FP49134_ASU-MCSO_IGA COSTREIMB_12.10.25_2.25.26_FINAL.PDF
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Page 1 SUBRECIPIENT AGREEMENT Between Maricopa County Sheriff’s Office And Arizona State University THIS SUBRECIPIENT AGREEMENT (“Agreement”) is made and entered into by and between: Maricopa County, a political subdivision of the State of Arizona, on behalf of the Maricopa County Sheriff’s office (“MCSO”), and the Arizona Board of Regents for and on behalf of Arizona State University (ASU) (“Subrecipient”), an institution of higher learning established by the laws of the State of Arizona, having a place of business at Skysong, Suite 200, 1475 N. Scottsdale Road, Bldg. 1, Scottsdale, AZ 85257-3538. MCSO and Subrecipient may be individually referred to in this Agreement as “Party” or collectively as “Parties.” WHEREAS, MCSO is the recipient of the referenced award from the State of Arizona Department of Public Safety (AZDPS) (Prime Award reference #2025-294) for support of a sponsored research project to reduce human trafficking within the state through cooperative efforts of the parties to this agreement. WHEREAS, MCSO desires to fund research to be performed by Subrecipient, as described in the table on page two (2) of Exhibit A (the “Project”), and Subrecipient desires to conduct such work, the Project contemplated by this Agreement is of mutual interest to MCSO and Subrecipient and furthers the educational, scholarship and research objectives of Subrecipient as a tax-exempt, educational institution; WHEREAS, the Parties are authorized to enter into this Agreement pursuant to Arizona Revised Statutes (“A.R.S.”) § 11-952 and other statutes. NOW, THEREFORE, in reliance on the commitments and obligations set forth herein, and with the intention of being legally bound hereby, the Parties agree as follows: EFFECTIVE DATE. This Agreement is entered as of the date of the last signature below and is effective as of July 1, 2025 (“Effective Date”). SCOPE OF WORK. Subrecipient will use reasonable efforts to perform the services and provide deliverables or other items specified in Exhibit A. KEY PERSONNEL. Subrecipient will provide Dr. Dominque Roe-Sepowitz, as Principal Investigator (“PI”) for work contemplated and performed under this Agreement. PERIOD OF PERFORMANCE. The Period of Performance for this Agreement will begin on July 1, 2025 and will terminate on June 30, 2026. Any extensions to the Prime Award (#2025-294) beyond June 30, 2026, approved by AZPDS will automatically apply to this agreement. Subrecipient is authorized to begin work and incur allowable costs in performance of such work as of July 1, 2025. Page 2 PRIME AWARD. This Agreement is subject to the terms and conditions of the MCSO’s Prime Award with AZDPS (2025-294) and other Special Terms and Conditions as specified in Exhibit B. FINANCING AND FISCAL RESPONSIBILITY. Under the state of Arizona Department of Public Safety (“AZDPS”) grant #2025-294, MCSO shall provide up to $353,072.50 to Subrecipient under this Agreement. Payment to Subrecipient will be on a cost reimbursement basis. Subrecipient may use the funds provided under this Agreement only as provided in the approved budget and award documentation. If Subrecipient completes its obligations at a cost lower than the budgeted cost, the amount reimbursed to Subrecipient will be only the amount actually spent by Subrecipient in accordance with the approved budget. For any expenditure disallowed by MCSO, or the State, Subrecipient will promptly reimburse such funds to MCSO. REPORTING REQUIREMENTS. Subrecipient must submit quarterly Programmatic Reports and Financial Summary Reports to MCSO as follows: Qtr. 1: October 5 (for the period from July 1 - September 30) Qtr. 2: January 5 (for the period from October 1- December 31) Qtr. 3: April 5 (for the period from January 1 - March 31) Qtr. 4: July 5 (for the period from April 1 - June 30) Subrecipient must use the Quarterly Programmatic Report and Financial Summary Report forms provided for these reports. In the Programmatic Report, the Subrecipient must provide detailed Information, providing a progress report of all Fund activities and metrics by the jurisdiction during the reporting period. Failure to adequately provide such information will result in the Quarterly Programmatic Report being rejected by MCSO and resubmission will be required. In the Financial Summary Report, the Subrecipient must provide an accurate and detailed expenditure report with backup documentation. Backup documentation would include, but not be limited to: Salaries/wages: Detailed expenditure report from the unique award account established by Subrecipient for this Agreement Documentation of Subrecipient personnel costs as maintained in Workday Other Direct Costs: Detailed expenditure report from the unique award account established by Subrecipient for this Agreement Warrant register, approved invoice, purchase order for expenditure A procurement card statement showing the expenditure can be substituted for a warrant register Final Quarterly Programmatic Report and Financial Summary Report: The final quarterly programmatic report and financial summary reports are due no more than 20 calendar days after the end of the performance period. Subrecipient may submit a final quarterly report prior to the end of the performance period if the scope of the project has been fully completed and implemented. The report should be marked as “final”. The Property Control Form is due with the final quarterly report (if applicable). Page 3 REIMBURSEMENTS. Subrecipient will provide MCSO with requests for reimbursement quarterly following the Report schedule; submissions must be made via email/electronic means. Requests for reimbursement provided AFTER the report schedule date, may not get included in the reimbursement request to AZDPS. This would result in a delay until the next quarterly submission date. If monthly requests for reimbursement are submitted, these will be held until the quarterly request for reimbursement date provided by AZDPS. Reimbursement requests shall be submitted with the Reimbursement Form provided by MCSO staff. MCSO has the right to require Subrecipient to provide any documentation and/or information MCSO reasonably deems necessary to process submissions. Reimbursement requests are only required when expenses have been incurred. The Subrecipient shall submit a final reimbursement request, marked as such, for expenses incurred and invoiced prior to the end of the period of performance. The final reimbursement request must be received by MCSO no more than 20 calendar days after the end of the period of performance. Requests for reimbursement received by MCSO later than 20 calendar days after the end of the period of performance may not be paid. Subrecipients will only be reimbursed for expenses that have been obligated, expended and received within the authorized Period of Performance. Subrecipients are not authorized to obligate or expend funds prior to the start date of the Period of Performance. Any expenses obligated or expended prior to the Period of Performance start date will be deemed unallowable and will not be reimbursed. Any expenses/services that occur beyond the Period of Performance (e.g. cell phone service) will be deemed unallowable and will not be reimbursed. COMPENSATION. Compensation will be on a cost reimbursable basis. MCSO will reimburse Subrecipient an amount up to $353,072.50 for Subrecipient’s services hereunder. MCSO is subject to the preceding reimbursement conditions for payments to Subrecipient. The contract price due under this Agreement will be paid upon receipt of invoices from Subrecipient issued quarterly for the duration of the period of performance up to the contract value. Invoices are due and payable within 30 days of receipt of payment from AZDPS. In the event of non-payment, Subrecipient may terminate all further work on the Project and seek full payment from MCSO for all work performed and all expenses incurred including allocable costs, pursuant to the termination clause of this Agreement. If it becomes necessary for Subrecipient to commence collection proceedings or retain an attorney to enforce any of the terms of this Agreement, the MCSO will pay the attorneys’ fees and the costs of collection incurred by Subrecipient. Subrecipient invoices will be submitted to MCSO at the address provided in Notices provision. Questions regarding payment will be directed to the person who issued the invoice or to cashmanagement@asu.edu. Subrecipient remittance address and wire transmittal information will be presented on invoices. To ensure prompt processing Subrecipient requests remittances reference “MCSO Award Number” and “Principal Investigator” as identified on invoice. Page 4 PROCUREMENT. Subrecipient will comply with its procurement rules/policies. All entities/agencies/vendors/contractors shall be checked for suspension and disbarment prior to purchasing services or entering into a contract. Use of suspended or disbarred vendors/contractors is strictly prohibited. AUDIT/MONITORING. a. Subrecipient must comply with the record-keeping and other requirements of A.R.S. §§ 35-214 and 35-215 and will direct its contractors and subcontractors at all tiers to also comply. b. Failure of Subrecipient to comply with any requirements resulting from an audit will suspend reimbursement by MCSO to Subrecipient and Subrecipient will not be eligible for any new award, until Subrecipient is in complete compliance. MCSO will monitor Subrecipient to ensure that program goals, objectives, performance requirements, timelines, planned objectives, budgets, and all other related program criteria are being met. Subrecipient must comply with applicable provisions governing MCSO access to records, accounts, documents, information, facilities, and staff and must require any contractors, successors, transferees, and assignees to comply with these same provisions. Subrecipient must cooperate with any review or investigation conducted by MCSO and/or AZDPS. Subrecipient must give MCSO and AZDPS access to and the right to copy records, accounts, and other documents and sources of information related to the grant and permit access to facilities, personnel, and other individuals and information related to the grant as deemed necessary by MCSO or AZDPS. Subrecipient must submit timely, complete, and accurate reports to the appropriate MCSO and AZDPS officials and maintain appropriate backup documentation. Subrecipient must comply with all applicable reporting, data collection, and evaluation requirements prescribed by law or in program guidance. NONSUPPLANTING AGREEMENT. Subrecipient must not use funds received under this Agreement to supplant Federal, State, Tribal or Local funds or other resources, and may be required to document this. FUNDS MANAGEMENT. Subrecipient will maintain funds received under this Agreement in separate accounts and cannot mix these funds with funds from other sources. Subrecipient must maintain the following business systems: o Financial Management o Procurement o Personnel o Property o Travel To be adequate, a business system must be 1) complete and in writing, and 2) consistently followed – Subrecipient must apply it in all circumstances, regardless of funding source. AVAILABILITY OF FUNDS. MCSO’s payment obligations under this Agreement are conditioned on the availability of funds appropriated or allocated for this purpose, per AZDPS Agreement 2025-294. If funds are not allocated and available, MCSO may terminate this Agreement at the end of the period for which funds are available. No liability shall accrue to MCSO in the event this provision is exercised, and MCSO shall not be obligated or liable for Page 5 any future payments or for any damages as a result of termination under this Paragraph, including purchases and/or contracts entered into by in the execution of this Agreement. FAILURE OF LEGISLATURE TO APPROPRIATE. In accordance with A.R.S. § 35-154, if Subrecipient’s performance under this Agreement depends on the appropriation of funds by the Arizona Legislature, and if the Legislature fails to appropriate the funds necessary for performance, then Subrecipient may provide written notice of this to MCSO and cancel this Agreement without further obligation of Subrecipient. Appropriation is a legislative act and is beyond the control of Subrecipient. PUBLICATIONS. Subject to the Confidentiality Section, MCSO recognizes that under Subrecipient policy the results of work performed under this Agreement must be publishable as long as confidential information is not disclosed and agrees that Subrecipient and its employees and students engaged in work under this Agreement will be free to present at symposia or professional meetings, and to publish in journals, theses or dissertations, or otherwise of their own choosing, methods and results of the work performed under this Agreement. Upon written request by MCSO, copies of proposed manuscripts will be furnished to MCSO for review prior to publication. In no event will Subrecipient delay publication for more than thirty (30) days from date of submittal of manuscript for MCSO review. NOTICES. All official notices, by either Party, required or permitted under this Agreement will be in writing and will be given by personal delivery against receipt (including private courier such as FedEx), email with “Read Receipt” or certified U.S. Mail, return receipt requested. All notices will be sent to the addresses below or such other addresses as the Parties may specify in the same manner. Notices will be deemed to have been given and received on the date of actual receipt or on the date receipt was refused. Addresses are as follows: For Subrecipient: Office for Research & Sponsored Projects Administration Arizona State University Arizona State University SkySong - Suite 200 1475 N. Scottsdale Road, Bldg. 1 Scottsdale, AZ 85257-3538 Email: asu.awards@asu.edu Email cc: ASU Principal Investigator, Dr. Dominique Roe-Sepowitz, dominique.roe@asu.edu For MCSO: Brandon Smith Custody Region IV Deputy Chief 550 West Jackson Street Phoenix, Arizona 85003 Office: 602-876-3231 Email: B_Smith@mcso.maricopa.gov For Subrecipient invoice transmittal to MCSO financial contact: Cindy Turner Finance Manager/Grant Administrator 550 West Jackson Street, Phoenix, AZ 85003 Page 6 Office: 602-876-3266 POC Email: CindyTurner@mcso.maricopa.gov Cc: Cal Davidson, C_Davidson@mcso.maricopa.gov CONFIDENTIALITY. The Parties may, at their discretion, and in connection with the Project, disclose their respective proprietary or confidential information (“Confidential Information”) to each other. To be protected hereunder, Confidential Information must be marked confidential if disclosed in written or other tangible form. If Confidential Information is disclosed orally or visually, Confidential Information must be identified as confidential at the time of disclosure and reduced to writing, marked confidential, and transmitted to the receiving Party within thirty (30) days of the initial disclosure. Nothing in this Agreement will be construed to convey to either Party any right, title or interest in any Confidential Information provided by the other Party or any right, title or interest in any intellectual property of the Parties, including but not limited to, processes, copyrights or patents. No license to the receiving Party under any trademark, patent or copyright is either granted or implied by the conveying of Confidential Information to the receiving Party. The receiving Party will not use, or disclose to any third party, Confidential Information of the disclosing Party in any manner except for the purposes of this Agreement and will require that its employees and agents (in the case of Subrecipient, including employees of Skysong Innovations, LLC (“SI”) who have access to such information maintain the same in strict confidence subject to the same restrictions. By way of example, but not limitation, the receiving Party will not use Confidential Information of the disclosing Party in connection with any patent application, for any commercial purpose, or for the benefit of any third party. The Parties will use reasonable efforts to prevent the disclosure to unauthorized third parties of any Confidential Information of the other Party and will use such information only for the purposes of this Agreement. The receiving Party’s obligations with respect to Confidential Information will survive for three (3) years after the termination of this Agreement; provided that the receiving Party's obligations hereunder will not apply if the receiving Party can show, with convincing written evidence that the Confidential Information of the disclosing Party received under this Agreement: a) was already known to the receiving Party prior to the time of first disclosure; or b) at the time of disclosure is in the public domain, or after the date of the disclosure, lawfully becomes a part of the public domain other than through breach of this Agreement by the receiving Party; or c) is received in good faith, without any obligation of confidentiality from a third party having a legal right to disclose the same; or d) is independently developed by the receiving Party by individuals without access to such information; or e) is required to be disclosed by the receiving Party pursuant to a legally enforceable order, law, subpoena, or other regulation (“Order”), provided, however, that the receiving Party promptly notifies the disclosing Party in advance of such disclosure Page 7 and discloses only that Information necessary to comply with said Order. Subrecipient retains the right to refuse acceptance of any Confidential Information that is not required for the purposes of this Agreement. Notwithstanding any other provision of this Agreement to the contrary, Subrecipient, as a public institution, is subject to A.R.S. §§ 39-121 through 39-127 regarding public records. Any provision regarding confidentiality is limited to the extent necessary to comply with Arizona law. INTELLECTUAL PROPERTY. General. Subject to any obligations to the United States Government pursuant to the provisions of 35 U.S.C. sections 200-212 and applicable regulations of Chapter 37 of the Code of Federal Regulations: a) Intellectual Property resulting from the performance of the Project and created solely by legal inventors or authors who are Subrecipient employees will be owned by Subrecipient (“Subrecipient IP”) and managed through SI. b) Intellectual Property resulting from the performance of the Project and created solely by legal inventors or authors who are MCSO’s employees will be owned by County (“County IP”). c) Intellectual Property resulting from the performance of the Project and created jointly by legal inventors who are Subrecipient’s employees and MCSO’s employees will be owned jointly by Subrecipient, managed by SI, and MCSO (“Joint IP”). d) Subrecipient and MCSO shall each retain ownership of all intellectual property and materials owned by each of them prior to the Effective Date. e) “Intellectual Property” means any inventions, discoveries, concepts, methods, processes, data, copyrights, computer programs and related documentation, works of authorship fixed in a medium of expression, or mask works, whether or not patentable, copyrightable or subject to mask work rights or other similar statutory rights, as well as applications for any such rights. ENTIRE AGREEMENT; AMENDMENTS; COUNTERPARTS. This Agreement constitutes the entire understanding between the Parties relating to the subject matter hereof and supersedes any other agreement or understanding between the parties, including the MOU establishing the partnership that enabled application for the grant funding. No amendment or modification to this Agreement will be valid or binding upon the Parties unless made in writing and signed by each party. This Agreement may be executed in counterparts, each of which will be deemed an original. The Parties agree that should any part of this Agreement be held to be invalid or void, the remainder of the Agreement will remain in full force and effect and will be binding upon the Parties. Electronically transmitted and imaged copy signatures will be fully binding and effective for all purposes. WAIVERS. No waiver of this Agreement will be valid or binding unless written and signed by the Parties. Waiver by either Party of any breach or default of any clause of this Agreement by the other Party will not operate as a waiver of any previous or future default or breach of the same or different clause of this Agreement. Page 8 ASSIGNMENT. Neither Party may transfer or assign this Agreement or any of other party’s rights or obligations hereunder, directly or indirectly, or by operation of law, without that Party’s prior written consent, and any attempt to the contrary will be void. GOVERNING LAW AND VENUE. This Agreement will be governed by the laws of the State of the State of Arizona without regard to any conflicts of laws principles. Subrecipient’s obligations are subject to the regulations/policies of the Arizona Board of Regents. Any proceeding arising out of or relating to this Agreement will be conducted in Maricopa County, Arizona. Each Party consents to such jurisdiction and waives any objection it may have to venue or convenience of forum. CONFLICT OF INTEREST. The Parties acknowledge that this Agreement is subject to cancellation by either Party pursuant to A.R.S. § 38-511. SUBRECIPIENT PARTY STATUS. Subrecipient is free to exercise its discretion and independent judgment as to the method and means of performance of its work hereunder. Subrecipient employees will not be considered employees of MCSO or the County, and neither Subrecipient nor MCSO/County personnel will, by virtue of this Agreement, be entitled or eligible, to participate in any benefits or privileges given or extended by the other party to its employees. TERMINATION. Either Party may at any time terminate this Agreement by giving the other Party not less than thirty (30) days prior written notice. In the event this Agreement is canceled by MCSO and grant funding remains available, MCSO will remain responsible for payment to Subrecipient for all work performed through the date of termination and for reimbursement to Subrecipient of all non-cancelable commitments incurred in the conduct of the research. Unless grant funding becomes unavailable, non-cancelable commitments will include employment commitments to Subrecipient personnel through the end of the semester following any such termination by MCSO. In the event Subrecipient terminates this Agreement any unused funds from the advance will be returned. DISPUTE RESOLUTION. In the event of any dispute, claim, question, or disagreement arising from or relating to this Agreement or the breach thereof, the Parties hereto will use their reasonable efforts to settle the dispute, claim, question, or disagreement. To this effect, they will consult and negotiate with each other in good faith and, recognizing their mutual interests, attempt to reach a just and equitable solution satisfactory to both Parties. The Parties agree to arbitrate disputes filed in Maricopa County Superior Court that are subject to mandatory arbitration pursuant to A.R.S. § 12-133. INSURANCE. Subrecipient maintains general liability insurance and worker’s compensation coverage as required by state law and pertinent federal laws and regulations under the State of Arizona Risk Management Plan. Maricopa County is self- insured for liability and ASU is self-insured per A.R.S. § 41-621. Each Party will provide a certificate of coverage to the other Party upon request. INDEMNIFICATION. Each Party (as ‘indemnitor’) agrees to indemnify and hold harmless the other Party (as ‘indemnitee’) from and against any and all claims, losses, liability, costs, or expenses (including reasonable attorney fees) (hereinafter collectively referred to as ‘claims’) arising out of bodily injury of any person (including death) or property damage, but only to the extent that such claims which result in vicarious/derivative liability to the indemnities, are caused by the act, omission, negligence, misconduct, or other fault of the Page 9 indemnitor, its officers, officials, agents, employees, or authorized volunteers. NONDISCRIMATION. The Parties agree to comply with all applicable state and federal laws, rules, regulations and executive orders governing equal employment opportunity, immigration and nondiscrimination, including the Americans with Disabilities Act. If applicable, the Parties will abide by the requirements of 41 CFR §§ 60-1.4(a), 60- 300.5(a) and 60-741.5(a). These regulations prohibit discrimination against qualified individuals based on their status as protected veterans or individuals with disabilities and prohibit discrimination against all individuals based on their race, color, religion, sex, or national origin. These regulations require that covered prime contractors and subcontractors take affirmative action to employ and advance in employment individuals without regard to race, color, religion, sex, national origin, protected veteran status or disability. ADVERTISING, PUBLICITY, NAMES AND MARKS. The Parties will not do any of the following, without, in each case, the other Party’s prior written consent: (i) use any names, service marks, trademarks, trade names, logos, or other identifying names, domain names, or identifying marks of the other Party, including online, advertising, or promotional purposes; (ii) issue a press release or public statement regarding this Agreement, except for documents used for internal consumption by the other Party; or (iii) represent or imply any other Party endorsement or support of any product or service in any public or private communication. Any permitted use of the other party’s Marks must comply with the other Party’s requirements, including using the ® indication of a registered mark. FORCE MAJEURE. With the exception of a Party’s payment obligations for services already rendered, no liability shall result from the delay in performance or nonperformance caused by force majeure or circumstances beyond the reasonable control of the party affected, including, but not limited to, acts of God, fire, flood, substantial snowstorm or other weather condition, war, terrorism, embargo, any United States or foreign government regulation, direction or request, accident, disease, pandemic or epidemic, strike or other labor dispute or labor trouble, civil unrest, or any failure or delay of any transportation, power, equipment or communications system, other emergencies that disrupt a Party’s operations, or any other or similar cause beyond that Party’s reasonable control. The Party which is so prevented from performing shall give prompt notice to the other Party of the occurrence of such event of force majeure, the expected duration of such condition and the steps which it is taking to correct such condition. This Agreement may be terminated by either Party by written notice upon the occurrence of such event of force majeure which results in a delay of performance hereunder exceeding thirty (30) days. FEDERAL DISCLOSURE REQUIREMENTS. MCSO acknowledges and agrees that when applicable: (1) federal agencies that provide funding for research may require disclosure of contracts pursuant to Section 223 of the National Defense Authorization Act (NDAA), Section 117 of the Higher Education Act of 1965, as amended (HEA), and National Security Presidential Memorandum 33 (NSPM-33) (collectively, “Federal Disclosure Requirements”); and (2) nothing in this Agreement shall prevent Subrecipient from disclosing the Agreement to federal agencies pursuant to the Federal Disclosure Requirements. ORDER OF PRECEDENCE. In the event of any inconsistency between the conditions of this Agreement, the inconsistency will be resolved by giving precedence in the following order: Page 10 (i) Agreement (ii) Exhibit B, the Prime Award, including any other special terms and conditions, and (iii) Exhibit A, Statement of Work. If any inconsistency exists, MCSO will be responsible for notifying asu.awards@asu.edu. **SIGNATURE PAGE FOLLOWS** Page 11 IN WITNESS WHEREOF, the Parties hereto have caused this Agreement to be executed by their duly authorized representatives on the respective dates entered below. ARIZONA BOARD OF REGENTS, MARICOPA COUNTY FOR AND ON BEHALF OF on behalf of Maricopa County Sheriff’s ARIZONA STATE UNIVERSITY Office By: By: Name: Name: Title: Title: Date: Date: Subrecipient DETERMINATION – ASU/Subrecipient This Subrecipient Agreement, which is an agreement between public agencies, has been reviewed pursuant to A.R.S. §11-952 by the undersigned, who has determined that it is in the proper form and is within the power and authority granted under the laws of the State of Arizona to those parties to the Agreement represented by Legal Counsel for Arizona State University. APPROVED AS TO FORM: Associate General Counsel, Arizona State University Subrecipient DETERMINATION – MCSO This Subrecipient Agreement, which is an agreement between public agencies, has been reviewed pursuant to A.R.S. §11-952 by the undersigned, who has determined that it is in the proper form and is within the power and authority granted under the laws of the State of Arizona to those parties to the Agreement represented by MCSO’s Attorney. APPROVED AS TO FORM: Deputy Maricopa County Attorney ATTEST: Juanita Garza Date Clerk of the Board of Supervisors Page 12 EXHIBIT A Page 13 Arizona Department of Public Safety Anti-Human Trafficking Grant Fund EXHIBIT B Arizona Department of Public Safety Office of the Director Anti-Human Trafficking Program 2 This document is developed and maintained by the Arizona Department of Public Safety For more information, contact: Mike Dodd Budget Officer (w) (602) 223-2463 MDodd@azdps.gov Daniele Casper Grant Project Manager DCasper@azdps.gov Group email: grants@azdps.gov Arizona Department of Public Safety Office of the Director Anti-Human Trafficking Program 3 CONTENTS Issuance of Recipient Agreement 4 Quarterly Reporting Requirements 5 Final Quarter Programmatic Reporting 6 Audits 6 Availability of Public Records 6 Record Retention 7 Programmatic Compliance 7 Travel 7 Contractual Services 7 Supplies 7 Procurement Process 7 Maintenance and Sustainment 8 Fiscal Compliance 8 Source Documentation Frequently Asked Questions 8 11 Arizona Department of Public Safety Office of the Director Anti-Human Trafficking Program 4 The Arizona Department of Public Safety (AZDPS) will decide funding awards to applicants based upon an evaluation that is in accordance with established guidance and in coordination with an established review panel's assessment of the funding request based on prior year review of proposals for funds appropriated through Arizona Revised Statutes 26-106. FY26 allowed for a $1.6 million deposit into the anti-human trafficking fund established by section 26-106 as described above. These funds are to be distributed as grants to local law enforcement agencies, not to exceed $500,000 per agency, per year. Please note: Agencies that previously reached the funding cap for this grant may apply again; however, preference may be given to agencies that have not previously received an award. Eligible recipients shall submit an application with a detailed scope of work narrative outlining the priorities and objectives in alignment with the information below. Applications for the FY26 award will be accepted until September 5, 2025. Included in the application should be a detailed budget and any other supporting materials (i.e., Memorandums of Understanding, data, research, letters of support and position descriptions as appropriate). Please note that non-profit organizations are sub-recipients of an agency and may not apply without an agency sponsor. Arizona Revised Statutes 26-106 Establishes the Anti-Human Trafficking Grant Fund The Anti-human trafficking grant fund is established consisting of monies appropriated by the Legislature. Monies in the fund are continuously appropriated. The Department of Public Safety shall administer the fund and distribute the monies from the fund to programs to reduce or improve identification of human trafficking and services to trafficking victims in this State. To be eligible for the grant monies, an anti- human trafficking program shall do any of the following: ● Provide training to law enforcement agencies, prosecutorial agencies and the public on preventing and identifying human trafficking, or to provide personnel financial resources to attend locally or nationally accredited training. ● Allow for full or partial funding of new or existing staff positions that would allow for the investigation, prosecution, program coordination, or direct service provision for identified victims. ● Purchasing of new equipment, software or program licenses to aid in the investigation, prosecution, service provision or data collection and analysis of human trafficking. ● Provide services to victims of human trafficking. This can include, but is not limited to, increasing support for forensic interviewing, developing victim-centered, trauma-informed supports for victims, and victim advocates. Allowable/Prioritized Cost: Eligible applicants are encouraged to develop multi-disciplinary victim-centered approaches. Agencies are further encouraged to develop programs that enhance our ability to prevent or respond and impact trafficking in a regional or state-wide way. Agencies may work with state and local partners to provide training, analytical services, and develop or deploy additional tools to support prevention and response to trafficking. Programs can also focus on victim/survivor services, victim advocates, detective/forensic interviews, and data and research gathering/development. Arizona Department of Public Safety Office of the Director Anti-Human Trafficking Program 5 Issuance of Recipient Agreement Upon final review and approval of the recipient application, AZDPS will generate a fund agreement, which will be sent to the recipient along with any special conditions. When the agreement has been signed and returned, the agreement will be signed and dated by the AZDPS Director. A fully executed copy will then be forwarded to the recipient for their records. Receipt of the agreement conveys authorization for the recipient to initiate their project(s) as identified in the approved application. A fully signed and executed agreement must be on file with AZDPS prior to any issuance of reimbursement for eligible costs incurred. Quarterly Reporting Requirements In accordance with pass-through requirements, AZDPS is required to track quarterly progress of the funds. Recipients will be monitored periodically by AZDPS, both programmatically and financially, to ensure that the project goals, objectives, timelines, budgets [as stated by the applicant/recipient and approved by AZDPS] and other related program criteria are being met. The priorities, initiatives, and other projects outlined and submitted within the application are the mechanism that allows this tracking. As such, regardless of whether the recipient is requesting quarterly reimbursement and providing financial reports and supporting documentation, submission of quarterly report updates to indicate what progress has been made during each quarter is required. This process shall be repeated throughout the period of performance. Programmatic and financial reports are required for each reporting period. Due dates are: Quarter Due Date Performance Period 1 October 15 July 1 - September 30 2 January 15 October 1 - December 31 3 April 15 January 1 - March 31 4 July 15 April 1 - June 30 Final reimbursement request is due 30 days after the end of the period of performance or the completion of the project. If additional documentation is needed to support the final reimbursement, contact will be made to the subrecipient agency. If all documentation to support final reimbursement is not received within 30 days from the period of performance, final reimbursement will be based on documentation received. Documentation received after the deadline date will not be accepted. Quarterly Programmatic Reports document all the anti-human trafficking related activities Arizona Department of Public Safety Office of the Director Anti-Human Trafficking Program 6 undertaken by the jurisdiction during the reporting period. The quarterly programmatic reports shall be e-mailed to the AZDPS Grants Program Coordinator at grants@azdps.gov. Jurisdictions are expected to complete, and report progress of the overall set of tasks, priorities, and initiatives outlined in their approved application during each quarter of the fiscal year. Each quarter that shows progress towards completion of recipient’s stated and AZDPS approved anti-human trafficking funded activities must be documented with new information in a quarterly report. Failure to update programmatic activities outline reports for each quarter will result in delayed reimbursement. Additionally, lack of progressive progress could result in de-obligation of funds. Any de-obligated funds will be reprogrammed by the state to projects that can be completed within the period of performance. If a “supplemental” funding opportunity becomes available, only the anti-human trafficking fund recipients that have met the quarterly requirements will be notified and eligible to apply. A Quarterly Financial Expenditure Reports document requests for reimbursement and all related expenditures. Quarterly financial reports shall be emailed to grants@azdps.gov and contain proper signatures. Please email or mail them to allow for time to arrive by the due date as indicated above. If financial reports cannot be submitted by the due date, please make notification to AZDPS via email, and include circumstances which have prevented the report from being submitted on time. The subrecipient has 14 days from the date contacted by AZDPS regarding missing documentation, or clarification of documentation. If no action is taken by the subrecipient to remedy the missing or clarification of documents, AZDPS will move forward with the reimbursement request as is. If documentation is submitted after the date due, AZDPS will, at their discretion, add the amount eligible for reimbursement to either the next quarter’s reimbursement, or the final reimbursement at the end of the period of performance. Final Quarter Programmatic Reporting All recipients of funding must submit a Final Quarter Report to include a summary narrative of annual accomplishments corresponding with the respective approved fiscal year application. Audits The recipients are accountable for the use of funds under this program. The recipients must maintain records that adequately identify the sources and application of funds provided for financially assisted activities. Actual expenditures or outlays will be compared with budgeted amounts to determine if the expenditures qualify as a reimbursable expense under this program. This documentation is subject to review at any given time through the record retention period by state auditors as well as AZDPS officials. Availability of Public Records Arizona’s public records law generally requires disclosure of information. Recipients are encouraged to consult state and local laws and regulations and discuss these requirements with their legal counsel. Recipients should be familiar with the regulations governing protected critical infrastructure information and sensitive security information, as Arizona Department of Public Safety Office of the Director Anti-Human Trafficking Program 7 these designations may provide additional protection to certain classes of homeland security information. Record Retention Recipients are required to retain all the related documentation for three years after the close of this program. AZDPS will provide notification of the closure date along with final reimbursement for the funds. The letter will also specify retention date for the related documentation to aid in the applicant’s successful compliance. Programmatic Compliance Travel Travel is eligible for meetings, conferences, training, and exercises*. Reimbursements require complete documentation. Prior approval is required for international travel. Recipients must submit a narrative in the application as to why international travel is needed. *Please note that travel reimbursement is subject to the State’s Reimbursement Rates as stated in the State of Arizona Accounting Manual (SAAM) section 5095. Any per diem costs will only be reimbursed if the travel dates occur within the fiscal year the award was granted. Contractual Services Professional & Consultant Services Projects that entail more than one task, i.e., different plan revisions, should be identified as separate projects. Contracts that are to be worked in phases must include the details on all documentation (contracts, purchase orders, invoices, etc.) such as the scope for each phase, start & end dates, cost or price, and other documentation as needed. Please note that the State only allows purchase of a 12-month subscription service at a time. Supplies As defined as tangible personal property other than “equipment” as utilized in this guidance have a disposition requirement when the residual value of the combined unused inventory exceeds $5,000. In cases where this may occur, the awarding agency is entitled to its share of the value of the remaining inventory. Procurement Process The procurement process is one of, if not the most, scrutinized aspect of the local and state programs. The emphasis on how procurements are made is based on Arizona Procurement Code and local procurement regulations. All recipients are strongly urged to seek out their procurement department/individual to seek guidance on implementing the requirements into the procurement of any funds for services under this program funded item or service. Recipients will maintain a contract administration system that ensures contractors perform in accordance with the terms, conditions, and specifications of their contracts or purchase order. Recipients should note that the following situations are restrictive of competition and should be avoided: Arizona Department of Public Safety Office of the Director Anti-Human Trafficking Program 8 ● Placing unreasonable requirements on firms for them to qualify to do business ● Requiring unnecessary experience and excessive bonding ● Noncompetitive pricing practices between firms or between affiliated companies. ● Noncompetitive awards 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 of other relevant requirements of the procurement, and. ● Any arbitrary action in the procurement process. Recipients will maintain records to sufficiently detail the significant history of any procurement. These records will include, but are not necessarily limited to, the following: rationale for the method of procurement, selection of contract type, contractor selection or rejection, and the basis for the contract price. Recipients alone will be responsible, in accordance with good administrative practice and sound business judgment, for the settlement of all contractual and administrative issues arising out of procurements. Maintenance and Sustainment Use of funds for maintenance contracts, warranties, repair or replacement costs, upgrades, and user fees are allowable under all active awards, unless otherwise noted. Recipients should explain how they will maintain and sustain equipment purchased with funds throughout its useful life. Fiscal Compliance Source Documentation AZDPS requires that accounting records be supported by source documentation such as canceled checks, invoices, payroll reports, time and attendance records, contracts, and purchase orders. AZDPS requires that the recipients have source documentation available prior to requesting reimbursement. Proper documentation for select items is as follows: ● Travel costs o Copy of the government unit travel policy o Receipts/documentation as required by travel policy justification and/or approval from government entities for overage in per diem rates, etc. o International travel must be submitted to AZDPS 45 days in advance for pre- approval and must be included in the approved application budget. o Meeting or conference agenda o Refer to the State of Arizona Accounting Manual for Travel Policy Topic 50 Arizona Department of Public Safety Office of the Director Anti-Human Trafficking Program 9 ● Out of State Travel o Hotel invoice/receipt o Flight invoice/receipt o Shuttle receipt o Meal receipts are not required, keep copies for auditing purposes ● In State Travel o Hotel invoice/receipt if overnight stay is required o Mileage: Personal vehicles – provide a printed copy of MapQuest details o Meal receipts not required, keep copies for auditing purposes ● Payroll Reports o Documentation from an official accounting system which documents the payee, date, amount paid, and warrant or EFT number o Payroll records for personnel expenditures (including, Employee Related Expenditures) ● Professional and Contractual costs o The type of service to be rendered must be described o Backup documentation such as bids and quotes o Cost price analysis on file for review by AZDPS personnel, if applicable ● AZDPS requires the subrecipient to maintain the following documentation for purchases which may be requested by AZDPS any time: o Specifications o Solicitations o Competitive quotes or proposals o Basis for selection decision o Contracts o Invoices o Canceled Checks ▪ Note: recipient should keep detailed records of all transactions involving the anti-human trafficking program Arizona Department of Public Safety Office of the Director Anti-Human Trafficking Program 10 ● For individual consultants, a scope of work is required and must detail the following: o Must describe the hourly, daily, or weekly base rate given o Are rates allowable, justified, reasonable, and comparable to market o The procurement method must be described o Maintenance costs are allowable and must support the program accordingly ● Equipment costs o Equipment purchases must be outlined in the approved application o Equipment items must be specified by unit and costs o Procurement method must be described ▪ Copy of procurement policy may be requested o Must explain how the equipment relates to the programmatic goals, and supports the building or sustainment of the core capabilities as outlined in the goal ▪ Detailed justification in the Work Plan required and/or will be requested o Invoice (not quotes) for equipment purchased o Documentation that equipment is received on site and installed as necessary Equipment must also be necessary, reasonable, and applicable to the Anti-Human Trafficking Grant Fund, and must be inventoried and available for AZDPS inspection. AZDPS must be notified if any equipment is surplused and any equipment with a current per unit fair market value over $5,000 must comply with state awarding agency disposition requirements. ● Supply costs o Supplies should be listed separately o Invoices (not quotes) o Copy of purchase order o Proof of payment such as a copy of a warrant or EFT/ACH payment. Credit or purchasing card statements are not acceptable proof of payment. Arizona Department of Public Safety Office of the Director Anti-Human Trafficking Program 11 Anti-Trafficking Program: Frequently Asked Questions What should be included in the written and budget application? Each proposal should include an overview, detailed scope of work - including what the funds will be used for - and a detailed budget. Please include any information - data, research, etc - used to identify the need being addressed. Please also include Memorandums of Understanding (MOUs) with any other agency or group identified as a partner in the proposal. You are also encouraged to submit letters of support and any additional materials you deem necessary. How long should the written application be? Approximately two pages, so long as it contains the elements needed as outlined in the guidance provided by AZDPS, and the senate bill, scope of work and program narrative. The budget should be separate from the scope of work and program narrative. Is there a limit on the percent of funds that can be used for the administration of the funds (aka overhead)? If an agency contracts with a university, 501C3 or non-profit organization, no more than 10% indirect costs or overhead is allowable for those contracts. Indirect/overhead costs are not eligible for direct recipients of the Fund. Should specific personnel be identified as part of the proposal? Yes. Name, title, salary, and brief position description of all positions/persons involved in the project should be included as part of the scope of work. What is the length or term of the grant? Recommendation is for a period of one (1) year for each proposal/project. Are prevention and training activities required as part of the proposals? Prevention activities should be included in each proposal to meet the intentions and requirements of the fund. If specialized training of personnel is needed and makes up a part of the proposal and budget, it should also be included as part of the scope of work and budget. If specialized software or database is being purchased, training of personnel should be listed as part of the contract. If hiring of new personnel or using established personnel requires special training to complete their position description or duties, it is allowable. Is an evaluation of the grant required? If yes, should an outside evaluator be used or can it be done internally? Quarterly reporting is required on the grant funds expended. Internal evaluation is sufficient. An outside evaluator may be used and up to 5% of grant funds may be used to fund an outside evaluator. Arizona Department of Public Safety Office of the Director Anti-Human Trafficking Program 12 Are there any exclusions to the grant budget? Each proposal will be evaluated by a determined review panel. Drones and License Plate Readers (LPRs) are excluded. AZDPS will review within the group for items that may not be eligible for funding. Is there any in-kind required for this grant? In-kind is not required for this grant. Matching funds are not required. Does all of the funding have to be for human trafficking-related work? Yes. All expenses must be for items that are outlined in the application and directly combat human trafficking. This includes training programs, additional personnel, communications equipment, software and licenses, research, data, etc. Are there any restrictions regarding who the grantee can partner with for parts of the grant activities? What is the guidance on hiring subcontractors? There are no specific restrictions regarding partnerships (including MOUs, vendors, sub-grantees, etc.). Each grantee must demonstrate procurement requirements have been met when identifying a vendor, contract, or subgrantee. If entering in subcontracts the grantee must have specific scope of work, budget, etc. for the vendor/contract/subgrantee specifying the anti-trafficking as outlined for these funds.