercise this option prior to closeout, a recipient must submit an amendment via FEMA GO and state in its amendment that the unliquidated funds (funds to be returned) are not necessary for the fulfillment or success of the grant’s obligations or mission. The recipient must also indicate that it understands that the returned funds will be de-obligated and unavailable for any future award expenses.

De-obligation of funds will decrease the federal portion of the grant and the amount of the recipient’s cost share obligation. FEMA will confirm de-obligation amendments with all points of contact; after confirmation of the recipient’s intent to de-obligate, FEMA will hold the approved de-obligation request for 14 calendar days as a period for recipient reconsideration before processing the de-obligation request.

202 Page 57 of 58 FY 2019 FP&S NOFO – Appendix C X. Disposition of Grant Funded Equipment

A recipient must use, manage and dispose of FP&S-funded equipment in accordance with the Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards at 2 C.F.R. § 200.313. With the exception of state governments, when original or replacement equipment acquired under an FP&S award is no longer needed for the original project or program or for other activities currently or previously supported by a federal awarding agency, the recipient must request disposition instructions from FEMA. A state government recipient must dispose of equipment acquired under a federal award in accordance with state laws and procedures. The AFG Program Office strongly recommends contacting a Fire Program Specialist or the AFG Help Desk prior to the disposition of FP&S- funded equipment, including vehicles.

203 Page 58 of 58 FY 2019 FP&S NOFO – Appendix C