Resolution No. 2013-037 (2)CONTRACT/AMENDMENT SIGNATURE ROUTING FORM
CONTRACTOR: The City of Los Angeles
CONTRACT -IS: a FEDERAL—[] PREVAILING WAGEo-COMP-ET-IVE-SELECTION-& NO-T-ICED-RFP
❑ COMPETITIVE BID & NOTICED INVITATION TO BID
❑ EXEMPT FROM COMPETITIVE PROCESS (APPROVAL ATTACHED)
TOTAL CONTRACT VALUE: $ 188,311.00 Charge Acct. No(s)
Fire Dept: $135,942.00/Police Dept. $52,369.00
Amendment Value $ ❑ Contract is an Amendment to Contract No. (if Applicable)
RESPONSIBLE DEPARTMENT PERSON: David Kimes PHONE: X 512
AUTHORIZATION: Cf Approved by Council on 2/19/2013
(Check One) Resolution No. 2013-37 (if applicable)
❑ Approved by City Administrator on
Note: Attach supporting documentation
cAmendment Approved by (if applicable)
ROUTING SEQUENCE: (Please Follow In Order - Do not use N/A) Initials Date
(1) Responsible Department Person
Checks substance of contract and assembles two (2) copies of
Contract, required AA, insurance & bond documents, certifies compliance
With Competitive Bidding and Purchasing Ordinance
(2) Liability and Claims
Approves insurance and sureties, if bonds required > nv+ APPI I co b ICi
(3) Finance (Purchasing)
Checks compliance with Competitive Bidding & Livin Wage Ordinancas
And reflected in curre t budset:� SM Q�
�icC�pe�l\q1h�
(4) City Attorney RN �,y
Approves contract as to form, verifies bonds and insurance included M
(5) City Signatory
Signs all copies on behalf of City
(6) City Clerk
Attests signatures, numbers, files contract, insurance, and bonds and
returns duplicate original to responsible department for transmittal to contractor
Rev. 02113
t
OFFICE OF THE CITY CLERK
4305 Santa Fe Avenue, Vernon, California 90058
Telephone (323) 583-8811
Gabriela V. Jasso, Contract Specialist
Office of the Los Angeles Mayor
Homeland Security and Public Safety Team
200 N. Spring Street, Room 303
Los Angeles, CA 90.012
Re: Agreement — 2012 Urban Areas Security Initiative Grant Program
Dear Ms. Jasso:
Transmitted herewith are two partially executed original agreements with the City seal, as
referenced above, approved by City Council on February 19, 2013, through Resolution No.
2013-37.
Please return one fully executed original agreement to the undersigned.
If you have any questions regarding this matter, please call David Lazar at (323) 583-8811 Ext.
511.
Very ruly yours,
Deborah R. Juarez
Records Management Assistant
Enclosures
c: William Fox
Daniel Calleros
David Kimes
David Lazar
Jerry Winegar
Resolution No. 2013-37
Agreement File No. 13-013
E.xcrusivefy Industrial
av/ 3-3-;�
)4�/3- 0/2
OFFICE OF THE MAYOR
ANTONIO R. VILLARAIGOSA
The City of Vernon
David Lazar, Battalion Chief
Vernon Fire Department
4305 S. Santa Fe Avenue
Vernon, CA 90250
RE: Subrecipient Agreement No. C-1220121 UASI 12 Grant
Dear Chief Lazar,
Enclosed, please find the executed UASI 12 Subrecipient Agreement No. C-122012
between the City of Los Angeles and the City of Vernon.
Should you have any questions or concerns, please do not hesitate to contact me at
(213) 978-0756. Thank you.
Very truly yours,
qbrielaj>11t . Jasso
Contract Specialist
Office of the Mayor
Homeland Security and Public Safety
Encls.
200 NORTH SPRING STREET - Los ANGELES, CALIFORNIA 90012
-qo.9 PHONE: (213) 978-0600 - FAX: (213) 978-0750 -
EMAIL: MAYORQLACITY.ORG
SUBRECIPIENT AGREEMENT,
Jurisdiction: City of Vernon
Title: FY 12 Urban Area Security Initiative (UASI) Grant Program
City Contract Number
TABLE OF CONTENTS
Section Description
INTRODUCTION
101. Parties to the
Pape
�1 uz. Representatives of the Parties and Service of Notices ...................................... 3
§103. Independent Party ..............................................................................................4
§104. Conditions Precedent to Execution of This Agreement......................................4
II.
TERMS AND SERVICES TO BE PROVIDED
§201. Time of Performance......................................................................................... 5
§202. Use of Grant Funds............................................................................................ 5
III.
PAYMENT
§301. Payment of Grant Funds and Method of Payment ........................................... 13
IV.
STANDARD PROVISIONS
§401.
Construction of Provisions and Titles Herein ...................................................
16
§402.
Applicable Law, Interpretation and Enforcement.............................................16
§403.
Integrated Agreement......................................................................................16
§404.
Excusable Delays............................................................................................
17
§405.
Breach.............................................................................................................
17
§406.
Prohibition Against Assignment or Delegation .................................................
17
§407.
Permits.............................................................................................................17
§408.
Nondiscrimination and Affirmative Action.........................................................
18
§409.
Bonds...............................................................................................................18
§410.
Indemnification.................................................................................................18
§411.
Conflict of Interest............................................................................................
19
§412.
Restriction on Disclosures...............................................................................
21
§413.
Minority, Women, and Other Business Enterprise Outreach Program .............
21
§414.
Publications and Use of Grantor Markings.......................................................
21
§415.
Compliance with State and Federal Statutes and Regulations ........................
21
§416.
Inventions, Patents and Copyrights.................................................................
35
UASI 12 Subrecipient Agreement
V.
DEFAULTS, SUSPENSION, TERMINATION AND AMENDMENTS
§501. Defaults............................................................................................................38
§502. Amendments....................................................................................................38
§503. Complete Agreement....................................................................................... 38
Execution (Signature) ......................................... 39
UASI 12 Subrecipient Agreement
EXHIBITS
Exhibit A Insurance (Not applicable to this Agreement)
Exhibit B Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion Lower Tier Covered Transactions
Exhibit C Certification Regarding Lobbying
Exhibit D
Certification Regarding Drug Free Requirements
Exhibit E
Grant Assurances
Exhibit F
Grant Guidance Materials
Exhibit G
Workbook Ledgers
Exhibit H Modification Request Form
Exhibit I Sole Source Request Form
Exhibit J Reimbursement Request Form
Exhibit K Aviation Equipment Request Form
Exhibit L Establish/Enhance EOC Request Form
UASI 12 Subrecipient Agreement
AGREEMENT NUMBER OF CITY CONTRACTS
BETWEEN
THE CITY OF LOS ANGELES
AND THE CITY OF VERNON
THIS SUBRECIPIENT AGREEMENT ("Agreement" or "Contract') is made and
entered into by and between the City of Los Angeles, a municipal corporation (the
"City"), and the City of Vernon, a municipal corporation (the 'Suborantee" or
WITNESSETH
WHEREAS, the U.S. Department of Homeland Security ("DHS"), through the
Grant Programs Directorate within the Federal Emergency Management Agency
("FEMA" and along with DHS, collectively "Grantor"), has provided financial assistance
to the Los Angeles/Long Beach Urban Area ("LA/LBUA") through the Fiscal Year ("FY")
2012 Urban Areas Security Initiative Grant Program ("UASI 12" or the "Grant"), Catalog
of Federal Domestic Assistance ("CFDA") 97.067 in the amount of $50,654,524.00
("Grant Funds"), such Grant Funds having been awarded by Grantor to the City, as a
Core City, for use in the LA/LBUA and such Grant having been accepted by the City
Council on December 14, 2012, 2012 (C.F. #12-0930); and
WHEREAS, the LA/LBUA consists of the City of Los Angeles, the City of Long
Beach, the unincorporated area of the County of Los Angeles, and participating
jurisdictions, including the Subrecipient; and
WHEREAS, the Grant is administered for the LA/LBUA by the City of Los
Angeles and is overseen by the California Emergency Management Agency
("CalEMA"); and
WHEREAS, the Grant is being provided to support the development and
sustainment of core capabilities as outlined in the National Preparedness Goal by
addressing the unique equipment, training, planning, organization, and exercise needs
of the LA/LBUA, and assisting it in building an enhanced and sustainable capacity to
prevent, protect against, mitigate, respond to, and recover from acts of terrorism; and
WHEREAS, the City has designated the Office of the Mayor, Office of Homeland
Security and Public Safety ("Mayor's Office") to provide for the proper monitoring of the
funding and administration of the Grant; and
WHEREAS, the Mayor's Office wishes to disburse UASI 12 Grant Funds
allocated to the Subrecipient as a participating jurisdiction in the LA/LBUA in
accordance with this Agreement; and
UASI 12 Subrecipient Agreement
WHEREAS, the City and Subrecipient are desirous of executing this Agreement
as authorized by the Los Angeles City Council and the Mayor (C.F.# #12-0930, dated
December 17, 2012); and
NOW, THEREFORE, in consideration of the mutual covenants set forth herein
and the mutual benefits to be derived therefrom, the City and the Subrecipient (each a
"Party" and collectively, the "Parties") agree as follows:
[REMAINDER OF PAGE INTENTIONALLY LEFT BLANK]
UASI 12 Subrecipient Agreement 2
INTRODUCTION
§101. Parties to the Agreement
The Parties to this Agreement are:
at 200 N. Spring Street, Los Angeles, California 90012; and
B. The City of Vernon, a municipal corporation, having its principal office at
4305 S. Santa Fe Avenue, Vernon, California 90058.
§102. Representatives of the Parties and Service of Notices
A. The representatives of the respective parties who are authorized to
administer this Agreement and to whom formal notices, demands and
communications shall be given are as follows:
The representative of the City of Los Angeles shall be, unless
otherwise stated in this Agreement:
Eileen Decker, Deputy Mayor
Office of the Mayor, Homeland Security and Public Safety
200 N. Spring Street, Room 303
Los Angeles, California 90012
Phone: (213) 978-0687
Fax: (213) 978-0718
Eileen. Decker@lacity.org
2. The representative of the City of Vernon shall be:
David Kimes,,lnterim Fire Chief
Vernon Fire Department
4305 S. Santa Fe Avenue
Vernon, California 90058
Phone: (323) 583-8811, Ext. 280
dkimes@ci.vernon.ca.us
With a copy to:
David Lazar, Battalion Chief
Vernon Fire Department
4305 S. Santa Fe Avenue
Vernon, California 90058
Phone: (323) 583-8811, Ext.511
dlazar@ci.vernon.ca.us
UASI 12 Subrecipient Agreement 3
C. If the name of the person designated to receive the notices, demands or
communications or the address of such person is changed, written notice
shall be given, in accordance with this section, within five (5) business
days of said change.
§103. Independent Partv
Subrecipient is acting hereunder as an independent party, and not as an agent or
of the City by virtue of this Agreement, and Subrecipient shall so inform each
employee organization and each employee who is hired or retained under this
Agreement. Subrecipient shall not represent or otherwise hold out itself or any of
its directors, officers, partners, employees, or agents to be an agent or employee
of the City by virtue of this Agreement.
§104. Conditions Precedent to Execution of This Agreement
Subrecipient shall provide copies of the following documents to the City, unless
otherwise exempted.
A. [Intentionally Omitted]
B. Certifications Regarding Ineligibility, Suspension and Debarment as
required by Executive Orders 12549 and 12689 in accordance with
§415.A.12 of this Agreement and attached hereto as Exhibit B and made a
part hereof. Subrecipient hereby certifies that said Certification so
executed is true and correct as of the date of execution of this Agreement.
C. Certifications and Disclosures Regarding Lobbying in accordance with
§415.A.4 of this Agreement and attached hereto as Exhibit C and made a
part hereof. Subrecipient shall also file a Disclosure Form at the end of
each calendar quarter in which there occurs any event requiring disclosure
or which materially affects the accuracy of the information contained in
any Disclosure Form previously filed by Subrecipient. Subrecipient hereby
certifies that said Certification so executed is true and correct as of the
date of execution of this Agreement.
D. Certification Regarding Drug Free Workplace Requirements in accordance
with § 415.A.13 of this Agreement and attached hereto as Exhibit D and
made a part hereof. Subrecipient hereby certifies that said Certification so
executed is true and correct as of the date of execution of this Agreement.
UASI 12 Subrecipient Agreement
II.
TERM AND SERVICES TO BE PROVIDED
§201. Time of Performance
The term of this Agreement shall be from October 12, 2012 and end May 31,
2014(the "Term"); provided, however, that any and all expenditures made by
Subrecipient shall be reimbursed by Subrecipient's allocation of Grant Funds
pursuant to this Agreement only -if-such-expenditures-were-made-no-later-than-60
days prior to the end of the Term of this Agreement (the "Expenditure
Deadline"). Any and all expenditures made by Subrecipient after the Expenditure
Deadline shall not be reimbursed under this Agreement unless, prior to such
expenditure, the Mayor's Office, in its sole discretion, has approved in writing the
making of such expenditure after the Expenditure Deadline. Subrecipient shall
cooperate with any necessary close out activities in connection with its use of the
Grant Funds.
§202. Use of Grant Funds
A. Subrecipient's allocations and use of funds under this Grant shall comply
and be in accordance with, and subject to, the guidance, regulations and
requirements set forth in the following: (1) DHS FY 2012 Homeland
Security Grant Program Funding Opportunity Announcement ("DHS 12
Guidance"), (2) Grantor Information Bulletins, (3) CaIEMA 2012 Recipient
Handbook ("CaIEMA 12 Handbook"), (4) CaIEMA FY 12 Homeland
Security Grant Program California Supplement to the Federal Funding
Opportunity Announcement and Application Kit ("CaIEMA 12
Supplement"), (5) CaIEMA Grant Management Memos ("GMM"), (6) the
current editions of the Office of Justice Programs ("OJP") Financial Guide
and the DHS Financial Management Guide, (7) Grantor's Grants
Management Common Rule as codified in Title 44 Code of Federal
Regulations (CFR) Part 13, (8) CaIEMA FY 12 Grant Assurances,
attached hereto as Exhibit E and made a part hereof, (9) DHS Standard
Administrative Terms and Conditions set forth in Section 6.1.1 of the DHS
Chief Financial Officer financial management policy manual available at
hftp://www. d hs.gov/xli brary/assets/cfo-fi nancial-management-policy-
manual.pdf ("DHS Terms and Conditions") and (10) this Agreement.
Subrecipient shall use the Grant Funds allocated to it to support the goals
and objectives included in the State and/or Urban Area Homeland Security
Strategies as well as the investments and projects identified in the
Investment Justifications, which were submitted as part of the California
FY 2012 Homeland Security Grant Program application. Further, use of
the Grant Funds is limited to those investments and projects included in
the California FY12 Investment Justifications submitted to
DHS/FEMA/CaIEMA and evaluated through the peer review process.
Subrecipient shall comply with any cost sharing commitments included in
UASI 12 Subrecipient Agreement
such FY12 Investment Justifications, where applicable. Subrecipient
agrees that Grant Funds will be used to supplement existing funds for
program activities, and will not supplant (replace) non -Federal funds, and,
upon request by the City, CaIEMA and Grantor, Subrecipient shall be
required to demonstrate and document that a reduction in non -Federal
resources occurred for reasons other than the receipt or expected receipt
of Grant Funds. Subrecipient shall assure that the Grant Funds will
support efforts related to providing an integrated mechanism to enhance
the coordination of national priority efforts to prevent, respond to, and
recover from terrorist attacks, major disasters and other emergencies.
Subrecipient hereby certifies that it has the legal authority to apply for the
financial assistance given through the Grant and has the institutional,
managerial and financial capability to ensure proper planning,
management and completion of its projects being funded by the Grant
Funds.
Subrecipient shall assure that Grant Funds allocated to it are used for
allowable, fair and reasonable costs only and will not be transferred
between programs (State Homeland Security Program, Urban Area
Security Initiative, Citizen Corps Program, and Metropolitan Medical
Response System) or fiscal years. Subrecipient agrees that it will comply
with the provisions and prohibitions regarding duplication of Federal
assistance as set forth in 2 CFR Parts 220, 225, 230 and 48 CFR Part
31.2. Subrecipient shall also comply with the applicable provisions of the
Improper Payments Information Act (IPIA) of 2002 (P.L. 107-300).
Subrecipient shall notify City and CalEMA of any developments that have
a significant impact on Grant Fund supported activities of Subrecipient,
including changes to key program staff. Subrecipient shall cooperate with
any assessments, national evaluation efforts, or information or data
collection requests, including, but not limited to, the provision of any
information required for the assessment or evaluation of any activities
contemplated by this Agreement. Subrecipient shall not be delinquent in
the repayment of any Federal debt.
B. Subrecipient and the City have previously completed a mutually approved
Budget/Expenditure Plan as incorporated in the Financial Management
Forms Workbook which was approved by CalEMA prior to the execution of
this Agreement (the "Budget"). The Budget contains detailed listings of
items and projects for expenditures under the terms of this Agreement and
the Grant, and Subrecipient shall use the funds disbursed under this
Agreement only for such items.
Any request by Subrecipient to modify the Budget must be made in
writing and accompanied by a completed Modification Request
UASI 12 Subrecipient Agreement 6
Form, attached hereto as Exhibit H. All modification requests must
be approved in writing by the City during the Term of this
Agreement to be effective.
Budget modification requests must be submitted to the City no later
than 30 days before the end of each fiscal quarter for which the
modification is sought. Submissions made after the deadline will be
returned to the Subrecipient and will not be accepted until the
following_submission-period.—The-City will -notify the Subrecipient-in-
writing if modification requests are inaccurate and/or incomplete.
Inaccurate and/or incomplete modification requests shall be
returned to the Subrecipient for revision and shall be accepted by
the City when modification requests are accurate and complete.
Subrecipient shall not expend any funds on modified budget items
for which reimbursement by Grant Funds is sought until such
modification is approved by the City and CaIEMA/Grantor.
3. Final modification requests must be submitted to the City no later
than 60 days prior to the end of the Term to provide the City time to
meet CaIEMA/Grantor requirements. At that time, any unexpended
funds may be re -directed to other needs across the LA/LBUA. The
City will notify Subrecipient, in writing, when unexpended balances
may be re -directed.
C. Subrecipient shall complete a UASI 12 Project Timeline ("Project
Timeline") provided by the City to manage its allocation of the Grant
Funds. Subrecipient shall provide a completed Project Timeline and any
reports requested by the City regarding performance of this Agreement by
a date specified by the City. Plans and reports shall be provided in a
timely manner. The completion of each milestone and deliverable
referenced in the Project Timeline is subject to the prior review and written
approval of the City. Subject to prior City approval, Subrecipient shall
update the Project Timeline quarterly, if necessary, and provide such
updates to the City in order to monitor and evaluate Subrecipient's
performance. Failure to meet any milestones or deadlines as set forth in
Subrecipient's Project Timeline may result in the City reducing Grant
Funds allocated to the Subrecipient, as more fully set forth in §301 of this
Agreement.
D. Any request by Subrecipient to extend the time of performance for a
project must be made in writing to the Mayor's Office. Project extension
requests must be submitted to the City no later than 120 days before the
end of the applicable project time of performance set forth in the Project
Timeline. The City will notify the Subrecipient in writing if project extension
requests are inaccurate and/or incomplete. Inaccurate and/or incomplete
project extension requests shall be returned to the Subrecipient for
revision and shall be accepted by the City when project extension
UASI 12 Subrecipient Agreement
requests are accurate and complete. All extension requests must be
approved by CaIEMA, in its sole discretion, in writing during the term of
this Agreement to be effective.
E. Any equipment acquired pursuant to this Agreement shall be authorized,
subject to, and in compliance with the CalEMA 12 Handbook, CalEMA 12
Supplement, GMMs, UASI Authorized Equipment List
(https://www.rkb.us), Grantor Information Bulletins, DHS Terms and
Con i i ns,-an-d4HS 12 Guidance._Subre-cipient shall -provide the City_a
copy of its most current procurement guidelines and follow its own
procurement requirements as long as they meet the minimum federal
requirements, which include, but are not limited to, those regulations set
forth in OMB Circulars A-87, A-21, A-21, A-102 A-110, A-122, A-133,
Executive Order (E.O.) 12372, the current edition of the DHS Financial
Management Guide, and Title 44 CFR Part 13. Subrecipient shall
maintain equipment acquired or obtained with Grant Funds in accordance
with the provisions set forth in 44 CFR §13.32. Any and all property or
equipment purchased in connection with this Agreement shall revert to
CalEMA if the Grant Funds allocated to the Subrecipient are
deobligated/disallowed and/or not promptly repaid as required by
applicable Grant regulations.
Any equipment acquired or obtained with Grant Funds:
Shall be made available pursuant to applicable terms of the
California Disaster and Civil Defense Master Mutual Aid Agreement
in consultation with representatives of the various fire, emergency
medical, hazardous materials response services, and law
enforcement agencies within the jurisdiction of the LA/LBUA, and
deployed with personnel trained in the use of such equipment in a
manner consistent with the California Law Enforcement Mutual Aid
Plan or the California Fire Services and Rescue Mutual Aid Plan;
2. Shall be consistent with needs as identified in the State Homeland
Security Strategy and will be deployed in conformance with that
Strategy.
F. For the purposes of this subsection, "Equipment" is defined as
nonexpendable property that is not consumed or does not lose its identity
by being incorporated into another item of equipment, which costs $5,000.
or more per unit, or is expected to have a useful life of one (1) year or
more. Items costing less than $5,000, but falling into the following
categories are also considered Equipment: (1) electronics
communications equipment for stationary or vehicular use, including
cellular telephones acquired by lease or purchase, and (2) electronic office
equipment, including facsimile machines, copiers, electric typewriters,
personal computers (monitors and CPU's), terminals and printers.
UASI 12 Subrecipient Agreement
1. Equipment shall be used by Subrecipient in the program or project
for which it was acquired as long as needed, whether or not the
project or program continues to be supported by Federal funds.
When no longer needed for the original program or project, the
Equipment may be used in other activities currently or previously
supported by a Federal agency.
2. Subrecipient shall make Equipment available for use on other
projects or programs currently or previously supported by the
Federal Government, providing such use will not interfere with the
work on the projects or program for which it was originally acquired.
First preference for other use shall be given to other programs or
projects supported by the awarding agency.
3. An equipment ledger, attached hereto as Exhibit G, shall be
maintained for each item of Equipment acquired for the program.
This record must be updated quarterly and forwarded to the City
along with completed reimbursement request forms (Exhibit J),
when applicable. Records must be retained pursuant to the current
edition of the DHS Financial Management Guide, and Title 44 CFR
Part 13 and all other applicable Grantor regulations. For each
piece of equipment, the record shall include:
(a) The line item number and project number as stated in the
Budget
(b) The equipment description as stated in the Budget
(c) The Authorized Equipment Listing number (AEL) found at
hftr)://www.rkb.mir)t.org
(d) The AEL title
(e) The invoice number
(f) The vendor
(g) Total cost (prime vendor)
(h) Total cost (general)
(i) Cash request #
Q) Acquired date
(k) ID Tag #
UASI 12 Subrecipient Agreement 9
(1) The condition and disposition of the equipment, indicating
whether it is new or used
(m) The deployed location, including the address and/or name of
the facility where the equipment is located
(n) The name and contact information to whom the equipment is
assigned.
(o) Environmental and Historical Preserva io EFfPyNotes
4. All equipment obtained under this Agreement shall have an
LA/LBUA identification decal affixed to it, and, when practical, shall
be affixed where it is readily visible. Subrecipient also agrees that,
when practicable, any equipment purchased with Grant Funds shall
be prominently marked as follows: "Purchased with funds provided
by the U.S. Department of Homeland Security."
A physical inventory of the Equipment shall be taken and the
results reconciled with the Equipment records at least once every
year.
6. Subrecipient must obtain a performance bond for any equipment
item over $250,000; or any vehicle, aviation or watercraft
(regardless of the cost) financed with UASI grant funds.
7. Requests for aviation equipment must be made in writing and
accompanied by a completed Aviation Equipment Request form,
attached hereto as Exhibit K.
8. Requests to establish or enhance Emergency Operation Centers
(EOCs) must be made in writing and accompanied by a completed
Establish/Enhance EOC Request form, attached hereto as
Exhibit L.
9. Requests to establish or enhance the LA/LBUA Joint Regional
Intelligence Center (JRIC) must be made in writing and
accompanied by a completed Establish/Enhance JRIC Request
form, attached hereto as Exhibit M.
10. Aviation, EOC and JRIC Request forms must be approved by
CaIEMA in writing during the term of this Agreement. Request
forms must be submitted to the City within 60 days of project
commencement date. Purchases may not be made nor may the
project commence until Request forms are submitted to and
approved by the City. The City will notify the Subrecipient in writing
if Request forms are inaccurate and/or incomplete. Inaccurate
UASI 12 Subrecipient Agreement 10
and/or incomplete Request forms shall be returned to the
Subrecipient for revision and shall be accepted by the City when
Request forms are accurate and complete.
11. If applicable, Subrecipient must meet the deadline for the any
equipment items listed in its Project Timeline, as approved by the
City.
12.
to the contrary in this
adopted standards to be eligible for purchase using Grant Funds.
In addition, Subrecipient shall be responsible for obtaining and
maintaining all necessary certifications and licenses for the
requested Equipment.
G. Any training, planning, or organizational activities paid or any exercise
undertaken pursuant to this Agreement shall be authorized, subject to,
and in compliance with the CalEMA 12 Handbook, CalEMA 12
Supplement, GMMs, Grantor Information Bulletins, DHS Terms and
Conditions and DHS 12 Guidance. A catalogue of Grantor approved and
sponsored training courses is available at
http://www.firstrespondertrainina.aov/odp webforms. Subrecipient must
have a City approved, tangible deliverable for all planning projects. Plans
and reports for all organizational activities shall be in the form requested
by the City, and shall be provided in a timely manner. Detailed Homeland
Security Exercise and Evaluation Program Guidance is available at
hftp://hseei).dhs.aov. Reference materials and additional details are
available at http:TA ww.calema.ca.aov.
H. Funds utilized to establish or enhance state and local fusion centers must
support the development of a statewide fusion process that corresponds
with the Global Justice/Homeland Security Advisory Council (HSAC)
Fusion Center Guidelines, follow the Federal and State approved privacy
policies, and achieve (at a minimum) a baseline level of capability as
defined by the Fusion Capability Planning Tool.
As required by CaIEMA, the City shall provide Subrecipient with an
electronic, interactive, Financial Management Forms Workbook, based on
the pro forma template, incorporated herein by reference. Subrecipient
shall continuously maintain the Project Management Workbook to access,
complete and update the following documents:
(1) Reimbursement Checklist
(2) Reimbursement Request Form
(3) Equipment Ledger
(4) Training Roster
(5) Exercise Roster
UASI 12 Subrecipient Agreement 11
(6) Planning Roster
J. Any and all requests for Sole Source procurements or contracts must be
approved by the City and CalEMA prior to Subrecipient entering into such
contract. Such request shall be made on a Sole Source Request Form, as
attached hereto as Exhibit I. Any such request may be denied by City and
CalEMA in their sole discretion.
K. Any Grant Funds allocated to the Subrecipient which are used for the
improvement of real property must be promptly repaid following
deobligation/disallowment of such costs. CalEMA shall have the right to
place a lien on any such improved real property for any amounts owed in
connection with such deobligation/disallowment.
UASI 12 Subrecipient Agreement 12
III.
PAYMENT
§301. Payment of Grant Funds and Method of Payment
A. The City of Los Angeles shall disburse to Subrecipient its allocated Grant
amount of One Hundred Eighty -Eight Thousand Three Hundred Eleven
Dollars ($188,311.00) to be used for purchase of equipment, planning,
202 above. Such Grant amount represents the amount allocated to
Subrecipient in the FY 12 UASI grant budget as approved by the Grantor.
The disbursement of such funds shall be made on a reimbursement basis
only.
Subrecipient shall maintain procedures to minimize the time elapsing
between the award of Grant Funds and the expenditure of funds to be
reimbursed by such Grant Funds.
B. Subrecipient shall prepare, maintain and provide to the City invoices
requesting payment as well as purchase orders, proof of delivery, proof of
payment and payroll records, timesheets, receipts and any other
supporting documentation necessary to fully and accurately describe the
expenditure of funds for which reimbursement from Grant Funds is sought
under this Agreement. All such supporting documentation shall satisfy
applicable Federal, State and City audit and review standards and
requirements. Such documentation shall be prepared at the sole expense
and responsibility of the Subrecipient, and the City will not reimburse the
Subrecipient for any costs incurred for such preparation. The City may
request, in writing, changes to the content and format of such
documentation at any time, and the City reserves the right to request
additional supporting documentation to substantiate costs incurred at any
time. In addition, each reimbursement request shall be accompanied by
the Reimbursement Request Form (Exhibit J) and Equipment Ledger
(Exhibit G), Training Roster (Exhibit G), Planning Roster (Exhibit G) and/or
Exercise Roster (Exhibit G), as applicable, detailing the expenditures
made by Subrecipient as authorized by Section 202 above. For
equipment for which Subrecipient is requesting reimbursement, an
equipment ledger (Exhibit G) and all appropriate back-up documentation
must be attached to the reimbursement form, including invoices and
supporting documentation, including proof of payment and proof of
delivery. For training and exercise reimbursements, Subrecipient must
include a copy of the class training roster (Exhibit G) or class exercise
roster (Exhibit G) verifying training attendees, proof that a CaIEMA
tracking number has been assigned to the course, and supporting
documentation, including timesheets and payroll registers for all training
attendees.
UASI 12 Subrecipient Agreement 13
The Grantor seeks to encourage Regional Projects, where two or
more jurisdictions or Urban Areas join together on a given project
for the common good of the region. For regional project
reimbursements, Subrecipient must include approval from the lead
aaencv for all submitted invoices.
Reimbursement requests must be submitted to the City monthly.
Final reimbursement requests for the grant period must be
submitted to the City no later than 30 days prior to the end of the
Term. The City will notify the Subrecipient in writing if
reimbursement requests are inaccurate and/or incomplete.
Inaccurate and/or incomplete reimbursement requests shall be
returned to the Subrecipient for revision and shall be accepted by
the City when reimbursement requests are accurate and complete.
C. Payment of final invoices shall be withheld by the City until the City has
determined that Subrecipient has turned in all supporting documentation
and satisfied the requirements of this Agreement.
D. If applicable, Subrecipient must account separately for all interest income
earned from the Grant Funds. In accordance with Grantor regulations and
44 CFR Part 13, interest earned on Grant Funds must be reported and
returned to the City. Subrecipient will maintain records of and account for
any interest earned, if applicable, on Grant Funds. If applicable,
Subrecipient shall promptly return to the City all Grant Funds received
which exceed the approved, actual expenditures as accepted by CaIEMA
and Grantor. In the event the amount of the Grant Funds allocated to
Subrecipient is reduced, the reimbursement payable to the Subrecipient
will be reduced accordingly.
E. It is understood that the City makes no commitment to fund this
Agreement beyond the terms set forth herein. Funding for all periods of
this Agreement is subject to the continuing availability to the City of federal
funds for this program from the Grantor. The Agreement may be
terminated immediately upon written notice to Subrecipient of such loss or
reduction of Federal grant funds.
F. The City reserves the right at any time to modify the amount of Grant
Funds allocated to the Subrecipient in this Agreement in the event that the
Subrecipient does not meet milestone spending deadlines or other project
milestones for their contemplated projects as set forth in Subrecipient's
Project Timeline. The Subrecipient will be notified in writing of such
modifications made to its allocation of Grant Funds for failure to meet
UASI 12 Subrecipient Agreement 14
milestones or deadlines set forth in its Project Timeline. Such
modifications include, but are not limited to, suspension, termination or
reduction of Grant Funds allocated to the Subrecipient. In addition,
Subrecipient shall promptly repay to City any unapproved expenditures
relating to such modifications.
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UASI 12 Subrecipient Agreement 15
IV.
STANDARD PROVISIONS
§401. Construction of Provisions and Titles Herein
All titles, subtitles, or headings in this Agreement have been inserted for
c_onvenience_and-shall-not-be-deemed-to-affect-the-meaning-or-construction-of -
any of the terms or provisions hereof. The language of this Agreement shall be
construed according to its fair meaning and not strictly for or against either party.
The word "Subrecipient" herein and in any amendments hereto includes the party
or parties identified in this Agreement. The singular shall include the plural. If
there is more than one Subrecipient as identified herein, unless expressly stated
otherwise, their obligations and liabilities hereunder shall be joint and several.
Use of the feminine, masculine, or neuter genders shall be deemed to include the
genders not used.
§402. Applicable Law. Interpretation and Enforcement
Each party's performance hereunder shall comply with all applicable laws of the
United States of America, the State of California, the County and City of Los
Angeles, including but not limited to, laws regarding health and safety, labor and
employment, wage and hours and licensing laws which affect employees. This
Agreement shall be enforced and interpreted under the laws of the State of
California without regard to conflict of law principles. Subrecipient shall comply
with new, amended, or revised laws, regulations, and/or procedures that apply to
the performance of this Agreement.
In any action arising out of this Agreement, Subrecipient consents to personal
jurisdiction, and agrees to bring all such actions, exclusively in state and federal
courts located in Los Angeles County, California.
If any part, term or provision of this Agreement shall be held void, illegal,
unenforceable, or in conflict with any law of a federal, state or local government
having jurisdiction over this Agreement, the validity of the remaining parts, terms
or provisions of this Agreement shall not be affected thereby.
§403. Integrated Agreement
This Agreement sets forth all of the rights and duties of the parties with respect to
the subject matter hereof, and replaces any and all previous agreements or
understandings, whether written or oral, relating thereto. This Agreement may be
amended only as provided for herein.
UASI 12 Subrecipient Agreement 16
§404. Excusable Delays
In the event that performance on the part of any party hereto shall be delayed or
suspended as a result of circumstances beyond the reasonable control and
without the fault and negligence of said party, none of the parties shall incur any
liability to the other parties as a result of such delay or suspension.
Circumstances deemed_ to_bs_heyond_the -control -of-the-parties-hereunder-shall
include, but not be limited to, acts of God or of the public enemy; insurrection;
acts of the Federal Government or any unit of State or Local Government in
either sovereign or contractual capacity; fires; floods; epidemics; quarantine
restrictions; strikes, freight embargoes or delays in transportation; to the extent
that they are not caused by the party's willful or negligent acts or omissions and
to the extent that they are beyond the party's reasonable control.
§405. Breach
Except for excusable delays as described in §404 herein, if any party fails to
perform, in whole or in part, any promise, covenant, or agreement set forth
herein, or should any representation made by it be untrue, any aggrieved party
may avail itself of all rights and remedies, at law or equity, in the courts of law.
Said rights and remedies are cumulative of those provided for herein except that
in no event shall any party recover more than once, suffer a penalty or forfeiture,
or be unjustly compensated.
§406. Prohibition Against Assignment or Delegation
Subrecipient may not, unless it has first obtained the written permission of the
City:
A. Assign or otherwise alienate any of its rights hereunder, including the right
to payment; or
B. Delegate, subcontract, or otherwise transfer any of its duties hereunder
§407. Permits
Subrecipient and its directors, officers, agents, employees and
contractors/subcontractors, to the extent allowed hereunder, shall obtain and
maintain all licenses, permits, certifications and other documents necessary for
Subrecipient's performance hereunder and shall pay any fees required therefor.
Subrecipient shall immediately notify the City of any suspension, termination,
lapses, non -renewals or restrictions of licenses, permits, certificates, or other
documents.
UASI 12 Subrecipient Agreement 17
§408. Nondiscrimination and Affirmative Action
Subrecipient shall comply with the applicable nondiscrimination and affirmative
action provisions of the laws of the United States of America, the State of
California, the County and the City of Los Angeles. In performing this
Agreement, the Subrecipient shall not discriminate in its employment practices
race, religion, national origin, ancestry, sex, sexual orientation, age, physical
handicap, mental disability, marital status, domestic partner status, or medical
condition. The Subrecipient shall comply with Executive Order 11246, entitled
"Equal Employment Opportunity", as amended by Executive Order 11375, and as
supplemented in Department of Labor regulations (41 CFR Part 60). Any
subcontract entered into by the Subrecipient relating to this Agreement, to the
extent allowed hereunder, shall be subject to the provisions of this paragraph.
§409. Bonds
Duplicate copies of all bonds, which may be required hereunder, shall conform to
City requirements established by charter, ordinance or policy and all federal
requirements regarding the use of Grant Funds and shall be filed with the Office
of the City Administrative Officer, Risk Management for its review in accordance
with Los Angeles Administrative Code Sections 11.47 through 11.56.
§410. Indemnification
Each of the parties to this Agreement is a public entity. In contemplation of the
provisions of Section 895.2 of the Government Code of the State of California
imposing certain tort liability jointly upon public entities, solely by reason of such
entities being parties to an Agreement as defined by Section 895 of said Code,
the parties hereto, as between themselves, pursuant to the authorization
contained in Sections 895.4 and 895.6 of said Code, will each assume the full
liability imposed upon it or upon any of its officers, agents, or employees by law,
for injury caused by a negligent or wrongful act or omission occurring in the
performance of this Agreement, to the same extent that such liability would be
imposed in the absence of Section 895.2 of said Code. To achieve the above -
stated purpose, each party indemnifies and holds harmless the other party solely
by virtue of said Section 895.2. The provision of Section 2778 of the California
Civil Code is made a part hereto as if fully set forth herein. Subrecipient certifies'
that it has adequate self insured retention of funds to meet any obligation arising
from this Agreement.
A. Pursuant to Government Code Sections 895.4 and 895.6, the parties shall
each assume the full liability imposed upon it, or any of its officers, agents
UASI 12 Subrecipient Agreement 18
or employees, by law for injury caused by any negligent or wrongful act or
omission occurring in the performance of this Agreement.
B. Each party indemnifies and holds harmless the other party for any loss,
costs, or expenses that may be imposed upon such other party by virtue
of Government Code section 895.2, which imposes joint civil liability upon
public entities solely by reason of such entities being parties to an
agreement, as defined by Government Code section 895.
C. In the event of third -party loss caused by negligence, wrongful act or
omission by both Parties, each party shall bear financial responsibility in
proportion to its percentage of fault as may be mutually agreed or judicially
determined. The provisions of Civil Code Section 2778 regarding
interpretation of indemnity agreements are hereby incorporated
§411. Conflict of Interest
A. Subrecipient shall establish safeguards to prohibit employees from using
their positions for a purpose that constitutes, or presents the appearance
of, personal or organizational conflict of interest, or personal gain for
themselves or others, particularly those with whom they have family,
business, or other ties. Subrecipient covenants that none of its directors,
officers, employees, or agents shall participate in selecting, or
administrating any subcontract supported (in whole or in part) by Federal
funds where such person is a director, officer, employee or agent of the
subcontractor; or where the selection of subcontractors is or has the
appearance of being motivated by a desire for personal gain for
themselves or others such as family business, etc.; or where such person
knows or should have known that:
A member of such person's immediate family, or domestic partner
or organization has a financial interest in the subcontract;
2. The subcontractor is someone with whom such person has or is
negotiating any prospective employment; or
3. The participation of such person would be prohibited by 44 CFR
§13.36, the California Political Reform Act, California Government
Code §87100 et sea• if such person were a public officer, because
such person would have a "financial or other interest" in the
subcontract.
B. Definitions:
The term "immediate family" includes but is not limited to domestic
partners and/or those persons related by blood or marriage, such
as husband, wife, father, mother, brother, sister, son, daughter,
UASI 12 Subrecipient Agreement 19
father-in-law, mother-in-law, brother-in-law, sister-in-law, son-in-
law, daughter-in-law.
2. The term "financial or other interest" includes but is not limited to:
Any direct or indirect financial interest in the specific
contract, including a commission or fee, a share of the
proceeds, prospect of a promotion or of future employment,
a profit, or any other form of financial reward.
Any of the following interests in the subcontractor ownership:
partnership interest or other beneficial interest of five percent
or more; ownership of five percent or more of the stock;
employment in a managerial capacity; or membership on the
board of directors or governing body.
C. The Subrecipient further covenants that no officer, director, employee, or
agent shall solicit or accept gratuities, favors, anything of monetary value
from any actual or potential subcontractor, supplier, a party to a sub
agreement, (or persons who are otherwise in a position to benefit from the
actions of any officer, employee, or agent).
D. The Subrecipient shall not subcontract with a former director, officer, or
employee within a one year period following the termination of the
relationship between said person and the Subrecipient.
E. Prior to obtaining the City's approval of any subcontract, the Subrecipient
shall disclose to the City any relationship, financial or otherwise, direct or
indirect, of the Subrecipient or any of its officers, directors or employees or
their immediate family with the proposed subcontractor and its officers,
directors or employees.
F. For further clarification of the meaning of any of the terms used herein, the
parties agree that references shall be made to the guidelines, rules, and
laws of the City of Los Angeles, State of California, and Federal
regulations regarding conflict of interest.
G. The Subrecipient warrants that it has not paid or given and will not pay or
give to any third person any money or other consideration for obtaining
this Agreement.
H. The Subrecipient covenants that no member, officer or employee of
Subrecipient shall have interest, direct or indirect, in any contract or
subcontract or the proceeds thereof for work to be performed in
connection with this project during his/her tenure as such employee,
member or officer or for one year thereafter.
UASI12SubrecipientAgreement 20
The Subrecipient shall incorporate the foregoing subsections of this
Section into every agreement that it enters into in connection with this
project and shall substitute the term "subcontractor" for the term
"Contractor" and "sub subcontractor" for "Subcontractor".
§412. Restriction on Disclosures
Any reports, analysis, studies, drawings, information, or data generated as a
(California Government Code §62W et se .).
§413. Minority, Women, and Other Business Enterprise Outreach Program
It is the policy of the City to provide minority business enterprises (MBEs),
women business enterprises (WBEs) and all other business enterprises an equal
opportunity to participate in the performance of all contracts and subcontracts,
including procurement, construction and personal services. In accordance with
CalEMA/Grantor directives, as applicable, Subrecipient agrees that, to the extent
contractors or subcontractors are utilized, Subrecipient shall use small, minority,
women -owned, or disadvantaged business concerns and contractors or
subcontractors to the extent practicable and shall take the affirmative steps as
set forth in 44 CFR §13.36(e).
§414. Publications and Use of Grantor Markings
All publications created or published with funding under this Grant shall
prominently contain the following statement: "This document was prepared
under a grant from FEMA's Grant Programs Directorate, U.S. Department of
Homeland Security. Points of view or opinions expressed in this document are
those of the authors and do not necessarily represent the official position or
policies of FEMA's Grant Programs Directorate or the U. S. Department of
Homeland Security." Subrecipient shall comply with requirements to
acknowledge Federal funding when issuing statements, press releases, requests
for proposals, bid invitations, and other documents describing projects or
programs funded in whole or in part by Grant Funds.
Subrecipient shall obtain Grantor approval prior to using Grantor seal(s), logos,
crests or reproductions of flags or likenesses of Grantor agency officials,
including the use of the United States Coast Guard seal, logo, crests or
reproductions of flags or likenesses of Coast Guard officials.
§415. Compliance with State and Federal Statutes and Regulations
A. Statutes and Regulations Applicable To All Grant Contracts
Subrecipient shall comply with all applicable requirements of Federal,
State, County and City of Los Angeles laws, executive orders, regulations,
UASI 12 Subrecipient Agreement 21
program and administrative requirements, policies and any other
requirements governing this Agreement and the Grant. Subrecipient shall
comply with state and federal laws and regulations pertaining to labor,
wages, hours, and other conditions of employment. Subrecipient shall
comply with new, amended, or revised laws, regulations, and/or
procedures that apply to the performance of this Agreement and the
Grant. When reference is made in the provisions set forth in this Section
415 with regards to laws, rules and regulations "as applicable" (or a
variation thereof) to the Subrecipient, it shall be construed to mean "as
applicable" to the Subrecipient as a subgrantee of the Grant. These
requirements include, but are not limited to:
Office of Management and Budget (OMB) Circulars
Subrecipient shall comply with OMB Circulars, as applicable: OMB
Circular A-21 (Cost Principles for Educational Institutions); OMB
Circular A-87 (Cost Principles for State, Local, and Indian Tribal
Governments); OMB Circular A-102 (Grants and Cooperative
Agreements with State and Local Governments); Common Rule,
Subpart C for public agencies or OMB Circular A-110 (Uniform
Administrative Requirements for Grants and. Other Agreements with
Institutions of Higher Education, Hospitals and Other Non -Profit
Organizations); OMB Circular A-122 (Cost Principles for Non -Profit
Organizations); OMB Circular A-133 (Audits of States, Local
Governments, and Non -Profit Organizations).
2. Single Audit Act
If Federal funds are used in the performance of this Agreement,
Subrecipient shall adhere to applicable rules and regulations of the
Single Audit Act, 31 USC §7501 et seg.; City Council action dated
February 4, 1987 (C.F. No. 84 2259 S1); and any administrative
regulation or field memos implementing such Act.
3. Americans with Disabilities Act
Subrecipient hereby certifies that it will comply, as applicable, with
the requirements of Titles I, II and III of the Americans with
Disabilities Act of 1990 ("ADA"), 42 USC §§ 12101 et sec., and its
implementing regulations, including Subtitle A, Title II of the ADA.
Subrecipient will provide, as applicable, reasonable
accommodations to allow qualified individuals with disabilities to
have access to and to participate in its programs, services and
activities in accordance with the provisions of the ADA.
Subrecipient will not discriminate against persons with disabilities
nor against persons due to their relationship to or association with a
person with a disability. Any contract entered into by the
UASI 12 Subrecipient Agreement 22
Subrecipient (or any subcontract thereof), relating to this
Agreement, to the extent allowed hereunder, shall be subject to the
provisions of this paragraph.
4. Political and Sectarian Activity Prohibited
None of the funds, materials, property or services provided
directly or indirectly under this Agreement shall be used for
any partisan political activity, or to further the election or
defeat of any candidate for public office. Subrecipient shall
not use any funds provided under this Agreement, directly or
indirectly, to support the enactment, defeat, repeal,
modification or adoption of any law, regulation, pending
legislation, pending regulation, or policy (pending or
otherwise), at any level of government. None of the funds
provided pursuant to this Agreement shall be used for any
sectarian purpose or to support or benefit any sectarian
activity.
b. Concurrent with the execution of this Agreement,
Subrecipient shall submit to the City a Certification
Regarding Lobbying and a Disclosure Form in accordance
with 31 U.S.C. §1352. A copy of the Certificate is attached
hereto as Exhibit C and incorporated herein. No funds will
be released to Subrecipient until the Certification is filed.
c. Subrecipient shall file a Disclosure Form at the end of each
calendar quarter in which there occurs any event requiring
disclosure or which materially affects the accuracy of any of
the information contained in any Disclosure Form previously
filed by Subrecipient. Subrecipient shall require that the
language of this Certification be included in the award
documents for all sub -awards at all tiers and that all
subcontractors shall certify and disclose accordingly.
5. Records Inspection and Investigations
a. At any time during normal business hours and as often as
the Grantor/CaIEMA, the City, the Federal government, the
General Accounting Office, the Comptroller General of the
United States, the State of California and the Office of
Inspector General may deem necessary, Subrecipient shall
make available for examination all of its records with respect
to all matters covered by this Agreement. Subrecipient
hereby gives the Grantor/CaIEMA, the City, the Federal
government, the General Accounting Office, the Comptroller
General of the United States, the State of California and the
UASI 12 Subrecipient Agreement 23
Office of Inspector General, through any authorized
representative, access to, and the right to examine, audit
and make excerpts or transcripts of, all paper or electronic
records, books, or documents related to the Grant Funds
and all matters covered by this Agreement, including, but not
limited to all Subrecipient's invoices, materials, payrolls,
records of personnel, conditions of employment and other
data. The access and inspections rights set forth herein
shall include access to applicable facilrm a,_personnel and
other individuals and information as may be necessary and
as required by the Grantor and CalEMA and applicable
Grant regulations and guidance.
Subrecipient agrees to submit timely, complete and accurate
reports to appropriate Grantor, CalEMA and City
representatives as may be requested and maintain
appropriate backup documentation to support such reports.
Subrecipient shall comply with all other special reporting,
data collection and evaluation requirements as prescribed by
law or detailed in applicable Grant regulations and guidance.
C. Subrecipient shall cooperate with any compliance review or
complaint investigation conducted by the Grantor, CaIEMA
and/or the City in connection with Subrecipient's use of
Grant Funds.
d. The provisions of this Section shall survive the termination of
this Agreement.
6. Records Maintenance
Records, in their original form, shall be maintained in accordance
with requirements prescribed by the City and CaIEMA/Grantor with
respect to all matters covered on file for all documents specified in
this Agreement. Original forms are to be maintained on file for all
documents specified in this Agreement. Such records shall be
retained for a period of five (5) years after termination of this
Agreement and after final disposition of all pending matters.
"Pending matters" include, but are not limited to, an audit, litigation
or other actions involving records. The City may, at its discretion,
take possession of, retain and audit said records. Records, in their
original form pertaining to matters covered by this Agreement, shall
at all times be retained within the County of Los Angeles unless
authorization to remove them is granted in writing by the City.
Subrecipient shall establish a proper accounting system in
accordance with generally accepted accounting standards and/or
UASI 12 Subrecipient Agreement 24
CaIEMA/Grantor directives. The provisions of this Section shall
survive the termination of this Agreement.
7. Subcontracts and Procurement
Subrecipient shall comply with applicable State, Federal and
Subrecipient standards in the award of any subcontracts, including
complying with the provisions set -forth in 44-CFR-§13.36-For
purposes of this Agreement, subcontracts shall include but not be
limited to purchase agreements, rental or lease agreements, third
party agreements, consultant service contracts and construction
subcontracts.
Subrecipient shall ensure that the terms of this Agreement with the
City are incorporated into all subcontract agreements. Subrecipient
shall submit all Subcontractor Agreements to the City for review
prior to the release of any funds to the subcontractor. Subrecipient
shall withhold funds to any subcontractor agency that fails to
comply with the terms and conditions of this Agreement and their
respective subcontract agreement.
8. Labor
a. Subrecipient shall comply, as applicable, with the
Intergovernmental Personnel Act of 1970 (42 U.S.C.
§§4728-4763) relating to prescribed standards for merit
systems for programs funded under one of the 19 statutes or
regulations specified in Appendix A of OPM's Standards for
a Merit System Personnel Administration (5 CFR 900,
Subpart F).
b. Subrecipient shall comply, as applicable, with the provisions
of the Davis -Bacon Act (40 U.S.C. §§276a to 276a-7), the
Copeland Act (40 U.S.C. §276c and 18 U.S.C. §874), the
Contract Work Hours and Safety Standards Act (40 U.S.C.
§§327-333), regarding labor standards for federally -assisted
construction subagreements, and the Hatch Act (5 U.S.C.
§§1501-1508 and 7324-7328), which limit the political
activities of employees whose principal employment
activities are funded in whole or in part with Federal funds.
C. Subrecipient shall comply, as applicable, with the Federal
Fair Labor Standards Act (29 U.S.C. § 201), as they apply to
employees of institutions of higher education, hospitals, and
other non-profit organizations.
UASI 12 Subrecipient Agreement 25
d. None of the funds shall be used to promote or deter
union/labor organizing activities in accordance with
California Government Code §16645 et seq.
9. Civil Rights
Subrecipient shall comply, and will assure the compliance of all its
agents and contractors, with allapplicable-Federal-and-State--
statutes relating to civil rights and nondiscrimination. These include
but are not limited to: (a) Title VI of the Civil Rights Act of 1964
(P.L. 88-352), as amended, which prohibits discrimination on the
basis of race, color or national origin; (b) Title IX of the Education
Amendments of 1972, as amended (20 U.S.C. §§1681- 1683, and
1685-1686, 44 CFR Part 19), which prohibits discrimination on the
basis of sex; (c) Section 504 of the Rehabilitation Act of 1973, as
amended (29 U.S.C. §794), which prohibits discrimination against
individuals with disabilities; (d) The Age Discrimination Act of 1975,
as amended (42 U.S.C. §§6101-6107), which prohibits
discrimination on the basis of age; (e) the Drug Abuse Office and
Treatment Act of 1972 (P.L. 92-255), as amended, relating to
nondiscrimination on the basis of drug abuse; (f) the
Comprehensive Alcohol Abuse and Alcoholism Prevention,
Treatment and Rehabilitation Act of 1970 (P.L. 91-616) as
amended, relating to nondiscrimination on the basis of alcohol
abuse or alcoholism; (g) §§523 and 527 of the Public Health
Service Act of 1912 (42 U.S.C. §§290 dd-3 and 290 ee-3), as
amended, relating to confidentiality of alcohol and drug abuse
patient records; (h) Title VIII of the Civil Rights Act of 1968 (42
U.S.C. §§3601 et sec ), as amended, relating to non-discrimination
in the sale, rental, financing and advertising of dwellings, or in the
provision of services in connection therewith, as implemented by
the Department of Housing and Urban Development at 24 CFR
Part 100; (i) Title 44 Code of Regulations (CFR) Parts 7, 16, and 19
relating to nondiscrimination; 0) the requirements of any other
nondiscrimination provisions in the specific statute(s) under which
application for Federal assistance is being made; (k) the
nondiscrimination requirements and all other provisions of the
current edition of the OJP Financial and Administrative Guide for
Grants, M7100.1; and (1) P.L. 93-348 regarding the protection of
human subjects involved in research, development, and related
activities supported by this award of assistance.
In the event that a Federal or State court or Federal or State
administrative agency makes a finding of discrimination after a due
process hearing on the grounds of race, color, religion, national
UASI 12 Subrecipient Agreement 26
origin (including limited English proficiency), gender, age, familial
status or disability against Subrecipient or any of its subgrantees,
contractors or subcontractors being funded with Grant Funds, or
the Subrecipient or any of its subgrantees, contractors or
subcontractors settles a case or matter alleging such
discrimination, the Subrecipient will forward a copy of the complaint
and findings to the City, the Grantor/CaIEMA and the United States
Department of Justice Office of Civil Rights, Office of Justice
Programs. The United States shall have the right to seek judicial
enforcement of the obligations set forth herein. If, during the past
three years, the Subrecipient has been accused of any such
discrimination, the Subrecipient shall provide a list of all such
proceedings, pending or completed, including outcome and copies
of settlement agreements to the City, the Grantor/CaIEMA, and the
United States Department of Justice Office of Civil Rights.
Subrecipient will comply with the requirements of Executive Order
13166 (Improving Access to Services for Persons with Limited
English Proficiency). Subrecipient shall take reasonable steps to
ensure that persons with limited English proficiency (LEP) have
meaningful access to its programs. Meaningful access may entail
providing language assistance services, including oral and written
translation, where necessary. Subrecipients are encouraged to
consider the need for language services for LEP persons served or
encountered. both in developing budgets and in conducting
programs and activities. Assistance and information regarding LEP
obligations may be found at http://www.lep.gov.
10. Environmental
a. Subrecipient shall comply, or has already complied, with the
applicable requirements of Titles II and III of the Uniform
Relocation Assistance and Real Property Acquisition
Policies Act of 1970 (42 U.S.C. §4601 et seq. [P.L. 91-646])
which provide for fair and equitable treatment of persons
displaced or whose property is acquired as a result of
Federal or Federally -assisted programs. These requirements
apply to all interests in real property acquired for project
purposes regardless of Federal participation in purchases.
Subrecipient shall also comply, as applicable, with Title 44
CFR Part 25, Uniform Relocation Assistance and Real
Property Acquisition for Federal and Federally -assisted
programs.
Subrecipient shall comply, as applicable, with, and provide
any information requested by DHS/FEMA/CalEMA to ensure
compliance with, the following laws: (a) the requirements of
UASI 12 Subrecipient Agreement 27
the National Environmental Policy Act (NEPA), as amended
(42 U.S.C. §4331 et seq.) and Executive Orders (EO) 11514
and 12898; (b) notification of violating facilities pursuant to
EO 11738; (c) protection of wetlands pursuant to EO 11990
and 44 CFR Part §9; (d) evaluation of flood hazards in
floodplains in accordance with EO 11988; (e) assurance of
project consistency with the approved State management
program developed under the Coastal Zone Management
Act of 1972 (16 U.S.C. §§1451 et seq_)_;_(fl1Qsquirements_of
the Clean Air Act of 1970 and the Clean Water Act of 1977
(42 U.S.C. §§7401 et seq.) and Executive Order 11738; (g)
protection of underground sources of drinking water under
the Safe Drinking Water Act of 1974, as amended (P.L. 93-
523); (h) protection of endangered species under the
Endangered Species Act of 1973, as amended (P.L. 93205);
(i) the flood insurance purchase requirements of the Flood
Disaster Protection Act of 1973, as amended (42 U.S.C.
§4001 et seq.) which requires recipients of Federal funds in
a special flood hazard area to participate in the program and
to purchase flood insurance if the total cost of insurable
construction and acquisition is ten thousand dollars
($10,000) or more; Q) requirements of Section 1306(c) of the
National Flood Insurance Act of 1968, as amended (44 CFR
Part §63); and (k) 44 CFR Part §10, Environmental
Considerations.
C. Subrecipient shall comply with all applicable Federal, State,
and local environmental and historical preservation (EHP)
requirements. Failure to meet Federal, State, and local EHP
requirements and obtain applicable permits may jeopardize
Federal funding. Subrecipient shall comply with all
applicable conditions placed on any project as the result of
the EHP review, and any change to the scope of work of a
project will require re-evaluation of compliance with these
EHP requirements. Subrecipient agrees not to undertake
any project funded by the Grant having the potential to
impact the EHP resources without prior written approval of
City and DHS/FEMA/CaIEMA, including, but not limited to,
ground disturbance, construction, modification to any
structure, communications towers, physical security
enhancements, any structure over 50 years old, and
purchase and/or use of any sonar equipment. Any
construction related activities initiated prior to full EHP .
review will result in a noncompliance finding. Subrecipient
must complete the FEMA EHP Screening Form (OMB
Number 1660-0115/FEMA Form 024-0-01) and submit it,
with all supporting documentation, to City and CalEMA for
UASI 12 Subrecipient Agreement 28
review. If ground -disturbing activities occur during the
project implementation, the Subrecipient must ensure
monitoring of the disturbance. If any potential archaeological
resources are discovered, the Subrecipient will immediately
cease activity in that area and notify the City and
DHS/FEMA/CalEMA and the appropriate State Historic
Preservation Office.
Scenic Rivers Act of 1968 (16 U.S.C. §§1271 et seq.) related
to protecting components or potential components of the
national wild and scenic rivers system.
e. Subrecipient shall comply, as applicable, with the Lead -
Based Paint Poisoning Prevention Act (42 U.S.C. §§4801 et
seq.) which prohibits the use of lead -based paint in
construction or rehabilitation of residence structures.
f. Subrecipient shall comply, as applicable, with the Federal
Water Pollution Control Act (33 U.S.C. § 1251 et seq.) which
restores and maintains the chemical, physical and biological
integrity of the Nation's waters.
g. Subrecipient shall ensure that the facilities under its
ownership, lease or supervision which shall be utilized in the
accomplishment of Subrecipient's projects funded by the
Grant are not on the Environmental Protection Agency's
(EPA) List of Violating Facilities, and it will notify the City and
DHS/FEMA/CalEMA of the receipt of any communication
from the Director of the EPA Office of Federal Activities
indicating that a facility to be used in the project is under
consideration for listing by the EPA.
h. Subrecipient is, and shall be in compliance with the
applicable provisions of the California Environmental Quality
Act (CEQA), Public Resources Code §21000 et seq. and
California Code of Regulations, Title 14, Chapter 3 Section
15000-15007.
Subrecipient shall comply, as applicable, with the Energy
Policy and Conservation Act (P.L. 94-163, 89 Stat. 871).
j. Subrecipient shall comply with applicable provisions of the
Coastal Barrier Resources Act (P.L. 97-348) dated October
19, 1982 (16 U.S:C. 3501 et seq.) which prohibits the
expenditure of most new Federal funds within the units of the
Coastal Barrier Resources System.
UASI 12 Subrecipient Agreement 29
11. Preservation
Subrecipient shall comply, as applicable, with Section 106 of the
National Historic Preservation Act of 1966, as amended (16 U.S.C.
§470), EO 11593 (identification and protection of historic
properties), and the Archaeological and Historic Preservation Act of
1974 (16 U.S.C. §§469a-1 et seq.).
12. Suspension and Debarment
Subrecipient shall comply, as applicable, with Federal Register,
Volume 68, Number 228, regarding Suspension and Debarment,
and Subrecipient shall submit a Certification Regarding Debarment
required by Executive Order 12549 and 12689 and any amendment
thereto (attached hereto as Exhibit B and made a part hereof).
Said Certification shall be submitted to the City concurrent with the
execution of this Agreement and shall certify that neither
Subrecipient nor its principals are presently debarred, suspended,
proposed for debarment, declared ineligible or voluntarily excluded
from participation in this transaction by any federal department
head or agency. Subrecipient shall require that the language of this
Certification be included in the award documents for all sub -award
at all tiers and that all subcontractors shall certify accordingly.
Subrecipient shall not make any award or permit any award
(subcontract or contract) to any party which is debarred or
suspended or is otherwise excluded from or ineligible for
participation in Federal assistance programs under Executive Order
12549 and 12689, "Debarment and Suspension."
13. Drug -Free Workplace
Subrecipient shall comply, as applicable, with the Federal Drug -
Free Workplace Act of 1988, 41 U.S.C. §701 et. seq., 44 CFR Part
17, 2 CFR 3001, and the California Drug -Free Workplace Act of
1990, Government Code §§ 8350-8357. Subrecipient shall execute
and submit to the City concurrent with the execution of this
Agreement the Certification Regarding Drug Free Workplace
Requirements attached hereto as Exhibit D and made a part
hereof. Failure to comply with these requirements may be cause
for debarment.
14. Miscellaneous
Subrecipient shall comply, as applicable, with the Animal Welfare
Act of 1966, as amended (P.L. 89-544, 7 U.S.C. §§2131 et seq.),
pertaining to the care, handling and treatment of warm blooded
animals held for research, teaching, or other activities.
UASI 12 Subrecipient Agreement 30
Subrecipients must establish appropriate policies and procedures
for the humane care and use of animals based on the Guide for the
Care and Use of Laboratory Animals and comply with the Public
Health Service Policy and Government Principles Regarding the
Care and Use of Animals. Pursuant to the Consolidated
Appropriations Act of 2008 (P.L. 110-161) grant funds must not be
used in contravention of the federal buildings performance and
reporting requirements of Executive Order No. 13123, part 3 of Title
V of the National Energy Conservation Policy Act (42 U.S.C. 8251
et seq.) or subtitle A of Title I of the Energy Policy Act of 2005
(including the amendments made thereby), nor shall Grant Funds
be used in contravention of section 303 of the Energy Policy Act of
1992 (42 U.S.C. 13212).
B. Statutes and Regulations Applicable To This Particular Grant
Subrecipient shall comply with all applicable requirements of state and
federal laws, executive orders, regulations, program and administrative
requirements, policies and any other requirements governing this
particular Grant program. Subrecipient shall comply with new, amended,
or revised laws, regulations, and/or procedures that apply to the
performance of this Agreement. These requirements include, but are not
limited to:
Title 44 Code of Federal Regulations (CFR) Subchapters A, B and
C; EO 12372; Current edition of the OJP Financial Guide
(M7100.1); Current edition of the DHS Financial Management
Guide; DOJ Office for Civil Rights Regulations; Title 2 CFR Parts
215, 225, 220, and 230; Federal Acquisition Regulations (FAR), 48
CFR Part 31.2 Contract Cost Principles and Procedures, Contracts
with Commercial Organizations; DHS 12 Guidance; CalEMA 12
Supplement;.CalEMA 12 Handbook; CalEMA FY 12 Grant
Assurances (attached hereto as Exhibit E); Grantor Information
Bulletins; and GMMs.
2. Standardized Emergency Management System (SEMS)
requirements as stated in the California Emergency Services Act,
Government Code Chapter 7 of Division 1 of Title 2, § 8607.1(e)
and CCR Title 19, §§ 2445-2448.
3. Technology Requirement:
(a) Subrecipient shall use the latest National Information Exchange
Model (NIEM) specifications and guidelines regarding the use of
Extensible Markup Language (XML) for all projects funded by this
Grant. Further information about the required. use of NIEM
specifications and guidelines is available at www.niem.gov.
UASI 12 Subrecipient Agreement 31
13
(b) For any information technology system funded by Grant Funds
under this Agreement, Subrecipient shall ensure that such project
complies with 28 CFR Part 23, Criminal Intelligence Systems
Operating Policies, if such regulation is determined to be
applicable.
In accordance with section 6 of the Hotel and Motel Fire Safety
Action of 1990, 15 U.S.C. §2225a, Subrecipient shall ensure that all
conference, meeting, convention, or training space funded in whole
or
control guidelines of the Federal Fire Prevention and Control Act of
1974,15 U.S.C. §2225.
5. Subrecipient shall comply with the applicable provisions of Section
106(g) of the Trafficking Victims Protection Act (TVPA) of 2000, as
amended (22 U.S.C. §7104, 2 CFR §175). Subrecipient
understands and agrees that it, and any of its subrecipients,
employees or subgrantees that are private entities, may not:
(a) Engage in severe forms of trafficking in persons during the
period of time that this Grant award is in effect;
(b) Procure a commercial sex act during the period of time that the
Grant award is in effect; or
(c) Use forced labor in the performance of the award or subaward
under this Grant award.
Subrecipient understands and agrees that the City, CalEMA and/or
Grantor may unilaterally terminate this Grant award to Subrecipient,
without penalty, if Subrecipient:
(d) Is determined to have violated a prohibition identified in this
paragraph 5, subparagraph a, b, or c; or
(e) Has an employee who is determined by an agency official
authorized to terminate this Grant award to have violated any such
prohibition through conduct that is either
(i) associated with performance under this Grant award; or
(ii) imputed to the Subrecipient or its authorized agent using
the standards and due process for imputing the conduct of
an individual to an organization provided in 2 CFR Part 180,
as implemented by Grantor at 2 CFR Part 3000.
Subrecipient further understands and agrees that:
UASI 12 Subrecipient Agreement 32
(f) It must inform the City and CaIEMA immediately of any
information received from any source alleging a violation of a
prohibition in this paragraph 5, subparagraph a, b or c;
(g) Grantor's right to terminate unilaterally as described in this
paragraph 5 implements Section 106(g) of the TVPA, and that the
right of the City, CaIEMA and Grantor to terminate this Grant award
and Agreement unilaterally is in addition to all other remedies for
noncompliance that are available under this Grant.
(h) For purposes of this paragraph 5:
(i) "Employee" means either:
i. an individual employed by the Subrecipient who is
engaged in the performance of the project or program
under this award; or
ii. another person engaged in the performance of the
project or program under this Grant award and not
compensated by Subrecipient, including, but not
limited to, a volunteer or individual whose services are
contributed by a third party as an in -kind contribution
toward cost sharing or matching requirements.
(ii) "Forced labor" means labor obtained by any of the
following methods: the recruitment, harboring, transportation,
provision, or obtaining of a person for labor or services,
through the use of force, fraud, or coercion for the purpose
of subjection to involuntary servitude, peonage, debt
bondage or slavery.
(iii) "Private entity' means any entity other than a state, local
government, Indian Tribe, or foreign public entity, as those
terms are defined in 2 CFR 175.25, and includes non-profit
organizations, including any non-profit institution of higher
education, hospital, or tribal organization other than one
included in the definition of Indian Tribe at 2 CFR 175.25(b),
and for -profit organizations.
(iv) "Severe forms of trafficking in persons," "commercial sex
act," and "coercion" have the meanings given at Section 103
of the TVPA, as amended.
6. "Classified national security information," as defined in Executive
Order (EO) 12958, as amended, means information that has been
determined pursuant to EO 12958 or any predecessor order to
require protection against unauthorized disclosure and is marked to
UASI 12 Subrecipient Agreement 33
indicate its classified status when in documentary form.
Subrecipient shall not use any Grant Funds to support a contract,
subaward, or other agreement for goods or services that will
include access to classified national security information if the
Subrecipient has not been approved by the Grantor for and has
access to such information. In the event Subrecipient has been so
approved for and has access to such information, Subrecipient
shall not use any Grant Funds to support a contract, subaward, or
other agreement for goods or services that will include access to
classified national security information by the contractor,
subawardee, or other entity without prior written approval from the
DHS Office of Security, Industrial Security Program Branch (ISPB),
or an appropriate official within the federal department or agency
with whom the classified effort will be performed. Such contracts,
subawards, or other agreements shall be processed and
administered in accordance with the DHS "Standard Operating
Procedures, Classified Contracting by States and Local Entities,"
dated July 7, 2008; Eos 12829, 12958, 12968, as amended; the
National Industrial Security Program Operating Manual (NISPOM);
and/or other applicable implementing directives or instructions. All
security requirement documents are located at:
http://www.dhs.gov/xopnbiz/grants/index.shtm. Upon determination
by Subrecipient that Grant Funds will be used to support such a
contract, subaward, or other agreement, and prior to execution of
any actions to facilitate the acquisition of such contract, subaward,
or other agreement, Subrecipient shall contract the City and ISPB,
or the applicable federal department or agency, for approval and
processing instructions.
7. Subrecipient shall ensure that any of its potential subrecipients of
Grant Funds has provided its Data Universal Numbering System
(DUNS) number.
8. Subrecipient shall comply with Grantor guidelines regarding the
handling of sensitive personally identifiable information, as required
by OMB M-07-16 and as set forth in DHS Handbook for
Safeguarding Sensitive PII, which can be found at
http://www.d hs.gov/xlibrary/assets/privacy/privacy_guide_spii_hand
book.pdf.
9. Subrecipient shall comply with the applicable requirements of the
Federal regulations at 45 CFR Part §46 and DHS Management
Directive 026-04 regarding the protection of human subjects in
research.
10. Subrecipient shall comply with the applicable requirements of the
Uniting and Strengthening America by Providing Appropriate Tools
UASI 12 Subrecipient Agreement 34
Required to Intercept and Obstruct Terrorism Act (USA PATRIOT
Act), which amends 18 U.S.C. §§175-175c.
11. Subrecipient shall comply with the applicable requirements of the
Preference for U.S. Flag Air Carriers: Travel supported by U.S.
Government funds requirement, which states preference for the use
of U.S. flag air carriers for international air transportation of people
and property to the extent that such service is available.
12—.—Subr—ecipen' t shal comply requirements that project
activities supported with Grant Funds and carried on outside the
United States are coordinated as necessary with appropriate
government authorities and that appropriate licenses, permits or
approvals are obtained.
13. Subrecipient shall comply with the applicable requirements of the
Federal Funding Accountability and Transparency Act (FFATA)
(P.L. 109-282), as amended by Section 6202(a) of the Government
Funding Transparency Act of 2008 (P.L. 110-252), and as clarified
in Grantor Information Bulletin #350 and GMM #350, regarding
disclosure of subawards and executive compensation.
C. Noncompliance
Subrecipient understands that failure to comply with any of the above
assurances or the Grant Assurances attached hereto as Exhibit E may
result in suspension, termination or reduction of Grant Funds, and
repayment by Subrecipient to City of any unlawful expenditures.
Subrecipient shall be liable to the Grantor for any funds the Grantor
determines that Subrecipient used in violation of these Grant Assurances
and Subrecipient shall indemnify and hold harmless the City for any sums
the Grantor determines Subrecipient used in violation of the Grant
Assurances. The provisions of this paragraph shall survive termination of
this Agreement.
§416. Inventions. Patents and Copyrights
A. Reporting Procedure for Inventions
If any project of Subrecipient funded under this Agreement produces any
invention or discovery ('Invention") patentable or otherwise under Title 35
of the U.S. Code, including, without limitation, processes and business
methods made in the course of work under this Agreement, Subrecipient
shall report the fact and disclose the Invention promptly and fully to the
City. The City shall report the fact and disclose the Invention to the
Grantor/FEMA/CalEMA. Unless there is a prior agreement between the
City and Grantor/FEMA/CalEMA, Grantor/FEMA/ CaIEMA shall determine
UASI 12 Subrecipient Agreement 35
whether to seek protection on the Invention. Grantor/FEMA/CaIEMA shall
determine how the rights in the Invention, including rights under any
patent issued thereon, will be allocated and administered in order to
protect the public interest consistent with the policy ("Policy") embodied in
the Federal Acquisition Regulations System, which is based on Ch. 18 of
Title 35 U.S.C. Sections 200 et seq. (Pub. L. 95-517, Pub. L. 98-620, 37
CFR part 401); Presidential Memorandum on Government Patent Policy to
the Heads of the Executive Departments and Agencies, dated 2/18/1983);
and Executive Order 12591_,-4L10/87,-52_ER-1.3_41_4, 3 CFR, 1.987Comp.,
p. 220 (as amended by Executive Order 12618, 12/22/87, 52 FR 48661, 3
CFR, 1987 Comp., p. 262). Subrecipient hereby agrees to be bound by
the Policy, will contractually require its personnel to be bound by the
Policy, and will consult with Grantor/FEMA/CalEMA regarding allocation of
any patent rights that arise from, or are purchased with, Grant Funds.
B. Rights to Use Inventions
City and Grantor/FEMA/CalEMA shall have an unencumbered right, and a
non-exclusive, irrevocable, royalty -free license, to use, manufacture,
improve upon, and allow others to do so for all government purposes, any
Invention developed under this Agreement.
C. Copyright Policy
Unless otherwise provided by the terms of the Grantor/FEMA or of this
Agreement, when copyrightable material ("Material") is first produced or
developed as part of a project funded by Grant Funds, the Grantor/FEMA,
at Grantor/FEMA's discretion, may copyright the Material. If the
Grantor/FEMA declines to copyright the Material, the Grantor/FEMA shall
have an unencumbered right, and a non-exclusive, irrevocable, royalty -
free license, to reproduce, display, publish, disseminate, perform, prepare
derivative works or otherwise use, and authorize others to use, for all
government purposes: (a) any Material so produced or developed and (b)
any rights of copyright to which Subrecipient purchases ownership with
Grant Funds. Subrecipient shall affix the applicable copyright notices of
17 U.S.C. §401 or §402 and an acknowledgement of government
sponsorship (including Grant award number) to any Material first produced
or developed under this Grant.
D. Rights to Data
The Grantor shall have unlimited rights or copyright license to any data
first produced or delivered under this Agreement or to any scientific,
technical, or other copyright work based on or containing data first
produced under this Agreement, including those works published in
academic, technical or professional journals, symposia proceedings, or
similar works. "Unlimited rights" means the right to use, disclose,
UASI 12 Subrecipient Agreement 36
reproduce, prepare derivative works, distribute copies to the public, and
perform and display publicly, or permit others to do so; as required by 48
CFR 27.401. Where the data are not first produced under this Agreement
or are published copyrighted data with the notice of 17 U.S.C. Section 401
or 402, the Grantor acquires the data under a copyright license as set
forth in 48 CFR 27.404(f)(2) instead of unlimited rights. (48 CFR
27.404(a)).
E. Obligations Binding on Subcontractors
Subrecipient shall require all its contractors and subcontractors funded by
Grant Funds to comply with the obligations of this section by incorporating
the terms of this section into all contracts and subcontracts.
[REMAINDER OF PAGE INTENTIONALLY LEFT BLANK]
UASI 12 Subrecipient Agreement 37
V.
DEFAULTS. AMENDMENTS, AND AGREEMENT
§501. Defaults
Should Subrecipient fail for any reason to comply with the contractual obligations
of this Agreement within the time specified by this Agreement, the City reserves
the right to terminate the Agreement, reserving all rights under state and federal
law.
§502. Amendments
Any change in the terms of this Agreement, including changes in the services to
be performed by Subrecipient, and any increase or decrease in the amount of
compensation/allocation which are agreed to by the City and Subrecipient shall
be incorporated into this Agreement by a written amendment properly executed
and signed by the person authorized to bind the parties thereto.
Subrecipient agrees to comply with all future City Directives, or any rules,
amendments or requirements promulgated by the City affecting this Agreement.
§503. Complete Agreement
This Agreement sets forth all of the rights and duties of the parties with respect to
the subject matter hereof, and replaces any and all previous agreements or
understandings, whether written or oral, relating thereto. This Agreement may be
amended only as provided for herein and neither verbal agreement nor
conversation with any officer or employee of either party shall affect or modify
any of the terms and conditions of this Agreement. This Agreement is executed
in two (2) duplicate originals, each of which is deemed to be an original. This
Agreement includes thirty-nine (39) pages and twelve (12) Exhibits which
constitute the entire understanding and agreement of the parties.
UASI 12 Subrecipient Agreement 38
IN WITNESS WHEREOF, the City and Subrecipient have caused this Agreement to
be executed by their duly authorized representatives.
APPROVED AS TO FORM AND LEGALITY:
For: THE CITY OF LOS ANGEL
CARMEN TRUTANICH, City Attorney
ANTONIO R. I RAIGO Mayor
By
DeputykCA# Attorney
By
g
_ ❑io R. illacaigasa,_Mayor
Date h q � 1,3
Homeland Security and
Public Safety, Mayor's Office
Date MAR 18 2013
ATTEST:
JUNE LAGMAY, City Clerk
By
Deputy City Clerk .
Date
APPROVED AS TO FORM:
For: The City of Vernon,
a municipal corporation
By
C
City Atforney
By
Nicholas
,WjRodriguez
William Davis, Mayor
Date
Date
A
\
[SEAL]
By
Dana Reed, Interim City Clerk
Date
City Business License Number:
Internal Revenue Service ID Number:
Council File/OARS File Nu er: 12-0930 Date of Approval December 14. 2012
City Contract Number:' ?�
UASI 12 Subrecipient Agreement 39
Exhibit A
Insurance
(Not applicable to this Agreement)
EXHIBIT B
INSTRUCTIONS FOR CERTIFICATION
1. By signing and submitting this document, the prospective recipient of Federal assistance funds is providing the
certification as set out below.
2. The certification in this clause is a material representation of fact upon which reliance was placed when this
transaction was entered into. If it is later determined that the prospective recipient of Federal assistance funds
knowingly rendered an erroneous certification, in addition to other remedies available to the Federal
Government, the department or agency with which this transaction originated may pursue available remedies,
including suspension and/or debarment.
3. The-prospeotive recipfettt of Federal assistanceflutds shall-providee immediate written-noticeto the person to
which this agreement is entered, if at any time the prospective recipient of Federal assistance funds learns that
its certification was erroneous, when submitted or has become erroneous by reason of changed circumstances.
4, The terms "covered transaction," "debarred," "suspended," "ineligible," 'lower tier covered transaction,"
"participant," "person," "primary covered transaction," "principal," "proposal," and "voluntarily excluded," as
used in this clause, have the meanings set out in the Definitions and Coverage sections of rules implementing
Executive Order 12549.
5. The prospective recipient of Federal assistance funds agrees by submitting this proposal that, should the
proposed covered transaction be entered into, it shall not knowingly enter into any lower tier covered
transaction with a person who is debarred, suspended, declared ineligible, or voluntarily excluded from
participation in this covered transaction, unless authorized by the department or agency with which this
transaction originated.
6. The prospective recipient of Federal assistance funds further agrees by submitting this proposal that it will
include the clause titled "Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion
- Lower Tier Covered Transactions;' without modification, in all lower tier covered transactions and in all
solicitations for lower tier covered transactions.
7. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier
covered transaction that it is not debarred, suspended, ineligible, or voluntarily excluded from the covered
transaction, unless it knows that the certification is erroneous. A participant may decide the method and
frequency by which it determines the eligibility of its principals. Each participant may, but is not required to,
check the List of Parties Excluded from Procurement or Non -Procurement Pro rams.
S. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to
render in good faith the certification required by this clause. The knowledge and information of a participant is
not required to exceed that which is normally possessed by a prudent person in the ordinary course of business
dealings.
9. Except for transactions authorized under Paragraph 5 of these instructions, if a participant in a covered
transaction knowingly enters into a lower tier covered transaction with a person who is suspended, debarred,
ineligible, or voluntary excluded from participation in this transaction, in addition to other remedies available to
the Federal Government, the department or agency with which this transaction originated may pursue available
remedies, including suspension and/or debarment.
Cy W71111_y [on tl[1]� N 93xel 9 13 10 Eel
DEBARMENT, SUSPENSION, INELIGIBILITY AND VOLUNTARY EXCLUSION
LOWER TIER COVERED TRANSACTIONS
This certification is required by the regulations implementing Executive Order 12549, Debarment and
Suspension, 44 CFR Part 17, Participants' responsibilities.
(READ ATTACHED INSTRUCTIONS FOR CERTIFICATION BEFORE
COMPLETING)
principals:
(a) Are not presently debarred, suspended, proposed for debarment, declared ineligible,
sentenced to a denial of Federal benefits by a State or Federal court, or voluntarily excluded from
covered transactions by any Federal department or agency;
(b) Have not within a three-year period preceding this Agreement been convicted of or had a
civil judgment rendered against them for commission of fraud or a criminal offense in
connection with obtaining, attempting to obtain, or performing a public (Federal, State, or local)
transaction or contract under a public, transaction; violation of Federal or State antitrust statutes
or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records,
making false statements, or receiving stolen property;
(c) Are not presently indicted for or otherwise criminally or civilly charged by a governmental
entity (Federal, State, or local) with commission of any of the offenses enumerated in paragraph
1(b) of this certification; and
(d) Have not within a three-year period preceding this Agreement had one or more public
transactions (Federal, State, or local) terminated for cause or default.
2. Where the prospective recipient of Federal assistance funds is unable to certify to any of the
statements in this certification, such prospective participant shall attach an explanation to this proposal.
AGREEMENT NUMBER
.. . ....... .
Mark Whitworth, City Administrator
NAME AND TITLE OF AUTHORIZED REPRESENTATIVE
EXHIBIT C
CERTIFICATION REGARDING LOBBYING
Certification for Contracts, Grants, Loans
and Cooperative Agreements
The undersigned certifies, to the best of his or her knowledge and belief, that:
1. No Federal appropriated funds have been paid or will be paid, by or on behalf of the
undersigned, to any person for influencing or attempting to influence an officer or employee
of an agency, -a Memher of Congress,_an officer_ or_employee-of _Congress, _onan_employee_of
a Member of Congress in connection with the awarding of any Federal contract, the making
of any Federal grant, the making of any Federal loan, the entering into of any cooperative
agreement, and the extension, continuation, renewal, amendment, or modification of any
Federal contract, grant, loan or cooperative agreement.
2. If any funds other than Federal appropriated funds have been paid or will be paid to any
person for influencing or attempting to influence an officer or employee of any agency, a
Member of Congress, an officer or employee of Congress, or an employee of a Member of
Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the
undersigned shall complete and submit Standard Form-LLL "Disclosure Form to Report
Lobbying" in accordance with its instructions.
3. The undersigned shall require that the language of this certification be included in the award
documents for all subawards at all tiers (including subcontracts, subgrants, and contracts
under grants, loans, and cooperative agreements) and that all subrecipients shall certify and
disclose accordingly.
4. This certification is a material representation of fact upon which reliance was placed when
this transaction was made or entered into. Submission of this certification is a prerequisite
for making or entering into this transaction imposed by Section 1352 Title 31, U.S. Code.
Any person who fails to file the required certification shall be subject to a civil penalty of not
less that $10,000 and not more than $100,000 for each such failure.
AGREEMENT NUMBER
Mark Whitworth, City Administrator
NAME AND TITLE OF AUTHORIZED REPRESENTATIVE
EXHIBIT D
CERTIFICATION REGARDING DRUG FREE WORKPLACE ACT
The Contractor/Subrecipient certifies that it will or will continue to provide a drug -free
workplace, in accordance with the federal Drug -Free Workplace Act of 1988 (41 U.S.C.
701 et seq.), 28 CFR Part 67; and the California Drug -Free Workplace Act of 1990,
Government Code §§ 8350-8357, by:
1.P_ublishing_a_statement_notifying_employees _that _the unlawfulmanufacture,
distribution, dispensing, possession or use of a controlled substance is prohibited in
the Contractor's workplace and specifying the actions that will be taken against
employees for violation of such prohibition.
2. Establishing an on -going drug -free awareness program to inform employees about:
a. The dangers of drug abuse in the workplace;
b. The Contractor's policy of maintaining a drug -free workplace;
c. Any available drug counseling, rehabilitation and employee assistance programs;
and
d. The penalties that may be imposed upon employees for drug abuse violations
occurring in the workplace.
3. Making it a requirement that each employee to be engaged in the performance of the
program be given a copy of the statement required by paragraph 1 above.
4. Notifying the employee in the statement required by paragraph 1 that, as a condition
of employment under the Grant program, the employee will:
a. Abide by the terms of the statement, and
b. Notify the Contractor in writing of his or her conviction for a violation of a
criminal drug statute occurring in the workplace no later than five calendar days
after such conviction.
5. Notifying the City and Grantor, in writing, within 10 calendar days after receiving
notice under subparagraph 4. b. from an employee or otherwise receiving actual
notice of such conviction. Employers of convicted employees must provide notice,
including position title, to:
Department of Justice, Office of Justice Programs
ATTN: Control Desk
633 Indiana Avenue, N.W.
Washington, D.C. 20531
6. Taking one of the following actions, within 30 calendar days of receiving notice
under subparagraph 4.b. with respect to any employee who is so convicted:
a. Taking appropriate personnel action against such an employee, up to and
including termination, consistent with the requirements of the Rehabilitation Act
of 1973, as amended; or
b. Requiring such employee to participate satisfactorily in a drug abuse assistance or
rehabilitation program approved for such purposes by a Federal, State, or local
health, law enforcement, or other appropriate agency.
7. Making a good faith effort to continue to maintain a drug -free workplace through
implementation of the provisions of this certification.
AGREEMENT NUMBER
ai
B. . •. . •. .err• .L_. I A GENCY
Mark Whitworth. City Administrator
NAME AND TITLE OF AUTHORIZED REPRESENTATIVE
Latta 1 41 UWU, LIILtZ l.X[y uierK
*NOTE: Capitalized terms herein shall have those meanings set forth in the Agreement to
which this Certification is attached as an Exhibit
EXHIBIT E
California Emergency Management Agency
FY2012 Grant Assurances
(All HSGP Applicants)
Name of Applicant: City of Los Angeles
Address: 200 No. Spring Street, Room 303
City: Los Angeles State: CA zip Code: 90012
_Telephone Number: (213) 978-0730 —Fax _N_ umber: (213) 978-0718
E-Mail Address: alise.finsten@lacity.org
As the duly authorized representative of the applicant, I certify that the applicant named above:
1. Will assure that grant funds will support efforts related to providing an integrated mechanism to enhance
the coordination of national priority efforts to prevent, respond to, and recover from terrorist attacks,
major disasters and other emergencies.
2. Has the legal authority to apply for Federal assistance and has the institutional, managerial and financial
capability to ensure proper planning, management and completion of the grant provided by the U.S.
Department of Homeland Security (DHSYFederal Emergency Management Agency (FEMA) and sub -
granted through the State of California, California Emergency Management Agency (Cal EMA).
3. Will assure that grant funds are used for allowable, fair, and reasonable costs only and will not be
transferred between grant programs (for example: State Homeland Security Program, Urban Area
Security Initiative, Citizen Corps Program, and Metropolitan Medical Response System) or fiscal years.
4. Will comply with any cost sharing commitments included in the FY2012 Investment Justifications
submitted to DHS/FEMA/Cal EMA, where applicable.
5. Will give the Federal govermnent, the General Accounting Office, the Comptroller General of the United
States, the State of California, the Office of Inspector General, through any authorized representative,
access to, and the right to examine, all paper or electronic records, books, or documents related to the
award; and will establish a proper accounting system in accordance with generally accepted accounting
standards and/or awarding agency directives.
6. Agrees that funds utilized to establish or enhance State and Local fusion centers must support the
development of a statewide fusion process that corresponds with the Global Justice/Homeland Security
Advisory Council (HSAC) Fusion Center Guidelines, follow the Federal and State approved privacy
policies, and achieve (at a minimum) baseline level of capability as defined by the Fusion Capability
Planning Tool.
7. Will provide progress reports, and other such information as may be required by the awarding agency,
including the Initial Strategy Implementation Plan (ISIP) within 45 (forty-five) days of the award, and
update via the Grant Reporting Tool (GRT) twice each year.
S. Will initiate and complete the work within the applicable time frame after receipt of approval from Cal
EMA,
9. Will maintain procedures to minimize the time elapsing between the award of funds and the disbursement
of funds.
10. Will comply with all provisions of DHS/FEMA's codified regulation 44, Part 13, Uniform Administrative
Requirements for Grants and Cooperative Agreements to State and Local Governments, including the
payment of interest earned on advances.
11. Will comply with all provisions of 48 CFR, 31.2, Federal Acquisition Regulations (FAR), Contracts with
Commercial Organizations.
12. Will establish safeguards to prohibit employees from using their positions for a purpose that constitutes,
or presents the appearance of, personal or organizational conflict of interest, or personal gain for.
13, Understands and agrees that Federal funds will not be used, directly or indirectly, to support the
enactment, repeal, modification or adoption of any law, regulation, or policy, at any level of government,
without the express prior written approval from DHS/FEMA/Cal EMA.
14. Agrees that, to the extent contractors or subcontractors are utilized, will use small, minority -owned,
women -owned, or disadvantaged business concerns and contractors or subcontractors to the extent
practicable.
15. Will notify Cal EMA of any developments that have a significant impact on award -supported activities,
including changes to key program staff.
16. Will comply, if applicable, with the Lead -Based Paint Poisoning Prevention Act (42 U.S.C. §§ 4801 et
seq.) which prohibits the use of lead based paint in construction or rehabilitation of structures.
17. Will comply with all Federal and State Statues relating to Civil Rights and Nondiscrimination. These
include, but are not limited to:
a. Title VI of the Civil Rights Act of 1964 (P.L. 88-352), as amended, which prohibits discrimination on
the basis of race, color or national origin.
b. Title IX of the Education Amendments of 1972, as amended (20 U.S.C. §§ 1681-1683 and 1685-
1686), which prohibits discrimination on the basis of gender.
c. Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. § 794), which prohibits
discrimination on the basis of handicaps.
d. The Age Discrimination Act of 1975, as amended (42 U.S.C. §§ 6101-6107), which prohibits
discrimination on the basis of age.
e. The Drug Abuse Office and Treatment Act of 1972 (P.L. 92-255), as amended, relating to
nondiscrimination on the basis of drug abuse.
f. The Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of
1970 (P.L. 91-616), as amended, relating to nondiscrimination on the basis of alcohol abuse or
alcoholism.
g. §§ 523 and 527 of the Public Health Service Act of 1912 (42 U.S.C. 290 dd-3 and 290 ee-3), as
amended, relating to confidentiality of alcohol and drug abuse patient records.
h. Title VIII of the Civil Rights Act of 1968 (42 U.S.C. § 3601 et seq.), as amended, relating to
nondiscrimination in the sale, rental or financing of housing.
i. Title 44 Code of Federal Regulations (CFR) Parts 7, 16, and 19 relating to nondiscrimination.
j. The requirements on any other nondiscrimination provisions in the specific statute(s) under which the
application for Federal assistance is being made.
k, Will, in the event that a Federal or State court or Federal or State administrative agency makes a
finding of discrimination after a due process hearing on the grounds or race, color, religion, national
origin, gender, or disability against a recipient of funds, the recipient will forward a copy of the
finding to the Office of Civil Rights, Office of Justice Programs.
1. Will provide an Equal Employment Opportunity Plan, if applicable, to the Department of Justice
Office of Civil Rights within 60 days of grant award.
in. Will comply, and assure the compliance of all its subgrantees and contractors, with the
nondiscrimination requirements and all other provisions of the current edition of the Office of Justice
Programs Financial and Administrative Guide for Grants, M7100.1.
18. Will comply with the requirements of Titles II and III of the Uniform Relocation Assistance and Real
Property Acquisition Policies Act of 1970 (42 U.S.C. § 4601 et seq. [P.L. 91-646]) which provides for
fair and equitable treatment of persons displaced or whose property is acquired as a result of Federal or
Federally assisted programs. These requirements apply to all interested in real property acquired for
Part 25, Uniform Relocation Assistance and Real Property Acquisition for Federal and Federally -assisted
programs.
19. Will comply, if applicable, with the flood insurance purchase requirements of Section 102(a) of the Flood
Disaster Protection Act of 1973 (P.L. 93-234) which requires recipients in a special flood hazard area to
participate in the program and to purchase flood insurance if the total cost of insurable construction and
acquisition is ten thousand dollars ($10,000) or more.
20. Will comply with all applicable Federal, State, and Local environmental and historical preservation
(EHP) requirements. Failure to meet Federal, State, and Local EHP requirements and obtain applicable
permits may jeopardize Federal funding. Will comply with all conditions placed on any project as the
result of the EHP review; any change to the scope of work of a project will require reevaluation of
compliance with these EHP requirements.
21. Will comply with all provisions of DHS/FEMA's codified regulation 44, Part 10, Environmental
Considerations.
22. Agrees not to undertake any project having the potential to impact the EHP resources without the prior
written approval of DHS/FEMA/Cal EMA, including, but not limited to, ground disturbance,
construction, modification to any structure, physical security enhancements, communications towers, any
structure over 50 years old, and purchase and/or use of any sonar equipment. The subgrantee must comply
with all conditions and restrictions placed on the project as a result of the EHP review. Any construction -
related activities initiated without the necessary EHP review and approval will result in a noncompliance
finding, and may not be eligible for reimbursement with DHS/FEMA/Cal EMA funding. Any change to
the scope of work will require re-evaluation of compliance with the EHP. If ground -disturbing activities
occur during the project implementation, the subgrantee must ensure monitoring of the disturbance. if
any potential archeological resources are discovered, the subgrantee will immediately cease activity in
that area and notify DHS/FEMA/Cal EMA and the appropriate State Historic Preservation Office.
23. Any construction activities that have been initiated prior to the full environmental and historic
preservation review could result in non-compliance finding. grantees must complete the FEMA EHP
Screening Form (OMB Number 1660-0115/FEMA Form 024-0-01) and submit it, with all supporting
documentation, to the GPD EHP team at GPDFHPinfo@fema.dhs.gov for review.
24. Grantees should submit the FEMA EHP Screening Form for each project as soon as possible upon
receiving their grant award. The Screening From for these types of projects is available at:
25. Will ensure that the facilities under its ownership, lease or supervision, which shall be utilized in the
accomplishment of this project, are not on the Environmental Protection Agency's (EPAs) List of
Violating Facilities, and will notify Cal EMA and the Federal Grantor agency of the receipt of any
communication from the Director of the EPA Office of Federal Activities indicating if a facility to be
used in the project is under consideration for listing by the EPA.
26. Will provide any information requested by DHS/FEMA/Cal EMA to ensure compliance with applicable
laws, including the following:
a. Institution of environmental quality control measures under the Archaeological and Historic
Preservation Act, Endangered Species Act, and Executive Orders on Floodplains (11988), and
Environmental Justice (EO12898) and Environmental Quality (EO11514).
b. Notification of violating facilities pursuant to EO 11738.
c. Assurance of project consistency with the approved state management program developed under the
Coastal Zone Management Act of 1972 (16 U.S.C. §§ 1451 et seq.).
d. Conformity of Federal actions to State (Clean Air) Implementation Plans under Section 176(c) of the
e. Protection of underground sources of drinking water under the Safe Drinking Water Act of 1974, as
amended, (P.L. 93-523).
f. California Environmental Quality Act (CEQA). California Public Resources Code Sections 21080-
21098. California Code of Regulations, Title 14, Chapter 3 Section 15000-15007.
g. Wild and Scenic Rivers Act of 1968 (16 U.S.C. §§ 1271 et.seq.) related to protecting components or
potential components of the national wild and scenic rivers system.
h. Applicable provisions of the Coastal Barrier Resources Act (P.L. 97-348) dated October 19, 1982 (16
USC 3501 et seq.) which prohibits the expenditure of most new Federal funds within the units of the
Coastal Barrier Resources System.
27. Will comply with Standardized Emergency Management System (SEMS) requirements as stated in the
California Emergency Services Act, Government Code, Chapter 7 of Division 1 of Title 2, Section
8607.1(e) and CCR Title 19, Sections 2445, 2446, 2447, and 2448.
28. Agrees that all publications created or published with funding under this grant shall prominently contain
the following statement: "This document was prepared under a grant from FEAM's Grant Programs
Directorate, US. Department of Homeland Security. Points of view or opinions expressed in this
document are those of the authors and do not necessarily represent the official position or policies of
FEAM's Grant Programs Directorate or the U.S. Department of Homeland Security." The recipient also
agrees that, when practicable, any equipment purchased with grant funding shall be prominently marked
as follows: "Purchased with funds provided by the U.S. Department of Homeland Security."
29. Acknowledges that DHS/FEMA reserves a royalty -free, nonexclusive, and irrevocable license to
reproduce, publish, or otherwise use, and authorize others to use, for Federal government purposes: a) the
copyright in any work developed under an award or sub -award; and b) any rights of copyright to which a
recipient or sub -recipient purchases ownership with Federal support.
30. The recipient agrees to consult with DHS/FEMA/Cal EMA regarding the allocation of any patent rights
that arise from, or are purchased with, this funding and has requested through the State of California,
Federal financial assistance to be used to perform eligible work approved in the submitted application for
Federal assistance and after the receipt of Federal financial assistance, through the State of California,
agrees to the following:
a. Promptly return to the State of California all the funds received which exceed the approved, actual
expenditures as accepted by the Federal or State government.
b. In the event the approved amount of the grant is reduced, the reimbursement applicable to the amount
of the induction will be promptly refunded to the State of California.
c. Property/equipment purchased under the HSGP reverts to Cal EMA if the grant funds are
deobligated/disallowed and/or not promptly repaid.
d. HSGP funds used for the improvement of real property must be promptly repaid following
deobligation/disallowment of costs or Cal EMA reserves the right to place a lien on the property for
the amount owed.
Page 4 Initial
e. Separately account for interest earned on grant funds, and will return all interest earned, in excess of
$100 per Federal Fiscal Year.
31. Will comply with the Intergovernmental Personnel Act of 1970 (42 U.S C. Sections 4728-4763) relating
to prescribed standards for merit systems for programs funded under one of the nineteen statutes or
regulations specified in Appendix A of OPM's Standards for a Merit System of Personnel Administration
(5 C.F.R. 900, Subpart F).
32. Will comply with provisions of the Hatch Act (5 U.S.C. Sections 1501-1508 and 7324-7328) which limit
the political activities of employees whose principal employment activities are funded in whole or in part
33. Will comply, if applicable, with the Laboratory Animal Welfare Act of 1966 (P. L. 89-544, as amended, 7
U.S.C. 2131 et seq.) pertaining to the care, handling, and treatment of warm blooded animals held for
research, teaching, or other activities supported by this award of assistance.
34. Will comply with the minimum wage and maximum hour provisions of the Federal Fair Labor Standards
Act (29 U.S.C. 201), as they apply to employees of institutions of higher education, hospitals, and other
non-profit organizations.
35. Agrees that "Classified national security information," as defined in Executive Order (EO) 12958, as
amended, means information that has been determined pursuant to EO 12958 or any predecessor order to
require protection against unauthorized disclosure and is marked to indicate its classified status when in
documentary form.. No funding under this award shall be used to support a contract, subaward, or other
agreement for goods or services that will include access to classified national security information if the
award recipient has not been approved for and has access to such information.
36. Agrees that where an award recipient has been approved for and has access to classified national security
information, no funding under this award shall be used to support a contract, subaward, or other
agreement for goods or services that will include access to classified national security information by the
contractor, subawardee, or other entity without prior written approval from the DHS Office of Security,
Industrial Security Program Branch (ISPB), or, an appropriate official within the Federal department or
agency with whom the classified effort will be performed. Such contracts, subawards, or other agreements
shall be processed and administered in accordance with the DHS "Standard Operating Procedures,
Classified Contracting by States and Local Entities," dated July 7, 2008; EOs 12829, 12958, 12968, as
amended; the National Industrial Security Program Operating Manual (NISPOM); and/or other applicable
implementing directives or instructions. All security requirement documents are located at:
bLV://www.dlis.gov/xopnbiztgmnts/index.shtm
37. Immediately upon determination by the award recipient that funding under this award will be used to
support such a contract, subaward, or other agreement, and prior to execution of any actions to facilitate
the acquisition of such a contract, subaward, or other agreement, the award recipient shall contact ISPB,
or the applicable Federal department or agency, for approval and processing instructions.
DHS Office of Security ISPB contact information:
Telephone: 202-447-5346
Email: DD254AdministrativeSecurity@dhs.gov
Mail: Department of Homeland Security
Office of the Chief Security Officer
ATTN: ASD/Industrial Security Program Branch
Washington, D.C. 20528
38. Agrees with the requirements regarding Data Universal Numbering System (DUNS) Numbers, meaning if
recipients are authorized to make subawards under this award, they must notify potential subrecipients
that no entity (see definition in paragraph C of this award term) may receive or make a subaward to any
entity unless the entity has provided its DUNS number. For purposes of this award tern, the following
definitions will apply:
a. "Data Universal Numbering System (DUNS)' number means the nine digit number established and
assigned by Dun and Bradstreet, Inc. (D&B) to uniquely identify business entities. A DUNS number
may be obtained from D&B by telephone (currently 866-705-5711) or the Internet, currently at
htto://t-dgov.dnb.com/webfonn
b. "Entity", as it is used in this award term, means all of the following, as defined at 2 CFR part 25,
subpart C, as a Governmental organization, which is a State, local government, or Indian Tribe; or a
profit organization; or a Federal agency, but only as a sub recipient under an award or subaward to a
non -Federal entity.
c. "Subaward" means a legal instrument to provide support for the performance of any portion of the
substantive project or program for which you received this award and that you as the recipient award
to an eligible subrecipient. It does not include your procurement of property and services needed to
carry out the project or program (for further explanation, see Sec. 210 of the attachment to OMB
Circular A-133, "Audits of States, Local Governments, and Non -Profit Organizationsl and may be
provided through any legal agreement, including an agreement that you consider a contract.
d. "Subrecipient" means an entity that receives a subaward from you under this award; and is
accountable to you for the use of the Federal funds provided by the subaward.
39. Will comply, as applicable, with the provisions of the Davis -Bacon Act (40 U.S.C. Section 276a to 276a-
7), the Copeland Act (40 U.S.C. Section 276c and 18 U.S.C. Sections 874), and the Contract Work Hours
and Safety Standards Act (40 U,S.C. Sections 327-333), regarding labor standards for Federally -assisted
construction sub -agreements.
40, Agrees that:
a. No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to
any person for influencing or attempting to influence an officer or employee of any agency, a
Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress
in connection with the making of any Federal grant, the entering into of any cooperative agreement,
and the extension, continuation, renewal, amendment, or modification of any Federal grant or
cooperative agreement.
b. If any other funds than Federal appropriated funds have been paid or will be paid to any person for
influencing or attempting to influence an officer or employee of any agency, a Member of Congress,
an officer or an employee of Congress, or employee of a Member of Congress in connection with the
Federal grant or cooperative agreement, the undersigned shall complete and submit Standard Form
LLL, "Disclosure of Lobbying Activities," in accordance with its instructions.
c. The undersigned shall require that the language of this certification be included in the award
documents for all sub awards at all tiers including subgrants, contracts under grants and cooperative
agreements, and subcontract(s) and that all sub recipients shall certify and disclose accordingly.
This certification is a material representation of fact upon which reliance was placed when this
transaction was made or entered into. Submission of this certification is a prerequisite for making or
entering into this transaction imposed by section 1352, Title 31, U.S. Code. Any person who fails to
file the required certification shall be subject to a civil penalty of not less than $10,000 and not more
than $100,000 for each such failure.
a.
b.
41. Agrees that funds awarded under this grant will be used to supplement existing funds for program
activities, and will not supplant (replace) non -Federal funds.
Page 6 Initials j
42. Agrees that equipment acquired or obtained with grant funds:
c. Will be made available pursuant to applicable terms of the California Disaster and Civil Defense
Master Mutual Aid Agreement in consultation with representatives of the various fire, emergency
medical, hazardous materials response services, and law enforcement agencies within the jurisdiction
of the applicant, and deployed with personnel trained in the use of such equipment ina manner
consistent with the California Law Enforcement Mutual Aid Plan or the California Fire Services and
Rescue Mutual Aid Plan.
d. Is consistent with needs as identified in the State Homeland Security Strategy and will be deployed in
conformance with that Strategy.
43. Wi1Lcomply-mth-a"ppliraUee FedeiaLstatutes,Yegulatiom,_policies,_guidelines_and-mquirements,
including OMB Circulars Al02 and A-133, E.O. 12372 and the current Administrative Requirements,
Cost Principles, and Audit Requirements.
44. Will comply with all provisions of 2 CFR, including: Part 215 Uniform Administrative Requirements for
Grants and Agreements with Institutions of Higher Education, Hospitals, and Other Non -Profit
Organizations (OMB Circular A-110); Part 225 Cost Principles for State, Local and Indian Tribal
Governments (OMB Circular A-87); Part 220 Cost Principles for Educational Institutions (OMB Circular
A-21); Part 230 Cost Principles for Non -Profit Organizations (OMB Circular A-122).
45. Will comply with Subtitle A, Title II of the Americans with Disabilities Act (ADA) 1990.
46. Agrees to cooperate with any assessments, national evaluation efforts, or information or data collection
requests, including, but not limited to, the provision of any information required for the assessment or
evaluation of any activities within this agreement.
47, Will comply with Federal Acquisition Regulations (FAR), part 31.2 Contract Cost Principles and
Procedures, Contracts with Commercial Organizations.
48. Will comply with the financial and administrative requirements set forth in the current edition of the DHS
Financial Management Guide.
49. Agrees that all allocations and use of funds under this grant will be in accordance with the FY 2012
Homeland Security Grant Program Funding Opportunity Announcement, and the California Supplement
to the FY 2012 Homeland Security Grant Program Funding Opportunity Announcement. All allocations
and use of funds under this grant will be in accordance with the Allocations, and use of grant funding
must support the goals and objectives included in the State and/or Urban Area Homeland Security
Strategies as well as the investments identified in the Investment Justifications which were submitted as
part of the California FY2012 Homeland Security Grant Program application. Further, use of FY12 funds
is limited to those investments included in the California FY12 Investment Justifications submitted to
DHS/FEMA/Cal EMA and evaluated through the peer review process.
50. Will not make any award or permit any award (subgrant or contract) to any party which is debarred or
suspended or is otherwise excluded from or ineligible for participation in Federal assistance programs
under Executive Order 12549 and 12689, "Debarment and Suspension". As required by Executive Order
12549, Debarment and Suspension, and implemented at 44 CFR Part 17, for prospective participants in
primary covered transactions, the applicant certifies that it and its principals:
a. Are not presently debarred, suspended, proposed for debarment, declared ineligible, sentenced to a
denial of Federal benefits by a State or Federal court, or voluntarily excluded from covered
transactions by any Federal department or agency.
b. Have not within a three-year period preceding this application been convicted of or had a civil
judgment rendered against them for commission of fraud or a criminal offense in connection with
obtaining, attempting to obtain, or performing a public (Federal, State, or local) transaction or
contract under a public transaction; violation of Federal or State antitrust statutes or commission of
embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements,
or receiving stolen property.
c. Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity
(Federal, State, or local) with commission of any of the offenses enumerated in paragraph (1)(b) of
this certification; and have not within a three-year period preceding this application had one or more
public transactions (Federal, State, or local) terminated for cause or default; and
d. where the applicant is unable to certify to any of the statements in this certification, he or she shall
attach an explanation to this application.
5 L—Will_complywithalLapplirable requirements of all other Federal and State laws, executive orders,
regulations, program and administrative requirements, policies and any other requirements governing this
program.
52. Will comply with the administrative requirements that apply to most DHS award recipients through a
grant or cooperative agreement arise from two sources: - Office of Management and Budget (OMB)
Circular A-102, Uniform Administrative Requirements for Grants and Cooperative Agreements to State
and Local Governments (also known as the "A-102 Common Rule"), found under FEMA regulations at
Title 44, Code of Federal Regulations (CFR) Part 13, "Uniform Administrative Requirements for Grants
and Cooperative Agreements to State and Local Governments." - OMB Circular A-110, Uniform
Administrative Requirements for Grants and Agreements with Institutions of Higher Education,
Hospitals, and Other Non -Profit Organizations, relocated to 2 CFR Part 215. The requirements for
allowable costs/oost principles are contained in the A-102 Common Rule, OMB Circular A-110 (2 CFR §
215.27), DHS program legislation, Federal awarding agency regulations, and the terms and conditions of
the award. The four costs principles circulars are as follows: - OMB Circular A-21, Cost Principles for
Educational Institutions, relocated to 2 CFR Part 220, - OMB Circular A-87, Cost Principles for State,
Local, and Indian Tribal Governments, relocated to 2 CFR Part 225. - OMB Circular A-122, Cost
Principles for Non -Profit Organizations, relocated to 2 CFR Part 230. — OMB Circular A-133, Audits of
States, Local Governments and Non -Profit Organizations.
53. Will acknowledge, agree, and require any subrecipients, contractors, successors, transferees, and
assignees acknowledge and agree -to comply with applicable provisions governing DHS access to records,
accounts, documents, information, facilities, and staff.
a. Recipients must cooperate with any compliance review or complaint investigation conducted by DHS
and/or Cal EMA.
b. Recipients must give DHS/Cal EMA access to and the right to examine and 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 as may be necessary, as required by DHS/Cal EMA
regulations and other applicable laws or program guidance.
c. Recipients must submit timely, complete, and accurate reports to the appropriate DHS/Cal EMA
officials and maintain appropriate backup documentation to support the reports.
d. Recipients must comply with all other special reporting, data collection, and evaluation requirements,
as prescribed by law or detailed in program guidance.
e. If, during the past three years, the recipient has been accused of discrimination on the grounds of race,
color, national origin (including limited English proficiency), sex, age, disability, religion, or familial
status, the recipient must provide a list of all such proceedings, pending or completed, including
outcome and copies of settlement agreements to the DHS/Cal EMA awarding office and the DHS
Office of Civil Rights and Civil Liberties.
f. In the event any court or administrative agency makes a finding of discrimination on grounds of race,
color, national origin (including limited English proficiency), sex, age, disability, religion, or familial
status against the recipient, or the recipient settles a case or matter alleging such discrimination,
Page 8 Initials JM
recipients must forward a copy of the complaint and findings to the DHS Component and/or awarding
office. The United States has the right to seek judicial enforcement of these obligations.
54. Agrees that none of the funds provided under an award may be expended by the recipient to pay any
person to influence, or attempt to influence an officer or employee of any agency, a Member of Congress,
an officer or employee of Congress, or an employee of a Member of Congress in connection with any
Federal action concerning the award or renewal of any Federal contract, grant, loan, cooperative
agreement. These lobbying prohibitions can be found at 31 U.S.C. § 1352.
55. Will comply with requirements to
Federal funding when issuing statements, press releases,
documents describing projects or programs funded in
whole or in part with Federal funds.
56. Will comply with requirements that publications or other exercise of copyright for any work first
produced under Federal financial assistance awards hereto related unless the work includes any
information that is otherwise controlled by Government (e.g., classified information or other
information subject to national security or export control laws or regulations). For any scientific,
technical, or other copyright work based on or containing data first produced under this award, including
those works published in academic, technical or professional journals, symposia proceedings, or similar
works, the recipient grants the Government a royalty -free, nonexclusive and irrevocable license to
reproduce, display, distribute copies, perform, disseminate, or prepare derivative works, and to authorize
others to do so, for Government purposes in all such copyrighted works. The recipient shall affix the
applicable copyright notices of 17 U.S.C. § 401 or 402 and an acknowledgement of Government
sponsorship (including award number) to any work first produced under an award.
57. Will obtain DHS's approval prior to using the DHS seal(s), logos, crests or reproductions of flags or
likenesses of DHS agency officials, including use of the United States Coast Guard seal, logo, crests or
reproductions of flags or likenesses of Coast Guard officials.
58. Will comply with the requirements that project activities carried on outside the United States are
coordinated as necessary with appropriate government authorities and that appropriate licenses, permits,
or approvals are obtained.
59. Will comply with the requirements of the Preference for U.S. Flag Air Carriers: Travel supported by U.S.
Government funds requirement, which states preference for the use of U.S. flag air carriers (air carriers
holding certificates under 49 U.S.C. § 41102) for international air transportation of people and property to
the extent that such service is available, in accordance with the International Air Transportation Fair
Competitive Practices Act of 1974 (49 U.S.C. § 40118) and the interpretative guidelines issued by the
Comptroller General of the United States in the March 31, 1981, amendment to Comptroller General
Decision B138942.
60. Will comply with the requirements of the Drug -Free Workplace Act of 1988 (41 U.S.C. § 701 et seq.),
which requires that all organizations receiving grants from any Federal agency agree to maintain a drug -
free workplace. The recipient must notify the awarding office if an employee of the recipient is convicted
of violating a criminal drug statute. Failure to comply with these requirements may be cause for
debarment. These regulations are codified at 2 CFR 3001.
61. Will comply with the requirements of the government -wide award term which implements Section 106(g)
of the Trafficking Victims Protection Act (TVPA) of 2000, as amended (22 U.S.C. § 7104), located at 2
CFR Part 175. This is implemented in accordance with OMB Interim Final Guidance, Federal Register,
Volume 72, No. 218, November 13, 2007.In accordance with Section 106(g) of the TVPA, as amended,
requires the agency to include a condition that authorizes the agency to terminate the award, without
penalty, if the recipient or a subrecipient engages in severe forms of trafficking in persons during the
Page 9 Initials
period of time that the award is in effect, procures a commercial sex act during the period of time that the
award is in effect; or uses forced labor in the performance of the award or subawards under the award.
Full text of theaward term is provided at 2 CFR § 175.15.
62. Will comply with the requirements of Title VI of the Civil Rights Act of 1964 (42 U.S.C. § 2000d et
seq.), which provides that no person in the United States will, on the grounds of race, color, or national
origin, be excluded from participation in, be denied the benefits of, or be subjected to discrimination
under any program or activity receiving Federal financial assistance.
63. Will comply with Title Vill of the Civil Rights Act of 1968, which prohibits recipients from
discriminating in the sale, rental, financing, and advertising of dwellings, or in the provision of services in
sex (42 U.S.C.§ 3601 et seq.), as implemented by the Department of Housing and Urban Development at
24 CFR Part 100. The prohibition on disability discrimination includes the requirement that new
multifamily housing with four or more dwelling units-i.e., the public and common use areas and
individual apartment units (all units in buildings with elevators and ground -floor units in buildings
without elevators) -be designed and constructed with certain accessible features (see 24 CFR § 100.201).
64. Will comply with the requirements of Titles I,1I, and III of the Americans with Disabilities Act, which
prohibits recipients from discriminating on the basis of disability in the operation of public entities, public
and private transportation systems, places of public accommodation, and certain testing entities (42
U.S.C. §§ 12101-12213).
65. Will comply with the requirements of the Age Discrimination Act of 1975 (42 U.S.C. § 6101 et seq.),
which prohibits discrimination on the basis of age in any program or activity receiving Federal financial
assistance.
66. Will comply with the requirements of Title IX of the Education Amendments of 1972 (20 U.S.C. § 1681
et seq.), which provides that no person in the United States will, on the basis of sex, be excluded from
participation in, be denied the benefits of, or be subjected to discrimination under any educational
program or activity receiving Federal financial assistance. These regulations are codified at 44 CFR Part
19.
67. Will comply with the requirements of Executive Order 13166, Improving Access to Services for Persons
with Limited English Proficiency, and resulting agency guidance, national origin and resulting agency
guidance, national origin discrimination includes discrimination on the basis of limited English
proficiency (LEP). To ensure compliance with Title VI, recipients must take reasonable steps to ensure
that LEP persons have meaningful access to your programs. Meaningful access may entail providing
language assistance services, including oral and written translation, where necessary, Recipients are
encouraged to consider the need for language services for LEP persons served or encountered both in
developing budgets and in conducting programs and activities. For assistance and information regarding
LEP obligations, go to htto://www.lep.
68. Will comply with the requirements of 42 U.S.C, § 7401 et seq. and Executive Order 11738, which
provides for the protection and enhancement of the quality of the nation's air resources to promote public
health and welfare and for restoring and maintaining the chemical, physical, and biological integrity of
the nation's waters is considered research for other purposes.
69. Will comply with the requirements of the Federal regulations at 45 CFR Part 46 and the requirements in
DHS Management Directive 026-04, Protection of Human Subjects, prior to implementing any work with
human subjects. The regulations specify additional protections for research involving human fetuses,
pregnant women, and neonates (Subpart B); prisoners (Subpart C); and children (Subpart D). The use of
autopsy materials is governed by applicable State and local law and is not directly regulated by 45 CFR
Part 46.
Page 10 Initials off
70. Will comply with the requirements of the National Environmental Policy Act (NEPA), as amended, 42
U.S.C. § 4331 et seq., which establishes national policy goals and procedures to protect and enhance the
environment, including protection against natural disasters. To comply with NEPA for its grant -supported
activities, DHS requires the environmental aspects of construction grants (and certain non -construction
projects as specified by the Component and awarding office) to be reviewed and evaluated before final
action on the application.
71. Will comply with the requirements of Section 1306(c) of the National Flood Insurance Act, as amended,
which provides for benefit payments under the Standard Flood Insurance Policy for demolition or ^
water and that is certified by an appropriate State or local land use authority to be subject to imminent
collapse or subsidence as a result of erosion or undermining caused by waves or currents of water
exceeding anticipated cyclical levels. These regulations are codified at 44 CFR Part 63.
72. Will comply with the requirements of the Flood Disaster Protection Act of 1973, as amended (42 U.S.C. §
4001 et seq.), which provides that no Federal financial assistance to acquire, modernize, or construct
property may be provided in identified flood -prone communities in the United States, unless the
community participates in the National Flood Insurance Program and flood insurance is purchased within
one year of the identification. The flood insurance purchase requirement applies to both public and private
applicants for DHS support. Lists of flood -prone areas that are eligible for flood insurance are published
in the Federal Register by FEMA.
73. Will comply with the requirements of Executive Order 11990, which provides that federally funded
construction and improvements minimize the destruction, loss, or degradation of wetlands. The Executive
Order provides that, in furtherance of Section 101(bx3) of NEPA (42 U.S.C. § 4331(b)(3)), Federal
agencies, to the extent permitted by law, must avoid undertaking or assisting with new construction
located in wetlands unless the head of the agency finds that there is no practicable alternative to such
construction, and that the proposed action includes all practicable measures to minimize harm to wetlands
that may result from such use. In making this finding, the head of the agency may take into account
economic, environmental, and other pertinent factors. The public disclosure requirement described above
also pertains to early public review of any plans or proposals for new construction in wetlands. This is
codified at 44 CPR Part 9.
74. Will comply with the requirements of the Uniting and Strengthening America by Providing Appropriate
Tools Required to Intercept and Obstruct Terrorism Act (USA PATRIOT Act), which amends 18 U.S.C.
§§ 175-175c. Among other things, it prescribes criminal penalties for possession of any biological agent,
toxin, or delivery system of a type or in a quantity that is not reasonably justified by a prophylactic,
protective, bona fide research, or other peaceful purpose. The act also establishes restrictions on access to
specified materials. "Restricted persons," as defined by the act, may not possess, ship, transport, or
receive any biological agent or toxin that is listed as a select agent.
75. Understands the reporting of subawards and executive compensation rules, including first tier subawards
to Cal EMA.
a. Applicability. Unless you are exempt as provided in paragraph d. of this award term, you must report
each action that obligates $25,000 or more in Federal funds that does not include Recovery funds (as
defined in section 1512(a)(2) of the American Recovery and Reinvestment Act of 2009,
b. Where and when to report: you must report on each obligating action described in the following
paragraphs to Cal EMA. For subaward information, report no later than the end of the month
following the month in which the obligation was made. (For example, if the obligation was made on
November 7, 2011, the obligation must be reported by no later than December 31, 2011.)
c. What to report: You must report the information about each obligating action that the submission
instructions posted in Information Bulletin 350, to Cal EMA. To determine if the public has access to
Page 1 I Initials 03�-
the compensation information, see the U.S. Security and Exchange Commission total compensation
filings at http://www.see.goy/onswers/execnp.htm. Subgrantees must report subrecipient executive
total compensation to Cal EMA by the end of the month following the month during which you make
the subaward. Exemptions include: If, in the previous tax year, you had gross income, from all
sources, under $300,000, you are exempt from the requirements to report on subawards, and the total
compensation of the five most highly compensated executives of any subrecipient
d. Reporting Total Compensation of Recipient Executives: You must report total compensation for each
of your five most highly compensated executives for the preceding completed fiscal year, if
i. the total Federal funding authorized to date under this award is $25,000 or more;
ii. in the preceding fiscal year, you received 80 percent or more of your annual gross revenues
subject to the Transparency Act, as defined at 2 CFR 170.320 (and subawards); and
$25,000,000 or more in annual gross revenues from Federal procurement contracts (and
subcontracts) and Federal financial assistance subject to the Transparency Act, as defined at
2 CFR 170.320 (and subawards); and
iii. The public does not have access to information about the compensation of the executives
through periodic reports filed under section 13(a) or 15(d) of the Securities Exchange Act
of 1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal Revenue Code of 1986.
(To determine if the public has access to the compensation information, see the U.S.
Security and Exchange Commission total compensation filings at
httn://www,sec,gov/answers/execomp.htm )
iv. Subrecipient Executives. Unless you are exempt as provided above, for each first -tier
subrecipient under this award, you shall report the names and total compensation of each of
the subrecipient's five most highly compensated executives for the subrecipient's preceding
completed fiscal year, if in the subrecipient's preceding fiscal year, the subrecipient
received 80 percent or more of its annual gross revenues from Federal procurement
contracts (and subcontracts) and Federal financial assistance subject to the Transparency
Act, as defined at 2 CFR 170.320 (and subawards); and $25,000,000 or more in annual
gross revenues from Federal procurement contracts (and subcontracts), and Federal
financial assistance subject to the Transparency Act (and subawards); and the public does
not have access to information about the compensation of the executives through periodic
reports filed under section 13(a) or 15(d) of the Securities Exchange Act of 1934 (15
U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal Revenue Code of 1986.
76. Understands that failure to comply with any of the above assurances may result in suspension,
termination, or reduction of grant funds.
The undersigned represents that he/she is authorized by the above named applicant to enter into this agreement for
and on behalf of the said applicant.
Signature of Authorized Agent:
Printed Name of Authorized Agent: Allsa Finsten
Title: Director of Grants and Finance Date: October 4, 2012
Page 12 Initials
EXHIBIT F
FY 2012 HOMELAND SECURITY GRANT PROGRAM (HSGP)
FUNDING OPPORTUNITY ANNOUNCEMENT (FOA)
OVERVIEW INFORMATION
Issued By
U.S. Department -of _Homeland -Security _(DHS):_F_ederal-Emergency- Management
Agency (FEMA)
Catalog of Federal Domestic Assistance (CFDA) Number
97.067
CFDA Title
Homeland Security Grant Program
Funding Opportunity Announcement Title
Fiscal Year (FY) 2012 Homeland Security Grant Program (HSGP)
Authorizing Authority for Program
The Homeland Security Act of 2002 (Public Law 107-296), as amended by section 101
of the Implementing Recommendations of the 9111 Commission Act of 2007 (Public Law
110-53)
Appropriation Authority for Program
The Consolidated Appropriations Act, 2012, Division D (Public Law 112-74)
FOA Number
D H S-12-G P D- 067-00 0-02
Key Dates and Time
Application Start Date: 02/17/2012
Application Submission Deadline Date: 05/04/2012 at 11:59:59 p.m. EDT
Anticipated Funding Selection Date: 06/29/2012
Anticipated Award Date: 09/30/2012
Other Key Dates
Applying for FY 2012 HSGP funds requires a two-step process. Step One: initial
submission to determine eligibility and Step Two: full application. Applicants are
encouraged to initiate Step One immediately after the FOA is published but no later
than April 27, 2012. This involves submitting a complete Standard Form 424 to
Grants.gov Successful completion of this step is necessary for FEMA to determine
eligibility of the applicant. Late submissions of Step One to Grants.gov could result in
applicants missing the application deadline in Step Two. Once FEMA has determined
an applicant to be eligible, applicants can proceed to Step Two which involves
submitting the full application package via the Non Disaster (ND) Grants system. The
submission deadline for the full application package is May 4, 2012. For additional
details see section X of the full FOA.
Intergovernmental Review
Is an intergovernmental review required?
® Yes ❑ No
If yes, applicants must contact their State's Single Point of Contact (SPOC) to
determine if the program has been selected for State review and comply with the State's
process under Executive Order 12372. Names and addresses of the SPOCs are
maintained at the Office of Management and Budget's (OMB's) home page at
http.Y/www.whitehouse.aov/omb/grants spoc.
FOA EXECUTIVE SUMMARY
Program Type
Select the applicable program type:
❑ New ® Continuing ❑ One-time
Date of origin for Program 11/25/2002
Opportunity Category
Select the applicable opportunity category:
® Discretionary ❑ Mandatory ® Competitive (OPSG only) ® Non-competitive
❑ Sole Source
Application Process
DHS makes all funding opportunities available through the common electronic
"storefront" Grants.gov, accessible on the Internet at htto://www.orants.gov. If you
experience difficulties accessing information or have any questions, please call the
Grants.gov customer support hotline at (800) 518-4726.
Application forms and instructions are available at Grants.gov. To access these
materials, go to http://www.grants.crov, select "Apply for Grants," and then select
"Download Application Package." Enter the CFDA and/or the funding opportunity
number located on the cover of this announcement. Select "Download Application
Package," and then follow the prompts to download the application package. To
download the instructions, go to "Download Application Package" and select
"Instructions."
For additional details on how to apply, please refer to section X of the full FOA.
Eligible Applicants
The following entities are eligible to apply directly to FEMA under this solicitation:
® State governments
For additional information, see the Eligibility Criteria section of this FOA.
Type of Funding Instrument
Select the applicable funding. instrument:
® Grant ❑ Cooperative Agreement
Cost Share or Match
Select the applicable requirement:
❑ Cost Match ❑ Cost Share ® None Required
Maintenance of Effort
Is there a Maintenance of Effort (MOE) requirement?
Management and Administration
A maximum of up to five percent (5%) of HSGP funds awarded may be retained by the
State, and any funds retained are to be used solely for management and administration
(M&A) purposes associated with the HSGP award. This includes allowability of M&A for
OPSG. States may pass through a portion of the State M&A allocation to local sub -
grantees to support local M&A activities. Sub -grantees may also retain a maximum of
up to five percent (5%) of funding passed through by the State solely for M&A purposes
associated with the HSGP award.
ld
FULL FOA
Funding Opportunity Description
Program Overview and Priorities
The FY 2012 HSGP is comprised of three interconnected grant programs:
• State Homeland Security_Program _(SHSP_):_SHSPsupports -the
implementation of State Homeland Security Strategies to address the identified
planning, organization, equipment, training, and exercise needs to prevent,
protect against, mitigate, respond to, and recover from acts of terrorism and other
catastrophic events.
• Urban Areas Security Initiative (UASQ: The UASI program addresses the
unique planning, organization, equipment, training, and exercise needs of high -
threat, high -density Urban Areas, and assists them in building an enhanced and
sustainable capacity to prevent, protect against, mitigate, respond to, and
recover from acts of terrorism.
• Operation Stonegarden (OPSG): OPSG supports enhanced cooperation and
coordination among local, tribal; territorial, State, and Federal law enforcement
agencies in a joint mission to secure the United States' borders along routes of
ingress from international borders to include travel corridors in States bordering
Mexico and Canada, as well as States and territories with international water
borders.
Although no longer funded as discrete grant programs, all activities and costs allowed
under the FY 2010 Buffer Zone Protection Program (BZPP), FY 2010 Interoperable
Emergency Communications Grant Program (IECGP), FY 2011 Citizen Corps Program
(CCP), FY 2011 Driver's License Security Grant Program (DLSGP), and FY 2011
Metropolitan Medical Response System (MMRS) grant program are allowable and
encouraged activities and costs under the FY 2012 HSGP. For additional information
on allowable activities under the aforementioned grant programs, please refer to
htt,o.Y/www. fema. oov/government/grant/nondisaster. shtm.
Program Objectives
The FY 2012 HSGP plays an important role in the implementation of Presidential Policy
Directive 8 (PPD-8) by supporting the development and sustainment of core
capabilities. Core capabilities are essential for the execution of each of the five mission
areas outlined in the National Preparedness Goal (NPG). The development and
sustainment of these core capabilities are not exclusive to any single level of
government or organization, but rather require the combined effort of the whole
community. The FY 2012 HSGP supports all core capabilities in the Prevention,
Protection, Mitigation, Response, and Recovery mission areas based on allowable
costs.
Examples of tangible outcomes from FY 2012 HSGP include building and sustaining
core capabilities through:
• Planning
• Maintenance and Sustainment
• Maturation and Enhancement of State and Major Urban Area Fusion Centers
• Building Law Enforcement Terrorism Prevention Capabilities
• Threat and Hazard Identification and Risk Assessment (THIRA)
• Whole -Community -Approach Security -and -Emergency -Management
• Typing of Equipment and Training
For additional details on PPD-8, please refer to
http//www.dhs.00v/xabout/laws/oc 1215444247124.shtm. For additional information
on program priorities and objectives for FY 2012 HSGP, refer to Appendix B — Program
Specific Priorities.
II. Funding Information
Award Amounts, Important Dates, and Extensions
Available Funding for this FOA: $830,976,000.
Projected Number of Awards: 56
Projected Award Start Date(s): 09/30/2012
Projected Award End Date(s): 09/30/2014
Period of Performance: 24 months
Grantees must accept their grant awards no later than 90 days from the award date.
The grantee shall notify the awarding agency of its intent to accept and proceed with
work under the award, or provide a written notice of intent to decline. Funds will remain
on hold until the grantee accepts the award through official correspondence (e.g.,
written, electronic signature, signed letter or fax to Grant Programs Directorate [GPD])
and all other conditions of award have been satisfied, or the award is otherwise
rescinded. Failure to accept the grant award within the 90 day timeframe may result in
a loss of funds.
For details on program -specific funding amounts, please refer to Appendix A — Program
Specific Allocations.
0
Period of Performance
Is an extension to the period of performance permitted?
® Yes ❑ No
The periods of performance outlined above support the effort to expedite the outlay of
grant funding and provide economic stimulus. Agencies should request waivers
sparingly, and they will be granted only due to compelling legal, policy, or operational
challenges. For example,_grantees may request waivers from the deadlines outlined
above for discretionary grant funds where adjusting the timeline for spending will
constitute a verifiable legal breach of contract by the grantee with vendors or sub -
recipients, or where a specific statute or regulation mandates an environmental review
that cannot be completed within this timeframe or where other exceptional
circumstances warrant a discrete waiver.
Additional Funding Information
In FY 2012, the total amount of funds distributed under this grant program will be
$630,976,000. The specific information regarding funding allocations for the three
HSGP programs are detailed below:
SHSP Allocations: FY 2012 SHSP funds will be allocated based on three factors:
minimum amounts as legislatively mandated, DHS' risk methodology, and anticipated
effectiveness based on the strength of the Investment Justification (IJ). Each State and
territory will receive a minimum allocation under SHSP using the thresholds established
in the 9/11 Act. All 50 States, the District of Columbia, and Puerto Rico will receive 0.35
percent of the total funds allocated for grants under Section 2003 and Section 2004 of
the Homeland Security Act of 2002, as amended by the 9/11 Act, for SHSP. Four
territories (American Samoa, Guam, the Northern Mariana Islands, and the U.S. Virgin
Islands) will receive a minimum allocation of 0.08 percent of the total funds allocated for
grants under Section 2003 and 2004 of the Homeland Security Act of 2002, as
amended by the 9/11 Act, for SHSP. Please refer to Appendix A— Program Specific
Allocations for additional details.
UASI Allocations: FY 2012 UASI funds will be allocated based on DHS' risk
methodology and anticipated effectiveness based on the strength of the IJ. Eligible
candidates for the FY 2012 UASI program have been determined through an analysis of
relative risk of terrorism faced by the 100 most populous metropolitan statistical areas in
the United States, in accordance with the 9/11 Act. Please refer to Appendix A —
Program Specific Allocations for additional details.
Law Enforcement Terrorism Prevention Activities (LETPA) Allocations: Per the
Homeland Security Act of 2002 (Public Law 107-296), Title XX, § 2006, as amended by
the 9/11 Act, Title I, §101, August 3, 2007, 121 Stat. 280, 6 U.S.C. § 607, States are
required to ensure that at least 25 percent (25%) of the combined HSGP funds
allocated under SHSP and UASI are dedicated towards law enforcement terrorism
7
prevention activities linked to one or more core capabilities within the NPG. The LETPA
allocation can be from SHSP, UASI or both.
OPSG Allocations: FY 2012 OPSG funds will be allocated based on risk -based
prioritization using a U.S. Customs and Border Protection (CBP) Sector -specific border
risk methodology to include, but not limited to: threat, vulnerability, miles of border, and
other border -specific "law enforcement intelligence," as well as feasibility of FY 2012
Operation Orders to designated localities within the United States border States and
territories. Please refer to Appe—dix A— Program-Specific_Allocations for additional
details.
Eligible sub -recipients under the FY 2012 OPSG are local units of government at the
county level and federally -recognized tribal governments in the States bordering
Canada (including Alaska), States bordering Mexico, and States and territories with
international water borders. The State Administrative Agency (SAA) is the only entity
eligible to apply to FEMA for FY 2012 OPSG funds on behalf of the county or similar
level of government and federally -recognized tribal governments. Eligible States and
territories without a county or similar level of government structure are authorized to
accept applications on behalf of the alternative unit of local government. SAAs in this
situation must advise FEMA in writing as to their intent. Note: Not all eligible applicants
are guaranteed to receive funding under the FY 2012 OPSG. Please refer to Appendix
A — Program Specific Allocations for additional details.
Eligibility Information
Eligibility Criteria
All 56 States and territories are eligible to apply for SHSP funds. For those States and
territories that are eligible for UASI and/or OPSG funds, the SAA is the only entity
eligible to submit applications to FEMA on behalf of UASI and OPSG applicants.
IV. Funding Restrictions
Restrictions on Use of Award Funds
DHS grant funds may only be used for the purpose set forth in the grant, and must be
consistent with the statutory authority for the award. Grant funds may not be used for
matching funds for 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.
Pre -award costs are allowable only with the written consent of DHS and if they are
included in the award agreement.
Federal employees are prohibited from serving in any capacity (paid or unpaid) on any
proposal submitted under this program. Federal employees may not receive funds
under this award.
There may be limitations on the use of HSGP funds for the following categories of costs:
• Management and Administration
• Planning
• Organization
• Equipment
• Training
• Exercises
•—Maintenance-and Sustainment
• Critical Emergency Supplies
• Construction and Renovation
For additional details on restrictions on the use of funds, please refer to Appendix C —
Funding Guidelines. In addition, there are specific restrictions on funds for certain
components of HSGP, including the following:
SHSP and UASI Pass -Through Requirements: Awards made to the SAA for HSGP
carry additional pass -through requirements. Pass -through is defined as an obligation
on the part of the States to make funds available to local units of government,
combinations of local units, or other specific groups or organizations. The State's pass -
through requirement must be met within 45 days of the award date for the HSGP. Four
requirements must be met to pass -through grant funds:
• There must be some action to establish a firm commitment on the part of the
awarding entity
• The action must be unconditional on the part of the awarding entity (i.e., no
contingencies for availability of SAA funds)
• There must be documentary evidence of the commitment
• The award terms must be communicated to the official grantee
The SAA must obligate at least 80 percent (80%) of the funds awarded under SHSP
and UASI to local units of government within 45 days of receipt of the funds. For Puerto
Rico, the SAA must also obligate at least 80 percent (80%) of the funds to local units of
government within 45 days of receipt of the funds. No pass -through requirements will
be applied to the District of Columbia, Guam, American Samoa, the U.S. Virgin Islands,
and the Commonwealth of the Northern Mariana Islands. Any UASI funds retained by
the SAA must be used to directly support the designated Urban Areas in the State.
Under SHSP, the State may retain more than 20 percent (20%) of SHSP funding for
expenditure made by the State on behalf of the local unit of government. This may
occur only with the written consent of the local unit of government, with the written
consent specifying the amount of funds to be retained and the intended use of funds. If
a written consent agreement is already in place from previous fiscal years, FEMA will
continue to recognize it for FY 2012. If any modifications to the existing agreement are
necessary to reflect new initiatives, States should contact their assigned FEMA Program
Analyst.
W
If UASI funds are used by the SAA in support of the Urban Area, the SAA must, as part
of the up to 10 Investments, propose an Investment describing how UASI funds will be
used by the SAA to directly support the Urban Area.
OPSG Funds: The recipient is prohibited from obligating or expending funds provided
through this award until each unique and specific county level or equivalent Operational
Order/Fragmentary Operations Order with an embedded estimated operational budget
has been reviewed and approved through an official e-mail notice issued by FEMA
removing this special programmatic condition.
Funds Transfer Restriction: The recipient is prohibited from transferring funds
between programs (SHSP, UASI, and OPSG). Grantees are allowed to submit an
Investment/project where funds come from multiple funding sources (i.e., SHSP/UASI);
however, grantees are not allowed to divert funding from one program to another due to
the risk -based funding allocations, which were made at the discretion of DHS.
For additional details on restrictions on the use of funds, please refer to Appendix C —
Funding Guidelines.
V. Application Review Information and Selection Process
Application Review Information
FY 2012 HSGP applications will be evaluated through a review process for
completeness, adherence to programmatic guidelines, and anticipated effectiveness of
the proposed Investments. The results from the review process may require applicants
to revise submissions before the release of HSGP funding.
SHSP and UASI: FEMA will verify compliance with all administrative and eligibility
criteria identified in the application kit, to include the required submission of IJ by the
established due dates. State and Urban Area Homeland Security Strategies will also be
examined for context.
OPSG: Applications will be reviewed by the SAA and CBP/Border Patrol (BP) Sector
Headquarters for completeness and adherence to programmatic guidelines as well as
operational content prior to submission to FEMA.
Operations Orders developed at the county level should be inclusive of city, county,
tribal, and other local law enforcement agencies that are eligible to participate in OPSG
operational activities, with the emphasis on the Executive Summary, Mission, and
Budget. This information will be used to evaluate the anticipated feasibility, need, and
impact of the Operations Orders.
FEMA will verify compliance with all administrative and eligibility criteria identified in the
application kit, to include the required submission of Operations Orders and Inventory of
Operations Orders by the established due dates. FEMA and CBP/BP will use the
results of both the risk analysis and the Federal review to make recommendations for
funding to the Secretary of Homeland Security.
10
SAA and CBP/BP OPSG Program leads will ensure a coordinated approach to maintain
application and operations order pre -submission accountability.
Following the review by State and CBP/BP Sector Headquarters, each application will
be forwarded for review by a Federal review panel comprised of evaluators from
components within FEMA and CBP/BP Headquarters.
Application Selection Process
FY 2012 SHSP and UASI are non-competitive programs. For additional information on
FY 2012 SHSP and UASI allocations, refer to Appendix A — FY 2012 Program Specific
Allocations.
Funds for FY 2012 OPSG will be allocated competitively. This includes the use of risk -
based prioritization using CBP Sector -specific border risk to include, but not limited to:
threat, vulnerability, miles of border, and other border -specific law enforcement
intelligence. Each applicant's final funding allocation will be determined by using a
combination of the results of the risk analysis and feasibility of the Operations Orders.
VI. Post -Selection and Pre -Award Guidelines
Notice of Award
All successful applicants for all DHS grant and cooperative agreements are required to
comply with DHS Standard Administrative Terms and Conditions available within
Section 6.1.1 of htto://www.dhs.pov/xlibrarv/assets/cfo-financial-management-policv-
manual.pdf.
Upon approval of an application, the award will be made in the form of a grant. The
date the approval of award is entered in the system is the "award date." Notification of
award approval is made through the ND Grants system through an automatic e-mail to
the grantee point of contact listed in the initial application. Once an award has been
approved and recorded in the system, a notice is sent to the authorized grant official.
Follow the directions in the notification to accept your award documents. The
authorized grant official should carefully read the award package for instructions on
administering the grant and to learn more about the terms and conditions associated
with responsibilities under Federal awards.
Administrative and Federal Financial Requirements
Grantees are obligated to submit various financial and programmatic reports as a
condition of their award acceptance. Please see below for a summary. of financial
and/or programmatic reports as required. Future awards and funds drawdown may be
withheld if these reports are delinquent.
1. Federal Financial Report (FFR) — required quarterly. Obligations and
expenditures must be reported on a quarterly basis through the FFR (SF-425). A
report must be submitted for every quarter of the period of performance, including
partial calendar quarters, as well as for periods where no grant activity occurs.
11
Future awards and fund draw downs may be withheld if these reports are delinquent.
The final FFR is due 90 days after the end date of the performance period. FFRs
must be filed electronically through the Payment and Reporting System (PARS).
2. Initial Strategy Implementation Plan (ISIP). Following the award of grant funds,
awardees will be responsible for reporting planned expenditures of the newly
awarded grant funds to meet the pass -through requirement. The applicable SAM
are responsible for completing and submitting the ISIP online. The ISIP is due within
45 days of the award date.
3. Grant Close -Out Process. Within 90 days after the end of the period of
performance, or after a Grant Adjustment Notice (GAN) has been issued to close out
a grant, whichever comes first, grantees must submit affinal FFR and final progress
report detailing all accomplishments throughout the period of performance. 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 deobligated, and address the
requirement of maintaining the grant records for three years from the date of the final
FFR. The grantee is responsible for returning any funds that have been drawn down
but remain as unliquidated on grantee financial records.
Programmatic Reporting Requirements
Performance Progress Report (SF-PPR). Awardees are responsible for providing
updated performance reports using the SF-PPR (OMB Control Number: 0970-0334)
on a semi-annual basis. The SF-PPR is due within 30 days after the end of the
reporting period (July 30 for the reporting period of January 1 through June 30; and
January 30 for the reporting period of July 1 through December 31). Grantees
should submit the SF-PPR as an attachment to the ND Grants system. The SF-PPR
can be accessed online at http://www.na.fs.fed.us/fap/SF-
PPR Cover0l20Sheet.pdf
Grantees will be required to report on progress towards implementing plans
described in their application. Additionally, as part of the SF-PPR, grantees will be
required to report on progress towards implementing the following performance
measures:
All grantees, as part of programmatic monitoring, will be required to describe how
expenditures first support maintenance and sustainment of current NPG core
capabilities. For additional information on maintenance and sustainment, please
see Appendix B - FY 2012 HSGP Program Specific Priorities
For SHSP and UASI, grantees that maintain an emergency operations plan
(EOP) are required to submit a Plan Analysis Tool annually and are required to
include bi-annual updates on percentage of completion of the Comprehensive
Preparedness Guide (CPG) 101 v.2 compliance (for additional information, see
http.//www. fema. goy/prepared/plan. shtm)
12
• For SHSP and UASI, grantees will report the number of people trained in a given
capability to support a reported number of defined resource typed teams (e.g., 63
responders were trained in structural collapse to support 23 Type 2 USAR
Teams)
• For SHSP and UASI, grantees will report the total number of a defined type of
resource and capabilities built utilizing the resources of this grant
• For SHSP and UASI, grantees will report what equipment was purchased and
what typed capability it supports
• For SHSP and UASI,Jusion-centers will -report on the -achievement of capabilities
and compliance with measurement requirements within the Maturation and
Enhancement of State and Major Urban Area Fusion Centers priority through the
annual Fusion Center Assessment Program managed by DHS Office of
Intelligence and Analysis (I&A) and reported to FEMA
• For SHSP and UASI, grantees will submit a certification indicating the number of
personnel involved in the Nationwide Suspicious Activity Reporting (SAR)
Initiative (NSI) as well as the number of personnel who have completed the
required training
• For SHSP and UASI, grantees should establish a planning body and
demonstrate that the membership and activities reflect the whole community
2. State Preparedness Report (SPR) Submittal. Section 652(c) of the Post -Katrina
Emergency Management Reform Act of 2006 (Public Law 109-295), 6 U.S.C.
§752(c), requires any State that receives Federal preparedness assistance to submit
an SPR to FEMA. States submitted the most recent SPR in December 2011, which
meets this requirement in order to receive funding under the FY 2012 HSGP.
3. Biannual Strategy Implementation Reports (BSIR). Grantees are responsible for
completing and submitting the BSIR reports as a complement to the SF-PPR. The
BSIR is due within 30 days after the end of the reporting period (July 30 for the
reporting period of January 1 through June 30; and January 30 for the reporting
period of July 1 through December 31). Updated obligations and expenditure
information must be provided within the BSIR to show progress made toward
meeting strategic goals and objectives. The first BSIR is not due until at least six
months after the award notice has been received by the grantee.
4. Exercise Evaluation and Improvement. Exercises implemented with grant funds
should evaluate performance of the capabilities required to respond to the exercise
scenario. Guidance related to exercise evaluation and the implementation of
improvements is defined in the Homeland Security Exercise and Evaluation Program
(HSEEP) located at httos://hseea.dhs.00v.
5. Monitoring. Grant 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.
13
Monitoring may be accomplished through either a desk -based review or on -site
monitoring visits, or both. Monitoring will involve the review and analysis of the
financial, programmatic, performance, compliance and administrative processes,
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.
VII. DHS FEMA Contact Information
Contact and Resource Information
This section describes several resources that may help applicants in completing a
FEMA grant application. These points of contact are also available for successful
applicants who may require assistance during execution of their award.
Financial and Administrative Information
1. Grant Programs Directorate (GPD). FEMA GPD's Grant Operations Division
Business Office will provide fiscal support, including pre- and post -award
administration and technical assistance, to the grant programs included in this
solicitation. Callers will be directed to a point of contact who will be able to assist
with their financial or administrative question. Additional guidance and information
can be obtained by contacting the FEMA Call Center at (866) 927-5646 or via e-mail
to ASK-GMD &dhs.aov.
2. FEMA Regions. FEMA Regions may also provide fiscal support, including pre- and
post -award administration and technical assistance, to the grant programs included
in this solicitation. For a list of contacts, please go to
http.//www. fema. gov/about/contact/reoions. shtm.
3. GPD Environmental Planning and Historic Preservation (GPD-EHP). The FEMA
GPD-EHP Team provides guidance and information to grantees and sub -grantees
related to submission of materials for EHP review. All EHP Review Packets should
be sent to gpdehpinfoefema.gov.
Programmatic Information
Centralized Scheduling and Information Desk (CSID). CSID is a non -emergency
comprehensive management and information resource developed by DHS for grants
stakeholders. CSID provides general information on all FEMA grant programs and
maintains a comprehensive database containing key personnel contact information
at the Federal, State, and local levels. When necessary, grantees will be directed to
a Federal point of contact who can answer specific programmatic questions or
concerns. CSID can be reached by phone at (800) 368-6498 or by e-mail at
askcsidCa)dhs.aov, Monday through Friday, 9:00 a.m. — 5:30 p.m. EST.
14
Systems Information
1. Grants.gov. For technical assistance with Grants.gov, please call the Grants.gov
customer support hotline at (800) 518-4726.
2. Non Disaster (ND) Grants. For technical assistance with the ND Grants system,
please contact ndgrants(&fema.gov or (800) 865-4076.
Vill. Other Critical Information
Emergency Management Assistance Compact (EMAC) Membership
In support of the NPG, HSGP recipients must belong to or be located in member States
of EMAC, except for American Samoa and the Commonwealth of the Northern Mariana
Islands, which are not required to belong to EMAC at this time.
National Incident Management System (NIMS) Implementation
In accordance with Homeland Security Presidential Directive (HSPD)-5, Management of
Domestic Incidents, the adoption of NIMS is a requirement to receive Federal
preparedness assistance, through grants, contracts, and other activities.
Prior to allocation of any Federal preparedness awards in FY 2012, grantees must
ensure compliance and/or alignment with FY 2011 NIMS implementation plan. The list
of objectives against which progress and achievement are assessed and reported can
be found at
http://www. fema. oov/emergencv/nimsllmplementationGuidanceStakeholders. shtm#item
2.
The primary grantee/administrator of FY 2012 HSGP award funds is responsible for
determining if sub-awardees have demonstrated sufficient progress in NIMS
implementation to disburse awards.
FEMA has developed the NIMS Guideline for Credentialing of Personnel to describe
national credentialing standards and to provide written guidance regarding the use of
those standards. This guideline describes credentialing and typing processes and
identifies tools which Federal Emergency Response Officials (FERO) and emergency
managers.at all levels of government may use both routinely and to facilitate
multijurisdictional coordinated responses.
Although State, local, tribal, and private sector partners —including nongovernmental
organizations —are not required to credential their personnel in accordance with these
guidelines, FEMA strongly encourages them to do so in order to leverage the Federal
investment in the Federal Information Processing Standards (FIPS) 201 infrastructure
and to facilitate interoperability for personnel deployed outside their home jurisdiction.
Additional information can be found at
http://www.fema.pov/pdf/emeroency/nims/nims alert cred puideline.pdf.
15
Grantees must update their EOPs at least once every two years. An evaluation matrix to
describe progress towards complying with CPG 101 v.2 is published at
httD.//www. fema. goy/prepared/plan. html.
Grantees proposing use of grant funding for geospatial information and technology
should review the latest version of the DHS Geospatial Guidance that serves as a
supplemental resource available at
http //www fema qov/pdf/povernment/arant/2010/fv10 hsgo peo pdf.
FEMA will disseminate guidance during FY 2012 on completing a Threat and Hazard
Identification and Risk Assessment (THIRA). .
IX. How to Apply
Application Instructions
Investment Justification (SHSP and UASI). As part of the FY 2012 HSGP application
process for SHSP and UASI funds, applicants must develop a formal IJ that addresses
each Investment being proposed for funding. The IJ must demonstrate how proposed
projects address gaps and deficiencies in delivering one or more core capabilities
outlined in the NPG and must also describe engagement with and/or impacts on the
general population, to include children and individuals with disabilities such as those
with access and functional needs. The IJ must demonstrate the ability to provide
enhancements consistent with the purpose of the program and guidance provided by
FEMA.
Instructions for SHSP
Applicants may propose up to 10 Investments within their IJ to describe the
activities they would like to implement with SHSP funds
Of the up to 10 Investments, applicants are required to propose at least one
Investment to provide funding support to the State's primary fusion center, as
designated by the Governor. Grantees must coordinate with the fusion center
when developing a fusion center Investment prior to submission
Instructions for UASI
Urban Areas may propose up to 10 Investments within their IJ to describe the
activities they would like to implement with UASI funds
If applicable, of the up to 10 Investments, Urban Areas are required to propose at
least one Investment in support of a DHS-recognized fusion center within the
Urban Area. Grantees must coordinate with the fusion center when developing a
fusion center Investment prior to submission
If UASI funds are used by the SAA in support of the Urban Area, the SAA must,
as part of the up to 10 Investments, propose an Investment describing how UASI
funds will be used by the SAA to directly support the Urban Area
16
For specific instructions on completing and submitting Investments, please refer to
Appendix D — FY 2012 HSGP Investment Justification Template and Instructions (OMB
Control Number: 1660-0125/FEMA Form 089-1).
Operations Order and Detailed Budget Summary (OPSG). As part of the FY 2012
OPSG application process, each eligible local unit of government at the county level or
federally -recognized tribal government must develop their Operations Order in
coordination with State and Federal law enforcement agencies, to include, but not
limited to CBP/BP. Operations Orders that are developed at the cauntyJeveLshould_bE
inclusive of city, county, tribal, and other local law enforcement agencies that are
eligible to participate in OPSG operational activities, and the Operations Order should
address this in the Executive Summary. The details should include the names of the
agencies, the points of contact, and the individual funding requests. All applications
must be coordinated through the CBP sector office and that BP will forward application
to the SAA for review.
X. Application and Submission Information
Address to Request Application Package
FEMA makes all funding opportunities available on the Internet at
http://www.prants.aov. If you experience difficulties accessing information or have any
questions please call the Grants.gov customer support hotline at (800) 518-4726.
Application forms and instructions are available at Grants.gov. To access these
materials, go to http://www.arants.00v, select "Apply for Grants," then select the CFDA
number (97.067) or the FOA number (DHS-12-GPD-067-000-02) and "Download
Application Package." Enter the CFDA and/or the funding opportunity number located
on the cover of this announcement. Select "Download Application Package," and then
follow the prompts to download the application package. To download the instructions,
go to "Download Application Package" and select "Instructions."
Content and Form of Application
1. Application via Grants.gov. All applicants must file their applications using the
Administration's common electronic "storefront"—httgWwww.grants.gov. Eligible
grantees must apply for funding through this portal, accessible on the Internet at
http://www. grants. pov.
The application must be started and submitted using Grants.gov after Central
Contractor Registration (CCR) is confirmed. The on-line application includes the
following required form:
• Standard Form 424, Application for Federal Assistance
Applying for FY 2012 HSGP funds requires a two-step process. Step One: initial
submission to determine eligibility and Step Two: full application. Applicants are
encouraged to initiate Step One as soon after the FOA is published but no later than
17
April 27, 2012. This involves submitting a complete Standard Form 424 to
www.orants.00v. The Standard Form 424 will be retrieved by ND Grants and the
system will automatically populate the relevant data fields in the application.
Successful completion of this step is necessary for FEMA to determine eligibility of
the applicant. Late submissions to Grants.gov to complete Step One could result in
applicants missing the application deadline in Step Two. Once FEMA has
determined an applicant to be eligible, applicants can proceed to Step Two which
involves submitting the full application package via the ND Grants system. The
submission deadline for the full application -package is May _4, 20_12.
The application must be completed and final submission made through the ND
Grants system located at https://portal.fema.gov. If you need assistance registering
for the ND Grants system, please contact ndgrants(�Mema.aov or (800) 865-4076.
Applicants are encouraged to begin their ND Grants registration at the time of
solicitation to ensure they have adequate time to start and complete their application
submission. Unless otherwise referenced, the ND Grants system includes the
following required forms and submissions:
• Standard Form 424A, Budget Information (Non -construction)
• Standard Form 424B, Standard Assurances (Non -construction)
• Standard Form 424C, Budget Information (Construction)
• Standard Form 424D, Standard Assurances (Construction)
• Standard Form LLL, Disclosure of Lobbying Activities (if the grantee has
engaged or intends to engage in lobbying activities)
• Grants.gov (GG) Lobbying Form, Certification Regarding Lobbying
• FEMA Form 20-16C, Certifications Regarding Lobbying; Debarment,
Suspension and Other Responsibility Matters; and Drug -Free Workplace
Requirements (available at
http://www. fema. aovIlibraryIviewRecord. do?id=2628)
• For SHSP and UASI funds, an IJ Report from the Grants Reporting Tool (see
Appendix D — FY 2012 HSGP Investment Justification Template and
Instructions) (OMB Control Number: 1660-0125/FEMA Form 089-1)
• For UASI funds, an overview of the Urban Area Working Groups (UAWG)
structure and a list of members and their associated jurisdictions
• For OPSG funds, Operations Orders and Detailed Budget Summary from
eligible local units of government at the county level and federally -recognized
tribal governments within States and territories (OMB Control Number: 1660-
0119/FEMA Form 089-16)
• For OPSG funds, inventory of Operations Orders in FEMA-provided template
The program title listed in the CFDA is "Homeland Security Grant Program." The CFDA
number is 97.067.
2. Dun and Bradstreet Data Universal Numbering System (DUNS) Number. The
applicant must provide a DUNS number with their application. This number is a
required field within http://www.arants.aov and for CCR. Organizations should verify
18
that they have a DUNS number, or take the steps necessary to obtain one, as soon
as possible. Applicants can receive a DUNS number at no cost by calling the
dedicated toll -free DUNS number request line at (866) 705-5711.
3. Valid CCR. The application process also involves an updated and current
registration by the applicant, which must be confirmed at htta://www.ccrpov.
Applicants will obtain FOA Overviews and Full Announcement information from the
Grants.gov website where the f FOAis posted.
In addition, the following Telephone Device for the Deaf (TDD) and/or Federal
Information Relay Service (FIRS) number available for this Announcement is: (800)
462-7585.
Applications will be processed through the Grants.gov portal or the ND Grants system
Hard copies of the application will not be accepted.
19
Appendix A — FY 2012 Program Specific. Allocations
FY 2012 SHSP Allocations
State/Territory
Alabama
FY 2012 Allocation
$2,801,316
State/Territory
Montana
FY 2012 Allocation
$2,801,316
Alaska
$2,801,316
Nebraska
$2,801,316
American -Samoa
$640,301
Nevada
$2.801,,316
Arizona
$3,310,348
New Hampshire
$2,801,316
Arkansas
$2,801,316
New Jersey
$6,230,200
California
$43,503,883
New Mexico
$2,801,316
Colorado
$2,801,316
New York
$55,610,384
Connecticut
$2,801,316
North Carolina
$3,977,858
Delaware
$2,801,316
North Dakota
$2,801,316
District of Columbia
$2,984,245
Northern Mariana Islands
$640,301
Florida
$8,839,003
Ohio
$5,578,064
Georgia
$4,932,320
Oklahoma
$2,801,316
Guam
$640,301
Oregon
$2,801,316
Hawaii
$2,801,316
Pennsylvania
$7,265,475
Idaho
$2,801,316
Puerto Rico
$2,801,316
Illinois
$11,852,469
Rhode Island
$2,801,316
Indiana
$2,801,316
South Carolina
$2,801,316
Iowa
$2,801,316
South Dakota
$2,801,316
Kansas
$2,801,316
Tennessee
$2,801,316
Kentucky
$2,801,316
Texas
$15,820,512
Louisiana
$2,801,316
U.S. Virgin Islands
$640,301
Maine
$2,801,316
Utah
$2,801,316
Maryland
$4,438,106
Vermont
$2,801,316
Massachusetts
$4,073,885
Virginia
$5,372,259
Michigan
$4,898,578
Washington
$4,705,147
Minnesota
$2,801,316
West Virginia
$2,801,316
Mississippi
$2,801,316
Wisconsin
$2,801,316
Missouri
..l
$2,801,316
Wyoming
$2,801,316
$294r0r i00
20
Appendix A — FY 2012 Program Specific Allocations
FY 2012 UASI Allocations
Arizona
Urban
Phoenix Area
$4,018,455
California
Anaheim/Santa Ana Area
$4,455,106
Bay Area
$26,423,268
Los Angeles/Long Beach Area
$61,029,547
Riverside Area
$1,521,937
San -Diego Area
$9,156; 712
Colorado
Denver Area
$2,527,525
District of Columbia
National Capital Region
$51,839,027
Florida
Miami/Fort Lauderdale Area
$5,401,304
Orlando Area
$1,447,416
Tampa Area
$2,595,211
Georgia
Atlanta Area
$5,283,893
Illinois
Chicago Area
$47,703,062
Indiana
Indianapolis Area
$1,250,000
Louisiana
New Orleans Area
$1,250,000
Maryland
Baltimore Area
$4,116,111
Massachusetts
Boston Area
$10,861,397
Michigan
Detroit Area
$5,232,574
Minnesota
Twin Cities Area
$3,270,673
Missouri
Kansas City Area
$1,250,000
St. Louis Area
$2,908,188
Nevada
Las Vegas Area
$1,826,923
New Jersey
Jersey City/Newark Area
$21,663,035
New York
New York City Area
$151,579,096
North Carolina
Charlotte Area
$1,494,751
Oregon
Portland Area
$2,157,259
Pennsylvania
Philadelphia Area
$14,268,859
Texas
Dallas/Fort Worth/Arlington Area
$14,292,691
Houston Area
$23,936,523
San Antonio Area
$1,250,000
Washington
Totali
Seattle Area
$4,365,457
000
21
Appendix A — FY 2012 Program Specific Allocations
FY 2012 SHSP and UASI LETPA Minimum
Samoa
$ 2,801,316 � $ 2,801,316 � $ 700,329
$ 2,801,316 $ 2,BD1,316 $ 700,329
$
640,301
1 $
640,301
$
160,075
Denix Area
$4,018,456
$
4,018,455
$
3,310,3481
$
7,328,803
$
1,832,201
$
2,801,316
$
2,801,316
$
700,329
aheim/Santa Ana Area
$4,455,106
y Area
$26,423,268
$102,586,570
$
43,503,883
$146,090,453
$
36,522,613
;Angeles/Long Beach Area
$61,029,547
erside Area
$1.521,937
1 Diego Area
$9,156,712
iw Area
$2,527.5251
$
2,527,525
$
2,801,316
$
5,328,841
$
1,332,210
$
2.801,316
$
2,801,316
$
700,329
$
2,801,3161
$
2,801,316
$
700,329
ional Capital Region
$51,839,027
$
51,839,027
$
2,984,245
$
54,823,272
$
13,705,818
imi/Fort Lauderdale Area
$5,401,304
$
9,443,931
$
8,839,003
$
18,282,934
$
4,570,734
ando Area
$1,447,416
npa Area
$2,595,211
rota Area
$5.283,893
$
5.283.893
$
4,932,320
$
10,216,213
$
2,554,053
$
640,301
$
640,301
$
160,075
$
2,801,316
$
2,801,316
$
700,329
$
2,801,316
$
2,801,316
$
700,329
cago Area
$47,703,062
$
47,703.062
$
11,852,469
$
59,555,531
$
14,888,883
anspolis Area
$1,250,000
$
1,250,000
$
2,801,316
$
4,051.316
$
1,012,829
$
2.801,316
$
2,801,316
$
700,329
$
2.801,316
$
2,801,316
$
700,329
$
2,801,316
$
T801,316
$
000,329
v Orleans Area
$1,250,ODO
$
1,250,000
$
2,801,316
$
4,051.316
$
1,012,829
$
2.801,316
$
2, 801,316
$
700,329
limore Area
$4,116,111
$
4,116,111
$
4,438,106
$
8,554.217
$
2,138,554
'.ton Area -
$10,861,397
T
10,861,397
$
4,073.885
$
14,935,282
$
3,733,821
roit Area
$5,232.574
$
5,232.574
$
4,898.578
$
10,131,152
$
2,532,788
1 Cities Area
$3,270.673
$
3,270.673.
$
2,801,316
$
6,071,989
$
1,517,997
$
2,801,316
$
2,801,316
$
700,329
isas City Area
$1,250,000
$
4,158,188
$
2,801,316
$
6,959,504
$
1,739,876
Louis Area
$2,908,188
$
2,801,316
$
2,801,316
$
-
700,329
$
2,801,316
$
2,801,316
$
7DO, 329
Vegas Area
$1,826,923
$
1,826,923
$
2,801,316
$
4,628,239
$
1, 157,060
$
2, 801,316
$
2.801,316
$
700, 329
ey City/Newark Area
$21,663,035
$
21,663,035
$
6,230,200i
$
27.893.235
$
6.973,309
$
2,801,3161
$
2,801,316
$
700,329
i York City Area
$151,579,0961
$151,579,096 1
$
55,610,384 1
$207,189,480
$
51,797,370
22
Appendix A — FY 2012 Program Specific Allocations
FY 2012 SHSP and UASI LETPA Minimum (cont.)
State/Territory
North Carolina
Eligible
Urh@ n Area(s)
iCharlotte Area
FY r
Allocation
$1,494,751
Allocation
$ 1,494,751
Allocation
1 $ 3,977,858
Allocation by
1 $ 6,472,609
LETPA
1 $ 1,368,152
North Dakota
$ 2,801,316
$ 2,801.316
1 $ 700,329
Northern Mariana Islands
$ 640,301
$ 640,301
$ 160,075
Ohio
$ 5.578,064
$ 5,578,064
$ 1,394,516
Oklahoma
-
$ 2,801,316
$ 2,801.316
$ 700,329
_Oregon
Portland Area
$2,157,259
$ 2,157,259_
1 2,8Q1,316
$ 4,959,57.5__$_.1,239,644_
Pennsylvania
Philadelphia Area
$14,268,859
$ 14,268,859
$ 7,265,475
$ 21,534,334
$ 5,383,583
Puerto Rico
$ 2.801,316
$ 2,801,316
$ 700,329
Rhode Island
$ 2,801,316
$ 2,801,316
$ 700,329
South Carolina
$ 2.801,316
$ 2,801,316
$ 700,329
South Dakota
$ 2,801,316
$ 2,801,316
$ 700,329
Tennessee
$ 2,801,316
$ 2,801.316
$ 700,329
Texas
Dallas/Fort Worth/Arlington Area
$14,292,691
$ 39,479,214
$ 15,820,512
$ 55,299,726
$ 13,824,932
Houston Area
$23,936,523
San Antonio Area
$1,250,000
U.S. Virgin Islands
$ 640,301
$ 640,301
$ 160,075
Utah
$ 2,801,316
$ 2,801,316
$ 700,329
Vermont
$ 2.801,316
$ 2,801,316
$ 700,329
Virginia
$ 5,372,269
$ 5,372,259
$ 1,343,065
Washington
Seattle Area
$4,365,457
$ 4,365,457
$ 4,705,147
$ 9,070,604
$ 2,267,651
West Virginia
$ 2,801,316
$ 2,801,316
$ 700,329
Wisconsin
$ 2,801,316
$ 2,801,316
$ 700,329
Wyoming
Total
$490,376,000
$ 2,801,316
$294,000,000
$ 2,801,316
$784,376,000
$ 700,329
$196,094,000
FY 2012 OPSG Eligible States and Territories
Alabama
States and .-
Massachusetts
Pennsylvania
Alaska
Michigan
Rhode Island
Arizona
Minnesota
South Carolina
California
Mississippi
Texas
Connecticut
Montana
Vermont
Delaware
New Hampshire
Virginia
Florida
New Jersey
Washington
Georgia
New Mexico
Wisconsin
Hawaii
New York
Puerto Rico
Idaho
North Carolina
U.S. Virgin Islands
Louisiana
North Dakota
American Samoa
Maine
Ohio
Guam
Maryland
Oregon
Northern Mariana Islands
Note: Not all applicants are guaranteed to receive funding under the FY 2012 OPSG.
23
Appendix A - FY 2012 Program Specific Allocations
Appendix B — FY 2012 Program Specific Priorities
Presidential Policy Directive 8: National
Presidential Policy Directive 8: National Preparedness (PPD-8), signed on March 30,
2011, describes the Nation's approach to preparing for the threats and hazards that
pose the greatest risk to the security of the United States. National preparedness is the
shared responsibility of our whole community. Every member contributes, including
i nd ivid uals,-commu n ities,_the_private-and-nonprofit-sectorsrfaith=based-organizations,
and Federal, State, and local governments. We describe our security and resilience
posture through the core capabilities that are necessary to address risks, and we will
use an integrated, layered, and all -of -Nation approach as our foundation. We define
success as a secure and resilient Nation with the capabilities required across the whole
community to prevent, protect against, mitigate, respond to, and recover from the
threats and hazards that pose the greatest risk.
National preparedness is the shared responsibility of all levels of government, the
private and nonprofit sectors, and individual citizens. The objective of PPD-8 is to
facilitate an integrated, all -of -Nation, risk informed, capabilities -based approach to
preparedness.
Using the core capabilities, we achieve the NPG by:
• Preventing, avoiding, or stopping a threatened or an actual act of terrorism.
• Protecting our citizens, residents, visitors, and assets against the greatest threats
and hazards in a manner that allows our interests, aspirations, and way of life to
thrive.
• Mitigating the loss of life and property by lessening the impact of future disasters.
• Responding quickly to save lives, protect property and the environment, and
meet basic human needs in the aftermath of a catastrophic incident.
• Recovering through a focus on the timely restoration, strengthening, and
revitalization of infrastructure, housing, and a sustainable economy, as well as
the health, social, cultural, historic, and environmental fabric of communities
affected by a catastrophic incident.
The core capabilities contained in the NPG are the distinct critical elements necessary
for our success. They are highly interdependent and will require us to use existing
preparedness networks and activities, improve training and exercise programs, promote
innovation, and ensure that the administrative, finance, and logistics systems are in
place to support these capabilities. The core capabilities represent an evolution from the
Target Capabilities List (TCL). The transition from TCL to core capabilities expands the
focus to include mitigation and allows greater focus on prevention and protection
activities.
To support building, sustaining, and delivering these core capabilities grantees will use
elements of the National Preparedness System (NPS). The NPS is to be an integrated
24
Appendix B — FY 2012 Program Specific Priorities
set of guidance, programs, and processes that can be implemented and measured at all
levels of government, thereby enabling the Nation to achieve the Goal.
Building and Sustaining Core Capabilities
Capabilities are the means to accomplish a mission, function, or objective based on the
performance of related tasks, under specified conditions, to target levels of
performance. The most essential of these capabilities are the core capabilities
identified in the NPG. Complex and far-reaching threats and hazards require the whole
community to integrate preparedness efforts in order to busustain,_and deliver the
core capabilities and achieve the desired outcomes identified in the NPG.
Working together, subject matter experts, government officials, and elected leaders can
develop strategies to allocate resources effectively, as well as leverage available
assistance to reduce risk. These strategies consider both how to sustain current levels
of capability and address gaps in order to achieve the NPG. Achieving the NPG will
require participation and resource support from all levels of government. Not all
capabilities can be addressed in a given funding cycle, nor can funding be expected to
flow from any one source. Officials must prioritize the achievement of capabilities to
most effectively ensure security and resilience while understanding the effects of not
addressing identified gaps. Building and sustaining capabilities will include a
combination of organizational resources, equipment, training, and education. Grants
and technical assistance may also be available to support building and sustaining
capabilities. Consideration must also be given to finding, connecting to, and
strengthening community resources by leveraging the expertise and capacity of.
individuals, communities, private and nonprofit sectors, faith -based organizations, and
all levels of government. Jurisdictions may also choose to use mutual aid agreements to
fill gaps or work with partners to develop regional capabilities. Ultimately, a jurisdiction
may need to rely on other levels of government to address a gap in capability. This
expectation should be communicated well before the time arises when the capabilities
are most urgently needed.
As these issues are considered in light of the eligible activities, an effective risk
assessment must guide jurisdictions' efforts. This risk picture will cover the range of
threats and hazards, from those a community faces daily to those infrequent events that
would stress the core capabilities of a jurisdiction. Coupled with the desired outcomes
established by a community, this combined perspective is crucial to enabling all levels
of government to effectively estimate the level of capabilities required to address its
risks.
Files and information on PPD-8 can be found at http.//www.fema.gov/ppd8.
The President's FY 2013 budget has proposed substantial changes to DHS grant
programs. FY 2012 grant programs will prepare grantees for the transition to new
requirements in FY 2013 in the following ways:
25
Appendix B — FY 2012 Program Specific Priorities
• Begin the process of transitioning from separate preparedness grant programs in
FY 2011 to a more streamlined model within the construct of the FY 2012
appropriations
• Continue the transition to address the core capabilities outlined in the NPG
• Implement a two year period of performance with very limited extensions
Grantees are encouraged to familiarize themselves with the grant proposals in the
President's FY 2013 budget.
FY 2012 HSGP and Alignment to PPD-8
The FY 2012 HSGP plays an important role in the implementation of PPD-8 by
supporting the development and sustainment of core capabilities. Core capabilities are
essential for the execution of each of the five mission areas outlined in the NPG. The
development and sustainment of these core capabilities are not exclusive to any single
level of government or organization, but rather require the combined effort of the whole
community. The FY 2012 HSGP supports all core capabilities in the Prevention,
Protection, Mitigation, Response, and Recovery mission areas based on allowable
costs.
Funding Allocations Based Upon Risk
Based upon ongoing intelligence analysis and threat assessments, DHS continues to
focus the bulk of SHSP, UASI, and OPSG funds based upon risk. Risk is evaluated at
the Federal level using an analytical model developed by DHS in conjunction with other
Federal entities. Risk is defined as the product of three principal variables:
Threat— the likelihood of an attack occurring;
Vulnerability— the relative exposure to an attack; and
Consequence — the expected impact of an attack.
The risk model is used to allocate HSGP funds and is informed by the risk to specific
threats and vulnerabilities —taking into account regional variations —to include the
potential risk of terrorism to people, critical infrastructure, and economic security to
estimate the relative risk of terrorism faced by a given area. In FY 2012 the threat
analysis now takes into account threats from domestic violent extremists as well as
international terrorist groups and those individuals inspired by terrorists abroad.
FY 2012 Priorities and Requirements
Priority One: Implementation of PPD-8 and the Whole Community Approach to
Security and Emergency Management
FEMA preparedness grant programs offer resources for State, local, tribal, and regional
partners to support activities described within PPD-8, NPG, and the Whole Community
Approach to Security and Emergency Management, to include development and
sustainment of critical capabilities needed to close gaps, increasing national to
preparedness.
26
Appendix B — FY 2012 Program Specific Priorities
Advancing "Whole Community" Approach to Security and Emergency Management.
Communities are challenged to develop collective, local abilities to withstand the
potential impacts of natural disasters and terrorist threats, respond quickly, and recover
in a way that sustains or improves the community's overall well-being. Achieving this
collective capacity calls for innovative approaches across the community, including
emergency management to build up existing practices, institutions, and organizations
that help make local communities successful, and that can leverage this infrastructure if
and when an incident occurs (for details see
h ttp.//www. fema. oo v/abo ut/wholecommunity. shtm).
Objective One: Completion of Threat and Hazard Identification and Risk
Assessment (THIRA). THIRA processes at all levels of government establish a
foundation to justify and guide preparedness activities and investments. A common
approach to that process will enable the whole community to maintain a baseline
understanding of the risks that they face, facilitating efforts to identify capability and
resource gaps, focus capability improvements, and inform the community of actions
they can take to manage their risks. In order to qualify for FY 2012 funding, all
grantees shall develop and maintain a THIRA.
THIRAs should include the range of threats and hazards faced by an applicant. The
assessment should be based on analysis of the relative consequences of the various
threats and hazards with consideration of empirical data to the maximum degree
possible. An effective THIRA will allow the applicant to compare and prioritize risks,
even if they are dissimilar, by identifying possible threats and hazards, the associated
vulnerabilities and cascading effects. THIRA findings should be incorporated into
each applicant's preparedness strategy, planning, IJ, and assessment
documentation -addressing capability gaps identified during the THIRA process.
An intergovernmental THIRA system is envisioned in the National Preparedness
System in which jurisdictions' respective THIRAs can inform one another using a
common methodological framework. FEMA will continue to refine the process and
disseminate guidance throughout FY 2012. Grantees should work with FEMA to
incorporate additional guidance into their THIRA as it becomes available.
Measurement Methods
• Percentage of THIRAs that meet the qualifications set forth by DHS.
Reporting
Grantees will be required to develop a THIRA and upload a copy on ND
Grants no later than December 31, 2012. The THIRA must be updated and
reviewed by DHS for consistency and content annually
Objective Two: Planning. The CPG 101 v.2 September 2010 helps planners at all
levels of government in their efforts to develop and maintain viable all -hazards, all-
27
Appendix B - FY 2012 Program Specific Priorities
threats emergency operations plans (EOPs) by engaging the whole community in
thinking through the life cycle of a potential crisis, determining required capabilities,
and establishing a framework for roles and responsibilities. All SHSP and UASI
grantees that maintain, or revise as necessary, an EOP shall ensure their
consistency with the CPG 101 v2 September 2010 which serves as the foundation for
State, local, tribal, and territory emergency planning. CPG 101 v.2 can be found at
http://www.fema.qov/pdf/about/divisions/npd/CPG 101 V2.adf. Grantees must
update their EOPs at least once every two years. A Plan Analysis Tool to describe
progress towards complying with CPG 101 v.2 is published and available at
Measurement Method
All SHSP and UASI grantees will report progress toward making their EOPs
compliant with CPG 101 v.2 by completing the Plan Analysis Tool for
Compliance with CPG 101 v.2 available at
http.//www. fema. qov/prepared/plan. shtm
Reporting
Any SHSP or UASI grantee that maintains an EOP is required to submit the
above referenced Plan Analysis Tool annually and is required to include bi-
annual updates on percentage completion of CPG 101 v.2 compliance within
the SF-PPR
Objective Three: Organization — Typing of Equipment and Training. SHSP and
UASI provide funding for equipment, training, and exercises for the prevention,
protection against, response to and recovery from terrorism events. A well executed
mission requires carefully managed resources (personnel, teams, facilities,
equipment, and/or supplies) from the Whole Community to meet incident needs.
Utilization of standardized resource management concepts such as typing,
inventorying, organizing, and tracking will facilitate the dispatch, deployment, and
recovery of resources before, during, and after an incident.
Measurement Method
Percentage of total equipment that was purchased using a typed resource
under the NIMS in support of developing or maintaining core capability
Percentage of all personnel trained in a given capability to support a reported
number of defined resource typed teams (e.g., Technical search and rescue
equipment for urban search and rescue must be identified for use in the
development of a NIMS defined Urban Search and Rescue (USAR) team or to
outfit technical rescue specialists as typed single resources)
Percentage of defined type of resource and core capabilities built utilizing
grant funds
28
Appendix B — FY 2012 Program Specific Priorities
Reporting
All grantees will report what equipment was purchased and what typed
capability it supports as part of SF-PPR reporting;
All grantees will report in the SF-PPR the number of people trained in a given
capability to support a reported number of defined resource typed teams (e.g.,
63 responders were trained in structural collapse to support 23 Type 2 USAR
Teams); and
All grantees will -report the total -number of a -defined type -of resource and -core
capabilities built utilizing the resources of this grant as part of the SF-PPR.
Objective Four., Sustaining Capabilities. In this time of limited resources, HSGP
grantees should ensure that grant funding is utilized to sustain core capabilities within
the NPG that were funded by past HSGP funding cycles to include training of
personnel and lifecycle replacement of equipment. New capabilities should not be
built at the expense of maintaining current, essential capabilities. If new capabilities
are being built utilizing HSGP funding, grantees must ensure that the capabilities are
able to be deployable outside of their community to support regional and national
efforts. All capabilities being built or sustained must have a clear linkage one or more
core capabilities in the NPG.
Measurement Method
Percentage of proposed funding, on a project by project basis, supporting the
sustainment of the NPG's core capabilities
Reporting
As part of programmatic monitoring grantees will be required to describe how
expenditures first support maintenance and sustainment of current NPG core
capabilities within the SF-PPR
Priority Two: Building and Sustaining Law Enforcement Terrorism Prevention
Capabilities'
As the terrorist threat to the United States has evolved, Federal, State, and local
governments have sought to expand their capacity to detect and mitigate the threat
posed by those who seek to carry out violent attacks against the people, government or
critical infrastructure of the United States. The threat posed by homegrown terrorism is
real and not limited to a single ideology. Foreign terrorist groups affiliated with al-Qaida,
and individual terrorist thought leaders, are actively seeking to recruit or inspire
Westerners to carry out attacks against western and United States targets. The United
States must remain vigilant against homegrown and foreign terrorist threats.
1 Note that this priority has been renamed from Building Prevention and Protection Capabilities in FY 2011 to Building Law
Enforcement Terrorism Prevention Capabilities in FY 2012.
29
Appendix B — FY 2012 Program Specific Priorities
In support of the NPG's core capabilities, DHS encourages the use of SHSP and UASI
funding for programs and initiatives that directly support local efforts to enable
interdiction and disruption of terrorist activity through enhanced understanding and
recognition of pre -operational activity and other crimes, that may be precursors or
indicators of terrorist activity, in accordance with applicable P/CRCL protections. Such
activities include:
• Maturation and enhancement of recognized State and rhaior Urban Area fusion
centers, including information sharing and anaiysis,_target hardening,Feat
recognition, and terrorist interdiction, and training/ hiring of intelligence analysts;
• Implementation and maintenance of the Nationwide SAR Initiative (NSI),
including training for front line personnel on identifying and reporting suspicious
activities;
• Implementation of the "If You See Something, Say SomethingTM" campaign to
raise public awareness of indicators of terrorism and violent crime and
associated efforts to increase the sharing of information with public and private
sector partners, including nonprofit organizations;
• Training for countering violent extremism; development, implementation, and/or
expansion of programs to engage communities that may be targeted by violent
extremist radicalization; and the development and implementation of projects to
partner with local communities to prevent radicalization to violence, in
accordance with the Strategic Implementation Plan (SIP) to the National Strategy
on Empowering Local Partners to Prevent Violent Extremism in the United
States; and
Increase physical security, via law enforcement personnel and other protective
measures by implementing preventive and protective measures related to at -risk
nonprofit organizations.
Objective One: NSI Training. All personnel funded with SHSP and UASI funding
and engaged in the NSI will complete the Department's NSI training.
Measurement Method
• Percentage of SHSP and UASI funded personnel who are engaged in the NSI
and have completed the training
Reporting
• Submission of a certification as part of SF-PPR indicating the number of
personnel involved in the NSI as well as the number of personnel who have
completed the required training
Priority Three: Maturation and Enhancement of State and Major Urban Area
Fusion Centers
One of the Department's highest priorities in FY 2012 remains support for recognized
State and major Urban Area fusion centers and the maturation of the Information
30
Appendix B - FY 2012 Program Specific Priorities
Sharing Environment (ISE). Fusion centers serve as focal points within the State and
local environment for the receipt, analysis, gathering, and sharing of threat -related
information between the Federal government and State, local, tribal, territorial (SLTT)
and private sector partners. Building a National Network of Fusion Centers (National
Network) empowers law enforcement, fire, emergency management and homeland
security personnel by helping them understand local implications of national
intelligence, thus enabling them to better protect their communities.
A National Network also provides a mechanism fc
information from SLTT partners, which helps create a more complete intelligence
picture at the National level. With timely, accurate information on potential terrorist
threats, fusion centers can also directly contribute to and inform investigations initiated
and conducted by Federal entities, such as the Joint Terrorism Task Forces led by the
Federal Bureau of Investigation (FBI). The 2010 National Security Strategy identifies
fusion centers as critical in enlisting all of our intelligence, law enforcement, fire,
emergency, management, and homeland security capabilities to prevent acts of
terrorism on American soil.
In support of this strategic vision, the Department is requiring recognized State and
major Urban Area fusion centers to participate in an annual assessment of their
achievement of Critical Operational Capabilities (COCs) and Enabling Capabilities
(ECs), as based upon the Global Justice Information Sharing Initiative's (Global)
Baseline Capabilities for State and Major Urban Area Fusion Centers. The four COCs
are: receive; analyze; disseminate; and gather. The four ECs are: Privacy, Civil Rights,
and Civil Liberties (P/CRCL) Protection; Sustainment Strategy; Communications and
Outreach; and Security. The results from this assessment will help fusion centers
identify gaps in their operational and enabling capabilities. Mitigating these gaps will
enhance fusion centers' capacity to improve the nation's ability to safeguard the
homeland and prevent terrorist and criminal activity, while enabling local officials to
better protect their communities.
As maturation of the National Network is one of the Department's highest priorities in FY
2012, DHS is requiring that all fusion center related funding requests be consolidated
into a single (1) Investment for States or Urban Areas, in which recognized fusion
centers reside, and this Investment must address funding support for the recognized
fusion center. Grantees must coordinate with the fusion center when developing a
fusion center Investment prior to submission, and Investment requests must
directly align to and reference any capability gaps identified during the center's
individual 2011 Fusion Center Assessment Report. In particular, each proposed
project included in the fusion center Investment must reference the
corresponding COC or EC, as well as associated attribute(s), the funding
investment is intended to address. Additionally, any jurisdiction or agency that
leverages HSGP funds to support intelligence- or fusion process -related activities (i.e.,
intelligence unit, real time crime information and analysis centers, etc.) must ensure
these efforts are integrated and/or coordinated with the respective State or major Urban
Area fusion center(s).
31
Appendix B — FY 2012 Program Specific Priorities
Background: The Baseline Capabilities for State and Major Urban Area Fusion Centers
(September 2008) identifies the baseline capabilities for fusion centers and the
operational standards necessary to achieve each of the capabilities across the National
Network. Fusion centers, in partnership with the Federal Government, prioritized four
COCs, which reflect the operational priorities of the National Network, and four ECs,
which provide a foundation for the fusion process. During the annual fusion center
assessment, fusion centers are assessed on their ability to execute the COCs and ECs.
One: Baseline
UASI grant funds must prioritize the allocation of these grant funds to any capability
gaps identified as a result of the 2011 Fusion Center Assessment and, only after
identified capability gaps have been addressed, maintain and enhance capabilities in
execution of the COCs and ECs. This will ensure the implementation of common and
consistent operational standards across the National Network.
Objective Two: Analytic Capabilities. All fusion center analytic personnel must
demonstrate qualifications that meet or exceed competencies identified in the
Common Competencies for State, Local, and Tribal Intelligence Analysts. In addition
to these training requirements, fusion centers should also continue to mature their
analytic capabilities by addressing gaps in analytic capability identified during the
annual fusion center assessment.
Measurement Methods (Fusion Center Reporting and Compliance)
In order to effectively measure implementation of this priority, recognized State
and major Urban Area fusion centers leveraging SHSP and/or UASI grant funds
will be evaluated based upon compliance with the following:
• Successful completion of the annual Fusion Center Assessment Program
managed by the DHS Office of Intelligence and Analysis (I&A). The Fusion
Center Assessment Program is comprised of the self assessment, validation,
staffing and product tables, and cost assessment data and will evaluate each
Fusion Center against the four COCs
• Have approved plans, policies, or SOPS and, per the Fusion Center
Assessment Program, demonstrate improvement in each of the four COCs
• Have an approved P/CRCL policy that is determined to be at least as
comprehensive as the ISE Privacy Guidelines
• .Conduct an annual audit of their P/CRCL policy in accordance with the Privacy
Civil Rights and Civil Liberties Compliance Verification for the Intelligence
Enterprise(htta:/rt.ojp.crov/docdownloader.aspx?ddid=1280
• Ensure all staff receive annual training on both the center's P/CRCL policies
and 28 CFR Part 23
• All fusion center analytic personnel must meet designated competencies, as
identified in the Common Competencies for State, Local, and Tribal
Intelligence Analysts, that have been acquired through experience or training
courses Successfully complete an exercise to evaluate the implementation of
32
Appendix B - FY 2012 Program Specific Priorities
the four COCs at least once every two years and address any corrective
actions arising from the successfully completed exercises
Reporting
• For SHSP and UASI, fusion centers will report on the achievement of
capabilities and compliance with measurement requirements within the
Maturation and Enhancement of State and Major Urban Area Fusion Centers
priority_through the annual Fusion Center Assessment mgrarnmanaged_by
DHS I&A and reported to FEMA
HSGP Program Priorities
Homeland Security Strategy Updates
State and Urban Area Homeland Security Strategies are designed to 1) provide a
blueprint for comprehensive, enterprise -wide planning for homeland security efforts; and
2) provide a strategic plan for the use of related Federal, State, local, tribal, and private
resources within the State and/or Urban Area before, during, and after threatened or.
actual domestic terrorist attacks, major disasters, and other emergencies.
State and Urban Area Homeland Security Strategies should be updated every two (2)
years at a minimum, to ensure that their strategies continue to address all homeland
security mission areas (prevent, protect against, respond to, recover from, and mitigate
all hazards) and reflect how their goals and objectives align to PPD-8 and the Whole
Community approach. When revisiting and updating the strategies, goals, and
objectives, States and Urban Areas are strongly encouraged to consider collaboration
across disciplines, jurisdictions, and agencies within the framework of the mission areas
and based on a capability -based planning approach.
Whole Community Engagement
DHS strongly encourages States, Urban Areas and regions to work with the Whole
Community to advance community and individual preparedness and to work as a nation
to build and sustain resilience.
Collaboration with Tribes
DHS strongly encourages States, Urban Areas, and regions to work with tribal nations
in overall initiatives such as whole community emergency preparedness and
management planning as well as other partnership areas.
Collaboration with Nonprofit Organizations
DHS strongly encourages States, Urban Areas, and regions to work with the nonprofit
community, including through the dedication of LETPA funds and resources, to address
the terrorism prevention concerns and needs of the nonprofit sector.
Consolidation of Law Enforcement Terrorism Prevention Activities
Per the Homeland Security Act of 2002 (Public Law 167-296), Title XX, § 2006, as
amended by the 9/11 Act, Title I, §101, August 3, 2007, 121 Stat. 280, 6 U.S.C. § 607,
33
Appendix B — FY 2012 Program Specific Priorities
States are required to ensure that at least 25 percent (25%) of the combined HSGP
funds allocated under SHSP and UASI are dedicated towards law enforcement
terrorism prevention activities. The LETPA allocation can be from SHSP, UASI or both.
This requirement does not include award funds from OPSG. Please refer to Appendix A
— Program Specific Allocations for LETPA minimum allocations for SHSP and UASI by
jurisdiction.
In order to leverage funds for LETPA, activities outlined in the Building Law
Enforcement Terrorism Prevention Capabilities are eligible for use of LETPA f
proposed for funding under LETPA must be
approved by the FEMA Administrator.
SHSP Guidance
The SHSP is a core assistance program that provides funds to build capabilities at the
State, local, tribal, and territorial levels, to enhance our national resilience to absorb
disruptions and rapidly recover from incidents both natural and manmade as well as to
implement the goals and objectives included in State homeland security strategies and
initiatives in their State Preparedness Report (SPR).
Activities implemented under SHSP must support terrorism preparedness by building or
enhancing capabilities that relate to the prevention of, protection from, mitigation of,
response to, and recovery from terrorism in order to be considered eligible. However,
many capabilities which support terrorism preparedness simultaneously support
preparedness for other hazards. Grantees must demonstrate this dual -use quality for
any activities implemented under this program that are not explicitly focused on
terrorism preparedness.
Governance
Homeland security partners should examine how they integrate preparedness activities
across disciplines, agencies, and levels of government, including State, territorial, local,
and tribal units of government. A cohesive planning framework should be incorporated
that builds and implements homeland security initiatives which leverage DHS resources,
as well as other Federal, State, territory, local, private sector, and tribal resources.
Specific attention should be paid to how all available preparedness funding sources
(multiple Federal sources as well as State and local sources) can be effectively utilized
in a collaborative manner to support the whole community approach to emergency
preparedness and management and to the enhancement of overall capabilities.
The FY 2012 HSGP re-emphasizes the importance of creating or utilizing existing
governing bodies to act on this guidance and coordinate grant resources. Examples
include: State Senior Advisory Committees, Urban Area Working Groups (UAWGs),
Statewide Interoperability Governing Board (SIGB), County Emergency Management
and Fire Departments, Area Maritime Security Committees, Citizen Corps Councils or
their equivalent, and Children's Working Groups. To ensure ongoing coordination
efforts, SAAs are encouraged to share community preparedness information submitted
in the State's BSIR with the State Citizen Corps Program Manager or his/her equivalent.
34
Appendix B — FY 2012 Program Specific Priorities
As a reminder, the membership of the Senior Advisory Committee must, at a minimum,
include the following State officials directly responsible for the administration of FEMA
GPD grants, Centers for Disease Control and Prevention (CDC), Assistant Secretary for
Preparedness and Response (ASPR) cooperative agreements, and Emergency Medical
Services for Children (EMSC) grants: the SAA, ASPR Hospital Preparedness Program
(HPP) Coordinator, and CDC Public Health Emergency Preparedness (PHEP) Program
Director. In addition, program representatives from the following entities should be
members of the committee: State Homeland Security Advisor (if this role is not also the
SAA), State Emergency Management Aaencv Director. State Public Health officer
State Public Safety Officer (and SAA for Justice Assistance Grants, if different), State
Court Official, State EMS Director, State Trauma System Manager, Statewide
Interoperability Coordinator, State Citizen Corps or equivalent Point of Contact (POC),
the State EMSC Coordinator, State Education Department, State Human Services
Department, State Child Welfare Services, State Juvenile Justice Services, Urban Area
POC, United States Coast Guard Area Command or Captain of the Port, Senior
Members of the Regional Transit Security Working Group, Senior Security Officials from
Major Transportation Systems, and the Adjutant General.
UASI Guidance
The UASI program is intended to provide financial assistance to address the unique
multi -discipline planning, organization, equipment, training, and exercise needs of high -
threat, high -density Urban Areas, and to assist these Areas in building and sustaining
capabilities to prevent, protect against, mitigate, respond to, and recover from threats or
acts of terrorism using the Whole Community approach. Activities implemented with
UASI funds must support terrorism preparedness by building or enhancing capabilities
that relate to the prevention of, protection from, mitigation of, response to or recovery
from terrorism in order to be considered eligible. However, many capabilities which
support terrorism preparedness simultaneously support preparedness for other hazards.
Grantees must demonstrate the dual -use quality for any activities implemented that are
not explicitly focused on terrorism preparedness.
Urban Areas must use UASI funds to employ regional approaches to overall
preparedness and are encouraged to adopt regional response structures whenever
appropriate. UASI program implementation and governance must include regional
partners and should have balanced representation among entities with operational
responsibilities for prevention, protection, mitigation, response, and recovery activities
within the region. In some instances Urban Area boundaries cross State borders. States
must ensure that the identified Urban Areas take an inclusive regional approach to the
development and implementation of the FY 2012 UASI program and involve the
contiguous jurisdictions, mutual aid partners, port authorities, rail and transit authorities,
State agencies, Statewide Interoperability Coordinators, Citizen Corps Council(s) or
their equivalent, and campus law enforcement in their program activities.
Grantees must also demonstrate the integration of children and individuals with
disabilities or access and functional needs into activities implemented under this
program.
35
Appendix B — FY 2012 Program Specific Priorities
Composition
Pursuant to provisions of the 9/11 Act, eligible FY 2012 UASI sites were determined
based on an analysis of relative risk of the 100 most populous Metropolitan Statistical
Areas (MSAs), as defined by OMB. MSAs are used by DHS to determine eligibility for
participation in the program. Geographical areas queried do not equate to minimum
mandated membership representation of an Urban Area, nor does this guarantee
funding for geographical areas queried. UAWGs must continue to take a regional
approach to membership but are not required to expand or contract existing Urban Area
participation to conform to MSA c2mpositiomaa-a_result of_ this legislative change.
Detailed information on MSAs is publicly available from the United States Census
Bureau at http./fwww.census.00v/population/www/metroareas/metrodef.html.
Program Requirements
The SAA will be responsible for ensuring compliance with the fiduciary and
programmatic administration requirements of the FY 2012 UASI program.
Identify POCs. The SAA must confirm a specific POC with the designated
Urban Area. The SAA POCs are responsible for identifying and coordinating with
the POC for the UAWG. This information must be provided to FEMA with the
grant application. SAAs must work with existing Urban Areas to ensure that
information for current POCs is on file with FEMA.
Define the Urban Area. The SAA POC, in coordination with the candidate
Urban Areas, must define the Urban Area, as it will apply to the FY 2012 UASI
program. The identified city or combined entity represents the candidate Urban
Area eligible to apply for funding under the FY 2012 UASI program. For those
Urban Areas with a combined entity, that area represents the minimum area that
must be part of the defined Urban Area. The definition of the Urban Area is
limited to jurisdictions contiguous to the geographic area used to determine
eligibility, or those jurisdictions in that area which have established formal mutual
aid agreements. States may request a waiver for this limitation for regions
previously established by Executive Order, law, or compact. For the purposes of
the FY 2012 UASI program, the Washington, D.C. Urban Area will consist of the
National Capital Region (NCR) as set forth in 10 U.S.C. §2674(f)(2). In
coordination with the UAWG, the SAA POC may redefine the geographic
boundaries of an existing Urban Area, as it will apply to the FY 2012 UASI
program. The SAA POC must notify FEMA of this change.
Establish the UAWG. Membership in the UAWG must provide either direct or
indirect representation for all the jurisdictions and response disciplines (including
law enforcement, fire, and emergency management) that comprise the defined
Urban Area. It must also be inclusive of local Citizen Corps Council or their
equivalent and tribal representatives. The UAWG should also ensure the
integration of local emergency management, health, and medical systems into a
coordinated, sustained local capability to respond effectively to a mass casualty
incident. The UAWG should also include officials responsible for the
36
Appendix B - FY 2012 Program Specific Priorities
administration of Center for Disease Control (CDC) and Office of the Assistant
Secretary for Preparedness and Response (ASPR) cooperative agreements.
Finally, it is also recommended that members advocating on behalf of vulnerable
populations including youth, the elderly and individuals with functional needs,
socio-economic factors and cultural diversity, be invited to provide
representation.
The SAA POC must ensure that appropriate representation for the defined Urban
Area is included oer this guidance. FEMA stronalv encourages that wherever
possible, previously established local working groups should be leveraged for
this purpose to ensure that UASI resources are managed in the most efficient
and effective manner possible. The UAWG may also support State efforts to
develop the State Preparedness Report, particularly as it relates to UASI
activities.
An overview of the UAWG structure and a list of members and their associated
jurisdictions must be provided to FEMA along with the grant application. Urban
Areas must notify the SAA of any updates to the UAWG structure or
membership, of which the SAA must thereafter provide notification to FEMA.
Governance. The jurisdictions identified in Appendix A — FY 2012 Program
Specific Allocations represent the candidate Urban Areas eligible to apply for
funding. The UAWG will be responsible for coordinating the development and
implementation of all program initiatives. States and Urban Areas must consider
including counties within which the cities reside, contiguous jurisdictions, MSAs,
operational areas, and mutual aid partners, as appropriate, in the governance
process.
In keeping with sound project management practices, the UAWG must ensure
that its approach to critical issues such as membership, governance structure,
voting rights, grant management and administration responsibilities, and funding
allocation methodologies are formalized in a working group charter or other form
of standard operating procedure related to the UASI governance. The charter
must also outline how decisions made in UAWG meetings will be documented
and shared with UAWG members. The UAWG charter must be on file with
FEMA prior to drawing down FY 2012 UASI funding and must be available to all
UAWG members to promote transparency in decision -making related to the UASI
program.
Urban Area Homeland Security Strategy. Urban Areas must utilize their Urban
Area Homeland Security Strategy as the basis for requesting funds to support
Investments identified in their UASI IJ. There must be a clear correlation
between the goals, objectives, and priorities identified in the Urban Area
Homeland Security Strategy and proposed FY 2012 UASI program activities. In
addition, the Urban Area Homeland Security Strategy must also be consistent
with and supportive of the State Homeland Security Strategy. All Urban Areas
37
Appendix B — FY 2012 Program Specific Priorities
receiving funding in FY 2012 must have an approved Urban Area Homeland
Security Strategy.
Allocation of Funds
The use and allocation of all grant funds available through the FY 2012 UASI program
must focus on the Investments identified in the Urban Area's IJ and the implementation
of the FEMA-approved Urban Area Homeland Security Strategy. The use of funds must
also be consistent with overall UASI program guidelines, the State Homeland Security
Strategy, PPD-8: National Preparedness, and must develop or sustain one or more core
capabilities in the NPG. Funds used to support whole community and individual
preparedness related efforts, such as engaging non -governmental organizations and
vulnerable populations demonstrating the integration of children and individuals with
disabilities or access and functional needs in all phases of emergency management,
participation of disaster volunteers, such as Community Emergency Response Teams
(CERT)in training, exercises and response and recovery operations, and educating the
public should be coordinated with local CERT programs, Citizen Corps Councils or their
equivalent.
The UAWG, in coordination with the SAA POC, must develop a methodology for
allocating funding available through the UASI program. The UAWG must reach
consensus on all UASI funding allocations. If consensus cannot be reached within the
45-day time period allotted for the State to obligate funds to sub -grantees, the SAA
must make the allocation determination. The SAA must provide written documentation
verifying the consensus of the UAWG, or the failure to achieve otherwise, on the
allocation of funds and submit it to FEMA immediately after the 45-day time period
allotted for the State to obligate funds to sub -grantees.
Any UASI funds retained by the State must be used in direct support of the Urban Area.
States must provide documentation to the UAWG and FEMA upon request
demonstrating how any UASI funds retained by the State are directly supporting the
Urban Area. If the SAA intends to retain any UASI funds, the SAA must prepare an
Investment that demonstrates how the retained funds will be used to directly support the
designated Urban Area in the State. This Investment should be'included in the
designated Urban Area's IJ.
OPSG Guidance
OPSG provides funding to designated localities to enhance cooperation and
coordination between Federal, State, local, tribal, and territorial law enforcement
agencies in a joint mission to secure the United States borders along routes of ingress
from international borders to include travel corridors in States bordering Mexico and
Canada, as well as States and territories with International water borders.
FY 2012 OPSG is intended to support United States border States and territories in
accomplishing the following objectives:
38
Appendix B - FY 2012 Program Specific Priorities
• Increase capability to prevent, protect against, and respond to border security.
issues;
• Encourage local operational objectives and capabilities to enhance National and
State Homeland Security Strategies (such as the Federal Secure Borders
Initiative and United States Customs and Border Protection (CBP)/Border Patrol
(BP) strategies);
• Increase coordination and collaboration among Federal, State, local, tribal, and
territorial law enforcement agencies;
• Continue -the -distinct capability enhancements -required for -border -security -and —
border protection;
• Provide intelligence -based operations through CBP/BP Sector Level experts to.
ensure safety and operational oversight of Federal, State, local, tribal, and
territorial law enforcement agencies participating in OPSG operational activities;
• Support a request to the Governor to activate, deploy, or redeploy specialized
National Guard Units/Packages and/or elements of State law enforcement to
increase or augment specialized/technical law enforcement elements operational
activities; and
• Continue to increase operational, material and technological readiness of State,
local, tribal, and territorial law enforcement agencies.
The FY 2012 OPSG funds must be used to increase operational capabilities of Federal,
State, local, tribal, and territorial law enforcement, promoting a layered, coordinated
approach to law enforcement within United States border States and territories.
Federal, State, Local, Tribal, and Territorial OPSG Integrated Planning Team
(IPT). It is recommended that Federal, State, local, tribal, and territorial partners
establish and maintain an OPSG IPT with representation from all participating
law enforcement agencies, co-chaired by representatives from CBP/BP; the
SAA, and participating law enforcement agencies' OPSG program
representatives.
Coordination Requirements. All operational plans should be crafted in
cooperation and coordination among Federal, State, local, tribal, and territorial
partners. Consideration will be given to applications that are coordinated across
multiple jurisdictions. All applicants must coordinate with the CBP/BP Sector
Headquarters with geographic responsibility for the applicant's location in
developing and submitting an Operations Order with an embedded budget to the
SAX
After awards are announced, prospective grant recipients will re -scope the draft
Operations Order and resubmit as a final Operations Order with an embedded budget,
based on actual dollar amounts to be awarded. Final Operations Orders will be
approved by the appropriate Sector Headquarters and forwarded to Headquarters,
Office of Border Patrol, Washington, D.C., before funding is released.
39
Appendix B — PY 2012 Program Specific Priorities
Grantees may not begin operations, obligate, or expend any funds until the final
Operations Order and embedded budget has been approved by FEMA GPD and
CBP/BP Headquarters and any existing special conditions and/or restrictions are
removed. FY 2012 OPSG activities are expected to maximize HSGP strategic planning
efforts and integration with State, tribal, territory, Urban Area, and local Homeland
Security Strategies.
Coordination Requirements
HSGP, the following coordination requirements will remain in place for FY 2012 for
proposed activities that support mass casualty incident preparedness as well as citizen
preparedness.
Mass Casualty Incident Preparedness. Mass casualty preparedness must be
conducted in collaboration with State/city/local health department who administer
Federal funds from the Department of Health and Human Services for this purpose.
Preparedness efforts should enhance the integration of local emergency management,
health, and medical systems into a coordinated, sustained local capability to respond
effectively to a mass casualty incident. Grantees must also demonstrate how their
investments will increase the effectiveness of emergency preparedness planning and
response for the whole community by integrating and coordinating activities for children
and adults with disabilities and others with access and functional needs. Further,
grantees are strongly encouraged to collaborate with local, regional, and State health
and medical partners, such as Medical Reserve Corps Units and Citizen Corps Councils
or their equivalent, as well as leverage other Federal programs, such as the HHS ASPR
Hospital Preparedness Program and Emergency Systems for Advance Registration of
Volunteer Health Professionals (ESAR-VHP), CDC Cities Readiness Initiative (CRI),
PREP, and Strategic National Stockpile Programs. Grantees are also encouraged to
engage in multi -discipline preparation across first responder community, including
Emergency Medical Services (EMS) for response to catastrophic events and acts of
terrorism.
Citizen Preparedness. Citizen preparedness must be coordinated by an integrated
body of government and nongovernmental representatives. State and local government
recipients of HSGP funds must have a body to serve as their Citizen Corps Council or
their equivalent with membership that includes, but is not limited to: representatives
from emergency management, homeland security, law enforcement, fire service,
emergency medical services/public health or their designee, elected officials, the private
sector (especially privately owned critical infrastructure), private nonprofits,
nongovernmental organizations (including faith -based, community -based, and voluntary
organizations), and advocacy groups for children, seniors, people with disabilities and
others with access and functional needs. Furthermore, citizen preparedness efforts
should include advocates and specialists representing the unique needs of infants and
children and representatives from the disability community.
40
Appendix B — FY 2012 Program Specific Priorities
Appendix C — Funding Guidelines
Grantees must comply with all the requirements in 44 CFR Part §13 and 2 CFR Part
§215.
In general, grantees should consult with their FEMA Headquarters Program Analyst
prior to making any Investment that does not clearly meet the allowable expense criteria
established -by _the _F_OA._Funding_guidelines-established within -this -section -support the
five mission areas —Prevention, Protection, Mitigation, Response, and Recovery —and
associated core capabilities within the NPG.
Management and Administration (SHSP, UASI, and OPSG)
A maximum of up to five percent (5%) of HSGP funds awarded may be retained by the
State, and any funds retained are to be used solely for management and administration
purposes associated with the HSGP award. This includes allowability of M&A for
OPSG. States may pass through a portion of the State. M&A allocation to local sub -
grantees to support local M&A activities. Sub -grantees may also retain a maximum of
up to five percent (5%) of funding passed through by the State solely for management
and administration purposes associated with the HSGP award. For additional
information on M&A, refer to Information Bulletin 365 located at
http.//www.fema. aov/government/aranbbulletins/index.shtm#1.
Allowable Investments made in support of the HSGP priorities as well as other
capability -enhancing projects must fall into the categories of planning, organization,
exercises, training, or equipment.
Planning (SHSP, UASI, and OPSG)
FY 2012 SHSP and UASI funds may be used for a range of emergency preparedness
and management planning activities and that support Performance Objectives such as
THIRA and Planning, by placing an emphasis on updating and maintaining a current
EOP that conforms to the guidelines outlined in CPG 101 v.2 as well as development
and maintenance of a THIRA. Planning must include participation from all stakeholders
in the community who are able to contribute critical perspectives and may have a role in
executing the plan. Planning should be flexible enough to address incidents of varying
types and magnitudes.
Grantees must use the CPG 101: Developing and Maintaining Emergency Operations
Plans in order to develop robust and effective plans. For additional information, please
see http://www.fema.gow/)df/about/divisions/npd/CPG 101 V20df.
Organization (SHSP and UASI Only)
Organizational activities include:
• Program management;
• Development of whole community partnerships;
41
Appendix C - Funding Guidelines
• Structures and mechanisms for information sharing between the public and
private sector;
• Tools, resources and activities that facilitate shared situational awareness
between the public and private sectors;
• Operational Support;
• As identified in priority one utilization of standardized resource management
concepts such as typing, inventorying, organizing, and tracking to facilitate the
dispatch, deployment, and recovery of resources before, during, and after an
• Responding to an increase in the threat level under the National Terrorism
Advisory System (NTAS), or needs in resulting from a National Special Security
Event; and
• Paying salaries and benefits for personnel to serve as qualified intelligence
analysts.
States and Urban Areas must justify proposed expenditures of SHSP or UASI funds to
support organization activities within their IJ submission by using historical data or other
analysis. All States are allowed to utilize up to 50 percent (50%) of their FY 2012 SHSP
funding and all Urban Areas are allowed up to 50 percent (50%) of their FY 2012 UASI
funding for personnel costs. At the request of a recipient of a grant, the Administrator
may grant a waiver of the 50 percent (50%) limitation noted above. Organizational
activities under SHSP and UASI include:
Intelligence analysts. Per the Personnel Reimbursement for Intelligence
Cooperation and Enhancement (PRICE) of Homeland Security Act (Public Law
110-412), SHSP and UASI funds may be used to hire new staff and/or contractor
positions to serve as intelligence analysts to enable information/intelligence
sharing capabilities, as well as support existing intelligence analysts previously
covered by SHSP or UASI funding. In order to be hired as an intelligence
analyst, staff and/or contractor personnel must meet at least one of the following
criteria:
- Successfully complete training to ensure baseline proficiency in
intelligence analysis and production within six months of being hired;
and/or,
- Previously served as an intelligence analyst for a minimum of two years
either in a Federal intelligence agency, the military, or State and/or local
law enforcement intelligence unit
As identified in the Maturation and Enhancement of State and Major Urban Area Fusion
Centers priority, all fusion centers analytic personnel must demonstrate qualifications
that meet or exceed competencies identified in the Common Competencies for State,
Local, and Tribal Intelligence Analysts, which outlines the minimum categories of
training needed for intelligence analysts. These include subject -matter expertise,
analytic methodologies, customer -service ethics, information handling and processing
skills, critical thinking skills, computer literacy, and objectivity and intellectual honesty.
A certificate of completion of such training must be on file with the SAA and must be
42
Appendix C - Funding Guidelines
made available to FEMA Program Analysts upon request. In addition to these training
requirements, fusion centers should also continue to mature their analytic capabilities by
addressing gaps in analytic capability identified during the fusion center's BCA.
Overtime costs. Overtime costs are allowable for personnel to participate in
information, investigative, and intelligence sharing activities specifically related to
homeland security and specifically requested by a Federal agency. Allowable
costs are limited to overtime associated with federally requested participation in
Forces (JTTFs), Area Maritime Security Committees (as required by the Maritime
Transportation Security Act of 2002), DHS Border Enforcement Security Task
Forces, and Integrated Border Enforcement Teams. Grant funding can only be
used in proportion to the Federal man-hour estimate, and only after funding for
these activities from other Federal sources (i.e. FBI JTTF payments to State and
local agencies) has been exhausted. Under no circumstances should DHS grant
funding be used to pay for costs already supported by funding from another
Federal source.
Operational overtime costs. In support of efforts to enhance capabilities for
detecting, deterring, disrupting, and preventing acts of terrorism, operational
overtime costs are allowable for increased security measures at critical
infrastructure sites. FY 2012 SHSP or UASI funds for organizational costs may
be used to support select operational expenses associated with increased
security measures at critical infrastructure sites in the following authorized
categories:
- Backfill and overtime expenses (as defined in this FOA) for staffing State
or Major Urban Area fusion centers;
- Hiring of contracted security for critical infrastructure sites;
- Public safety overtime (as defined in this FOA);
- Title 32 or State Active Duty National Guard deployments to protect critical
infrastructure sites, including all resources that are part of the standard
National Guard deployment package (Note: Consumable costs, such as
fuel expenses, are not allowed except as part of the standard National
Guard deployment package); and
- Increased border security activities in coordination with CBP, as outlined
in Information Bulletin 135.
FY 2012 SHSP funds may only be spent for operational overtime costs upon prior
approval provided in writing by the FEMA Administrator.
Note: States with UASI jurisdictions can use funds retained at the State level to
reimburse eligible operational overtime expenses incurred by the State (per the above
guidance limitations and up to a maximum of 50 percent (50%) of the State share of the
UASI grant). Any UASI funds retained by the State must be used in direct support of
the Urban Area. States must provide documentation to the Urban Area Working Group
43
Appendix C - Funding Guidelines
(UAWG) and FEMA upon request demonstrating how any UASI funds retained by the
State would directly support the Urban Area.
Equipment (SHSP and UASI)
The 21 allowable prevention, protection, mitigation, response, and recovery equipment
categories and equipment standards for FY 2012 HSGP are listed on the web -based
version of the Authorized Equipment List (AEL) on the Responder Knowledge Base
(RKB), at https://www.rkb.us. Unless otherwise stated, equipment must meet all
these funds. In addition, agencies will be responsible for obtaining and maintaining all
necessary certifications and licenses for the requested equipment.
Grantees (including sub -grantees) that are using FY 2012 HSGP funds to support
emergency communications activities should comply with the FY 2012 SAFECOM
Guidance for Emergency Communication Grants, including provisions on technical
standards that ensure and enhance interoperable communications. Emergency
communications activities include the purchase of Interoperable Communications
Equipment and technologies such as voice-over-internet protocol bridging or gateway
devices, or equipment to support the build out of wireless broadband networks in the
700 MHz public safety band under the Federal Communications Commission Waiver
Order. SAFECOM guidance can be found at http://www.safecomprogram.gov.
Grant funds may be used for the procurement of medical countermeasures.
Procurement of medical countermeasures must be conducted in collaboration with
State/city/local health department who administer Federal funds from the Department of
Health and Human Services for this purpose. Procurement must have a sound threat
based justification with an aim to reduce the consequences of mass casualty incidents
during the first crucial hours of a response: Prior to procuring pharmaceuticals,
grantees must have in place an inventory management plan to avoid large periodic
variations in supplies due to coinciding purchase and expiration dates. Grantees are
encouraged to enter into rotational procurement agreements with vendors and
distributors. Purchases of pharmaceuticals must include a budget for the disposal of
expired drugs within the period of performance of the FY 2012 HSGP. The cost of
disposal cannot be carried over to another FEMA grant or grant period.
Training (SHSP and UASI)
States, territories, and Urban Areas may use HSGP funds to develop a homeland
security training program. Allowable training -related costs under HSGP include the
establishment, support, conduct, and attendance of training specifically identified under
the SHSP and UASI programs and/or in conjunction with emergency preparedness
training by other Federal agencies (e.g., HHS, Department of Transportation). Training
conducted using HSGP funds should address a performance gap identified through an
After Action Report/Improvement Plan (AAR/IP) or contribute to building a capability that
will be evaluated through an exercise. Exercises should be used to provide the
opportunity to demonstrate and validate skills learned in training, as well as to identify
training gaps. Any training or training gaps, including those for children and individuals
44
Appendix C - Funding Guidelines
with disabilities or access and functional needs, should be identified in the AAR/IP and
addressed in the State or Urban Area training cycle. All training and exercises
conducted with HSGP funds should support the development and testing of the
jurisdiction's EOP or specific annexes, and validation of completed corrective actions
from previous exercises or real world events, where applicable.
Exercises (SHSP and UASI)
Exercises conducted with FEMA support should be managed and executed in
accordance with the Homeland Security Exercise and Evaluation Progrsarn(HSEEP),
HSEEP Guidance for exercise design, development, conduct, evaluation, and
improvement planning is located at https:Ilhseep.dhs..qov.
All exercises using HSGP funding must be NIMS compliant. More information is
available online at the National Integration Center at
http://www. fema. gov/emergencylnims/index. shtm.
All States and Urban Areas are required to conduct a Training and Exercise Planning
Workshop (TEPW) and develop a Multi -Year Training and Exercise Plan (TEP) on an
annual basis. Such plans should take into consideration anticipated training and
exercise needs of the respective jurisdiction for at least the immediate year, with
exercises being targeted to provide responders the opportunity to utilize training
received. Such plan should also include a training and exercise schedule and States'
and Urban Areas' priority capabilities to focus the allocation of exercise resources. This
Plan is to be submitted to the State's respective Exercise Program point of contact. The
State Exercise Program point of contact should submit a copy of the Plan to
hseepc@-dhs.aov. All scheduled training and exercises included in the Plan should be
entered in the HSEEP National Exercise Schedule (NEXS) System, located in the
HSEEP Toolkit on the HSEEP website. A TEPW user guide and a template of the
Multi -Year Training and Exercise Plan can be found on the HSEEP website at
https.//hseep.dhs.gov. States and Urban Areas are also encouraged to participate in
their respective FEMA Regional Training and Exercise Workshop (conducted annually)
and coordinate/integrate State and Urban Area exercise initiatives accordingly. Where
applicable, the Training and Exercise Plans should include training and exercises that
support specialized programs, such as the Regional Catastrophic Preparedness Grant
Program.
Grantees must develop AAR/IPs following the completion of exercises funded under this
program; the use of HSEEP is strongly encouraged. AAR/IPs are to be submitted to
hseepCeadhs.gov. Please ensure the documents are encrypted (password -protected)
and the password is also sent to hseepedhs.aov via a separate email.
Maintenance and Sustainment (SHSP, UASI, and OPSG)
The use of FEMA preparedness grant funds for maintenance contracts, warranties,
repair or replacement costs, upgrades, and user fees are allowable under all active and
future grant awards, unless otherwise noted.
45
Appendix C — Funding Guidelines
FY 2012 grant funds are intended to support the NPG by funding projects that build and
sustain the core capabilities necessary to prevent, protect against, mitigate the effects
of, respond to, and recover from those threats that pose the greatest risk to the security
of the Nation. In order to provide grantees the ability to meet this objective the policy
set forth in GPD's Information Bulletin 336 (Maintenance and Sustainment) has been
expanded to allow for the support of equipment that has previously been purchased with
both Federal grant and non -Federal grant funding. Grantees need to ensure that
eligible costs for maintenance and sustainment be an allowable expenditure under
applicable grant programs and support one of the core capabilities in the five mission
areas
and be deployable through EMAC, where applicable.
Law Enforcement Terrorism Prevention Allowable Costs (SHSP and UASI Only)
The following activities are eligible for use of LETPA focused funds:
• Maturation and enhancement of recognized State and major Urban Area fusion
centers, including information sharing and analysis, target hardening, threat
recognition, and terrorist interdiction, and training/ hiring of intelligence analysts;
• Implementation and maintenance of the Nationwide SAR Initiative (NSI),
including training for front line personnel on identifying and reporting suspicious
activities;
• Implementation. of the "if You See Something, Say SomethingTm" campaign to
raise public awareness of indicators of terrorism and violent crime and
associated efforts to increase the sharing of information with public and private
sector partners, including nonprofit organizations;
• Training for countering violent extremism; development, implementation, and/or
expansion of programs to engage communities that may be targeted by violent
extremist radicalization; and the development and implementation of projects to
partner with local communities to prevent radicalization to violence, in
accordance with the Strategic Implementation Plan (SIP) to the National Strategy
on Empowering Local Partners to Prevent Violent Extremism in the United
States; and
Increase physical security, via law enforcement personnel and other protective
measures by implementing preventive'and protective measures related to at -risk
nonprofit organizations.
For additional information, refer to the Building Law Enforcement Terrorism Prevention
Capabilities priority within Appendix B - FY 2012 HSGP Program Specific Priorities.
Critical Emergency Supplies (SHSP and UASI Only)
In furtherance of DHS's mission, critical emergency supplies, such as shelf stable food
products, water, and basic medical supplies are an allowable expense under SHSP and
UASI. Prior to allocating grant funding for stockpiling purposes, each State must have
FEMA's approval of a viable inventory management plan, an effective distribution
strategy, sustainment costs for such an effort, and logistics expertise to avoid situations
where funds are wasted because supplies are rendered ineffective due to lack of
planning.
46
Appendix C — Funding Guidelines
The inventory management plan and distribution strategy, to include sustainment costs,
will be developed and monitored by FEMA GPD with the assistance of the FEMA
Logistics Management Directorate (LIVID). GPD will coordinate with LIVID and the
respective FEMA Region to provide program oversight and technical assistance as it
relates to the purchase of critical emergency supplies under UASI. GPD and LIVID will
establish guidelines and requirements for the purchase of these supplies under UASI
and monitor development and status of the State's inventory management plan and
distribution strategy.
The States (through their Emergency Management Office) are strongly encouraged to
consult with their respective FEMA Regional Logistics Chief regarding disaster logistics -
related issues. The States are further encouraged to share their FEMA approved plans.
with local jurisdictions and tribes to meet minimum inventory management plan
requirements when using FEMA grant funds.
Construction and Renovation (SHSP and UASI Only)
Project construction using SHSP and UASI funds may not exceed the greater of
$1,000,000 or 15% of the grant award. For the purposes of the limitations on funding
levels, communications towers are not considered construction.
Written approval must be provided by FEMA prior to the use of any HSGP funds for
construction or renovation. When applying for construction funds, including
communications towers, at the time of application, grantees are highly encouraged to
submit evidence of approved zoning ordinances, architectural plans, any other locally
required planning permits and documents, and to have completed as many steps as
possible for a successful EHP review in support of their proposal for funding (e.g.,
completing the FCC's Section 106 review process for tower construction projects;
coordination with their State Historic Preservation Office to identify potential historic
preservation issues and to discuss the potential for project effects). Projects for which
the grantee believes an Environmental Assessment (EA) may be needed, as defined in
44 CFR 10.8 and 10.9, must also be identified to the FEMA Program Analyst within six
(6) months of the award and completed EHP review packets must be submitted no later
than 12 months before the end of the Period of Performance. EHP review packets
should be sent to gpdehoinfo(&fema.gov.
FEMA is legally required to consider the potential impacts of all HSGP projects on
environmental resources and historic properties. Grantees must comply with all
applicable environmental planning and historic preservation (EHP) laws, regulations,
and Executive Orders (EOs) in order to draw down their FY 2012 HSGP grant funds. To
avoid unnecessary delays in starting a project, grantees are encouraged to pay close
attention to the reporting requirements for an EHP review. For more information on
FEMA's EHP requirements, SAAs should refer to Information Bulletins 329 and 345
(http://www. fema.go v/governmenVgrant/bulletins/index. shtm).
FY 2012 HSGP Program grantees using funds for construction projects must comply
with the Davis -Bacon Act (40 U.S.C. 3141 et seq.). Grant recipients must ensure that
47
Appendix C - Funding Guidelines
their contractors or subcontractors for construction projects pay workers employed
directly at the work -site no less than the prevailing wages and fringe benefits paid on
projects of a similar character. Additional information, including Department of Labor
wage determinations, is available from the following website:
http✓/www.dol.gov/compliance/laws/comp-dbra htm.
OPSG funds may not be used for any type of construction.
Personnel hiring, overtime, and backfill expenses are permitted under this grant in order
to perform allowable FY 2012 HSGP planning, training, exercise, and equipment
activities. A personnel cost cap of up to 50 percent (50%) of total SHSP and UASI
program funds may be used for personnel and personnel -related activities as directed
by the Personnel Reimbursement for Intelligence Cooperation and Enhancement
(PRICE) of Homeland Security Act (Public Law 110-412). Grantees who wish to seek a
waiver from the personnel cost cap must provide documentation explaining why the cap
should be waived; waiver requests will be considered only under extreme
circumstances. In general, the use of SHSP and UASI funding to pay for staff and/or
contractor regular time or overtime/backfill is considered a personnel cost.
For further details, SAAs should refer to Information Bulletin 358 or contact their FEMA
Headquarters Program Analyst.
FY 2012 HSGP funds may not be used to support the hiring of any personnel for the
purposes of fulfilling traditional public health and safety duties or to supplant traditional
public health and safety positions and responsibilities.
Definitions for hiring, overtime, backfill-related overtime, and supplanting remain
unchanged from FY 2011 HSGP.
Operational Packages (SHSP and UASI)
Applicants may elect to pursue operational package (OPack) funding, such as Canine
Teams, Mobile Explosive Screening Teams, and Anti Terrorism Teams, for new
capabilities as well as sustain existing OPacks. Applicants must commit to minimum
training standards to be set by the Department for all federally funded security positions.
Applicants must also ensure that the capabilities are able to be deployable, through
EMAC, outside of their community to support regional and national efforts. When
requesting OPacks-related projects, applicants must demonstrate the need for
developing a new capability at the expense of sustaining existing core capability.
Applicants are reminded that personnel -related activities associated with OPacks will be
subject to the PRICE Act requirements in which all States are allowed to utilize up to 50
percent (50%) of their FY 2012 SHSP funding and all Urban Areas are allowed up to 50
percent (50%) of their FY 2012 UASI funding for personnel costs.
48
Appendix C - Funding Guidelines
Western Hemispheric Travel Initiative (SHSP)
In addition to the expenditures outlined above, SHSP funds may be used to support the
implementation activities associated with the Western Hemisphere Travel Initiative
(WHTI), including the issuance of WHTI-compliant tribal identification cards. More
information on the WHTI may be found at
http://www.dhs.gov/fileslprograms/gc 1200693579776.shtm or
http.//www.getyouhome.gov/html/eng map.html.
Other Secure Identification Initiatives_(SHSP) _
SHSP funds may also be used to support the Department's additional efforts to
enhance secure identification. Activities that facilitate secure identification, including IT
enhancements for identification management and verification systems are a priority.
DHS is currently developing and implementing a number of screening programs in
which secure identification credentials figure prominently. These include the
Transportation Worker Identification Credential (TWIC) program which promotes
tamper -resistant biometric credentials for workers who require unescorted access to
secure areas of ports, vessels, outer continental shelf facilities, and all credentialed
merchant mariners; and the credentialing of first responders which entails enhancing
real-time electronic authentication of identity and attribute(s) (qualification, certification,
authorization, and/or privilege) of emergency response/critical government personnel
responding to terrorist attacks or other catastrophic events.
States are encouraged to continue implementing activities previously funded through
DLSGP that focus on securing driver's license and identification card issuance
processes. Initiatives related to securing identification should:
• Have the greatest impact upon reducing the issuance and use of fraudulent
driver's license and identification cards;
• Reduce the cost of program implementation for individuals, States, and the
Federal government;
• Expedite State progress toward meeting minimum security standards; and
• Plan and expedite State -specific activities to support Federal data and document
verification requirements and standards.
Operations (OPSG)
The intent of OPSG is to focus on operational aspects of enhancing coordination
between Federal, State, local, tribal, and territorial law enforcement agencies to
increase the security of the United States Borders. While equipment is an allowable
expense, the FY 2012 OPSG is not intended to be an equipment -centric grant.
Operational Overtime. Operational overtime costs associated with law
enforcement activities, in support of border law enforcement agencies for
increased border security enhancement. Per the PRICE of Homeland Security
Act (Public Law 110-412), all grantees are allowed to utilize up to 50 percent
(50%) of their FY 2012 OPSG funding for personnel related costs, which include
overtime activities. At the request of a grant recipient, the FEMA Administrator
49
Appendix C — Funding Guidelines
may waive the 50 percent (50%) personnel cap. Waiver decisions are at the
discretion of the FEMA Administrator and will be considered on a case -by -case
basis. A formal FY 2012 OPSG personnel waiver request should:
- Be requested on official letterhead, include a written justification, and be
signed by the authorized representative of the SAA;
- Include a budget and method of calculation of personnel costs both in
percentage of the grant award and in total dollar amount. To avoid
supplanting issues, the request must also include a three-year staffing
histoM_for-the requesting_ entity;
- Include an approved Operations Order from the CBP/BP Sector office
which supports the SAA's written justification;
- Be coordinated with the CBP Sector and Office of the Border Patrol; and
- Be forwarded electronically by the SAA to FEMA GPD Program Analyst.
• Part Time Personnel. FY 2012 OPSG funds may be used to pay additional
current part time law enforcement personnel salaries in order to bring them to
temporary full time status.
• Travel, Per Diem, and Lodging. Travel and per diem include costs associated
with the deployment/redeployment of personnel to border areas and for travel
associated with law enforcement entities assisting other local jurisdictions in law
enforcement activities. In addition, costs to support up to six (6) month
deployment of law enforcement personnel to critical Southwest Border locations
to. support operational activities (travel costs must be in accordance with
applicable travel regulations).
• Vehicle and Equipment Rentals
• Vehicle/Equipment Maintenance
• Fuel Cost and/or Mileage Reimbursement. There is no cap for reimbursement of
operational activities.
• Activate Reserve State, local, tribal, and territorial law enforcement personnel.
Supporting a request to the Governor to activate, deploy, or redeploy specialized
National Guard Units/Package and/or elements of State law enforcement to
increase or augment specialized/technical law enforcement elements operational
activities.
• Backfill. Costs associated with backfill for personnel supporting operational
activities.
• Law Enforcement Readiness. Use of FY 2012 OPSG funds may be used to
increase operational, material, and technological readiness of State, local, tribal,
and territorial law enforcement agencies.
Unallowable Costs (OPSG)
OPSG unallowable costs include costs associated with staffing and general IT
computing equipment and hardware, such as personal computers, faxes, copy
machines, modems, etc. The FY 2012 OPSG is not intended as a hiring program.
Therefore, applying funds toward hiring full-time or permanent sworn public safety
officers is unallowable. FY 2012 OPSG funding shall not be used to supplant inherent
routine patrols and law enforcement operations or activities not directly related to
providing enhanced coordination between local and Federal law enforcement agencies.
50
Appendix C - Funding Guidelines
Finally, construction and/or. renovation costs are prohibited under OPSG. Applicants
should refer to Information Bulletin 358
(htto://www.fema.00v/government grantlbulletins/index.shtm) or contact their FEMA
Headquarters Program Analyst at (800) 368-6498 for guidance and clarification.
Examples of Allowable Activities for SHSP and UASI
Planning Activities
Examples of planning activities include:
Developing hazard/threat-specific annexes that incorporate the range of
prevention, protection, mitigation, response, and recovery activities
Developing and implementing homeland security support programs and adopting
DHS national initiatives including but not limited to the following:
- Implementing the NPG and the Whole Community Approach to Security
and Emergency Management
- Pre -event recovery planning
Implementing the National Infrastructure Protection Plan (NIPP) and
associated Sector Specific Plans
- Enhancing and implementing Statewide Communication Interoperable
Plan (SCIP) and Tactical Interoperable Communications Plans (TICP) that
align with the goals, objectives, and initiatives of the National Emergency
Communications Plan (NECP)
- Costs associated with the adoption, implementation, and adherence to
NIMS compliance requirements, including implementing the NIMS
National Credentialing Framework
- Modifying existing incident management and EOPs to ensure proper
alignment with the National Response Framework (NRF) coordinating
structures, processes, and protocols
- Establishing or enhancing mutual aid agreements
- Developing communications and interoperability protocols and solutions
- Conducting local, regional, and tribal program implementation meetings
- Developing or updating resource inventory assets in accordance to typed
resource definitions issued by the NIC
- Designing State and local geospatial data systems
- Developing and conducting public education and outreach campaigns,
including promoting individual, family, and organizational emergency
preparedness; alerts and warnings education; promoting training,
exercise, and volunteer opportunities; informing the public about
emergency plans, evacuation routes, shelter locations; and evacuation
plans as well as CBRNE prevention awareness
- Designing programs to address targeting at -risk populations and engaging
them in emergency management planning efforts
Activities, materials, services, tools and equipment to achieve planning,
protection, mitigation, response and recovery that is inclusive of people
with disabilities (physical, programmatic and communications access for
51
Appendix C - Funding Guidelines
people with physical, sensory, mental health, intellectual and cognitive
disabilities)
- Preparing materials for State Preparedness Reports (SPRs)
- WHTI implementation activities including the issuance of WHTI-compliant
tribal identification cards
Developing related terrorism prevention activities including:
- Developing THIRA that reflects a representative make up and composition
of the jurisdiction
- Developing -initiatives _ that_ directly_ support local -efforts -to -understand,
recognize, prepare for, prevent, mitigate, and respond to pre -operational
activity and other crimes that are precursors or indicators of terrorist
activity, in accordance with civil rights/civil liberties protections
- Developing law enforcement prevention activities, to include establishing
and/or enhancing a fusion center
- Hiring an IT specialist to plan, develop, and implement the IT applications
necessary for a fusion center
- Developing and planning for information/intelligence sharing groups
- Integrating and coordinating the fire service, emergency management,
public health care, public safety, and health security data -gathering
(threats to human and animal health) within State and Major Urban Area
fusion centers to achieve early warning, monitoring, and mitigation of
threats
- Integrating and coordinating private sector participation with fusion center
activities
- Developing and implementing preventive radiological/nuclear detection
activities
- Acquiring systems allowing connectivity to State, local, tribal, territorial,
and Federal data networks, such as the National Crime Information Center
(NCIC) and Integrated Automated Fingerprint Identification System
(IAFIS), as appropriate
- Planning to enhance security during heightened alerts, terrorist incidents,
and/or during mitigation and recovery
- Multi -discipline preparation across first responder community, including
EMS for response to catastrophic events and acts of terrorism
- Accessible public information/education: printed and electronic materials,
public service announcements, seminars/town hall meetings, and web
postings coordinated through local Citizen Corps Councils or their
equivalent
- Volunteer programs and other activities to strengthen citizen participation
- Conducting public education campaigns including promoting suspicious
activity reporting and preparedness; individual, family, and organizational
emergency preparedness; promoting the Ready campaign; and/or
creating State, regional, or local emergency preparedness efforts that
build upon the Ready campaign
- Evaluating Critical Infrastructure Protection (CIP) security equipment
and/or personnel requirements to protect and secure sites
52
Appendix C - Funding Guidelines
- CIP cost assessments, including resources (e.g., financial, personnel)
required for security enhancements/deployments
- Multi -Jurisdiction Bombing Prevention Plans (MJBPP)
- Underwater Terrorist Protection Plans
• Developing and enhancing plans and protocols, including but not limited to:
- Community -based planning to advance "whole community" security and
emergency management
- Incorporating government/non-governmental collaboration, citizen
preparedness,_ and volunteer _participation -into _State _and -local _government
homeland security strategies, policies, guidance, plans, and evaluations
- Developing, enhancing, maintaining a current EOP that conforms to the
guidelines outlined in the CPG 101 v.2
- Developing or enhancing local, regional, or Statewide strategic or tactical
interoperable emergency communications plans
- Activities associated with a conversion from wideband to narrowband
voice channels to support interoperability
- Implementing SCIP and TICPs that align with the goals, objectives, and
initiatives of the NECP
- Developing protocols or standard operating procedures for specialized
teams to incorporate the use of equipment acquired through this grant
program
- Developing terrorism prevention/protection plans
- Developing plans, procedures, and requirements for the management of
infrastructure and resources related to HSGP and implementation of State
or Urban Area Homeland Security Strategies
- Developing plans for mass evacuation and pre -positioning equipment
- Developing or enhancing plans for responding to mass casualty incidents
caused by any hazards
- Developing or enhancing applicable procedures and operational guides to
implement the response actions within the local plan including patient
tracking that addresses identifying and tracking children, access and
functional needs population, and the elderly and keeping families intact
where possible
- Developing or enhancing border security plans
- Developing or enhancing cyber security and risk mitigation plans
- Developing or enhancing secondary health screening protocols at major
points of entry (e.g., air, rail, port)
- Developing or enhancing agriculture/food security risk mitigation,
response, and recovery plans
- Developing public/private sector partnership emergency response,
assessment, and resource sharing plans
Developing or enhancing plans to engage and interface with, and to
increase.the capacity of, private sector/non-governmental entities working
to meet the human service response and recovery needs of survivors
- Developing or updating local or regional communications plans
53
Appendix C - Funding Guidelines
- Developing plans to support.and assist jurisdictions, such as port
authorities and rail and mass transit agencies
- Developing or enhancing continuity of operations and continuity of
government plans
- Developing or enhancing existing catastrophic incident response and
recovery, plans to include and integrate Federal assets provided under the
NRF
- Developing plans and response procedures for adjudicating, validating
and responding to an alarm from chemical Qt-biological_detector
(response procedures should include emergency response procedures
integrating local first responders)
- Developing or enhancing evacuation plans
- Developing mechanisms for utilizing the National Emergency Family
Registry and Locator System (NEFRLS)
- Developing or enhancing plans to prepare for surge capacity of volunteers
- Developing or enhancing the State emergency medical services systems
- Developing or enhancing plans for donations and volunteer management
and the engagement/integration of private sector/non-governmental
entities in preparedness, mitigation, response, and recovery activities
- Developing or enhancing Bombing Prevention Plans
- Developing school preparedness plans
- Developing preparedness plans for child congregate care facilities,
including group residential facilities, juvenile detention facilities, and
public/private child care facilities
- Developing plans to educate youth on disaster preparedness
- Ensuring jurisdiction EOPs adequately address warnings, emergency
public information, evacuation, sheltering, mass care, resource
management from non -governmental sources, unaffiliated volunteer and
donations management, and volunteer resource integration to support
each Emergency Support Function, to include appropriate considerations
for integrating activities, materials, services, tools and equipment to
achieve planning inclusive of people with disabilities (physical,
programmatic and communications access for people with physical,
sensory, mental health, intellectual and cognitive disabilities). Developing
and implementing civil rights, civil liberties, and privacy policies,
procedures, and protocols
- Designing and developing State, local, tribal, and territorial geospatial data
systems
- Developing and implementing statewide electronic patient care reporting
systems compliant with the National Emergency Medical Services
Information System (NEMSIS)
- Costs associated with inclusive practices and the provision of reasonable
accommodations and modifications to provide full access for children and
adults with disabilities
• Developing or conducting assessments, including but not limited to:
- Developing pre -event recovery plans
54
Appendix C - Funding Guidelines
- Conducting point vulnerability assessments at critical infrastructure
sites/key assets and develop remediation/security plans
- Conducting or updating interoperable emergency communications
capabilities assessments at the local, regional, or Statewide level
- Developing border security operations plans in coordination with CBP
- Developing, implementing, and reviewing Area Maritime Security Plans for
ports, waterways, and coastal areas
- Updating and refining threat matrices
- Conducting cyb_er_risk _and _vulnerability -assessments-
- Conducting assessments and exercising existing catastrophic incident
response and recovery plans and capabilities to identify critical gaps that
cannot be met by existing local, regional, and State resources
- Conducting Bombing Prevention Capability Analysis
- Activities that directly support the identification of specific catastrophic
incident priority response and recovery projected needs across disciplines
(e.g., law enforcement, fire, EMS, public health, behavioral health, public
works, agriculture, information technology, and citizen preparedness)
- Activities that directly support the identification of pre -designated
temporary housing sites
- Activities that support the identification and development of alternate care
sites
- Conducting community assessments, surveys, and research of
vulnerabilities and resource needs to determine how to meet needs and
build effective and tailored strategies for educating individuals conducting
assessments of the extent to which compliance with the integration
mandate of disability laws is being achieved
- Soft target security planning (e.g., public gatherings)
• Identifying resources for medical supplies necessary to support children during
an emergency, including pharmaceuticals and pediatric -sized equipment on
which first responders and medical providers are trained
• Ensuring subject matter experts, durable medical equipment, consumable
medical supplies and other resources required to assist children and adults with
disabilities to maintain health, safety and usual levels of independence in general
population environments
• Developing and implementing a community preparedness strategy for the
State/local jurisdiction
• Establishing, expanding, and maintaining volunteer programs and volunteer
recruitment efforts that support disaster preparedness and/or response
Citizen support for emergency responders is critical through year-round
volunteer programs and as surge capacity in disaster response, including
but not limited to: Citizen Corps Affiliate Programs and Organizations,
Community Emergency Response Teams (CERT), Fire Corps, Medical
Reserve Corps (MRC), Neighborhood Watch/USAonWatch, Volunteers in
Police Service (VIPS), and jurisdiction specific volunteer efforts
• Establishing and sustaining Citizen Corps Councils or their equivalent
55
Appendix C - Funding Guidelines
Working with youth -serving organizations to develop and sustain a youth
preparedness program
Organization Activities
The following organization activities in support of public -private partnerships are
allowable expenses.
• Program management:
- Salary for-a_dedicated liaison -who -acts -as -the -primary- point_ of- contact,
coordinates the public -private partnership and ensures proper
implementation of the strategic plan
- Facilities, including meeting space and work space for private sector
liaisons. Grantees are encouraged to use free space/locations/facilities,
whenever possible, prior to the rental of space/locations/facilities
- Supplies needed to support regular communications
• Utilization of standardized resource management concepts such as typing,
inventorying, organizing, and tracking to facilitate the dispatch, deployment, and
recovery of resources before, during, and after an incident
• Sustain partnership efforts to include:
- Support for in -person meetings, events, and conferences that bring the
public and private sectors together. Grantees are encouraged to use free
space/locations/facilities, whenever possible, prior to the rental of
space/locations/facilities
- Web -based and social media tactics (webinars, emails, newsletters, alerts,
databases, online collaboration tools, website development and
maintenance, etc)
- .Innovative approaches for reaching the Whole Community to include
translated material for individuals that are blind and or have low vision
capability. and those with English as a second language and coalitions
among citizens.
- Leverage already existing structures and mechanisms, such as Citizen
Corps, for sharing information and engaging members of the Whole
Community to include: for -profit and not -for -profit entities, faith based and
community organizations, youth -serving and youth advocates, those that
support socio-economic and diverse cultures
• Structures and mechanisms for information sharing between the public and
private sector:
- Tools, software, programs, and other mechanisms that support two-way
information sharing during normal and emergency operations
- Means to receive input or feedback from the private sector, and
encourage participation from civic leaders from all sectors
- Regular and timely communications on subjects relating to all phases of
emergency management, such as newsletters, emails, and alerts
• Tools, resources and activities that facilitate shared situational awareness
between the public and private sectors
56
Appendix C - Funding Guidelines
- Web -based and new media platforms that allow real-time information
exchange
- Asset mapping, such as participation in FEMA's Total Asset Visibility and
LogViz initiatives
- A seat(s) in the emergency operation center, or virtual EOC
• Operational Support:
- Tools for identifying and tracking available paid and unpaid disaster
response resources
- Dedicated _space _and _equipment _for _private _ sector_representation_within_a-
State, county, or city emergency operation center
- A dedicated business emergency operations center that works with the
State, county or city EOC (not construction)
- Tools for real time information sharing between the public and private
sector
- Licensing, screening, or other requirements for access to real EOC or
virtual EOC
Training Information
Training Information Reporting System ("Web -Forms"). Web -Forms is an electronic
form/data management system built to assist the SAA and its designated State/territory
Training Point of Contact (TPOC) with the reporting of State and Federal sponsored
training supported by HSGP funds. Web -Forms can be accessed through the FEMA
Toolkit located at http://www.firstresaondertraininp.pov/admin.
FEMA resources include a number of different training sources:
FEMA Provided Training. These programs or courses are developed for and
delivered by institutions and organizations funded by FEMA. This includes the
Center for Domestic Preparedness (CDP), the Emergency Management Institute
(EMI) and the National Training and Education Division (NTED) training partner
programs including, the Competitive and Continuing Training Grant programs,
the National Domestic Preparedness Consortium (NDPC) and the Rural
Domestic Preparedness Consortium (RDPC).
Training Not Provided by FEMA. These courses are either State sponsored or
Federal sponsored, coordinated and approved by the SAA or their designated
TPOC, and fall within the FEMA mission scope to prepare State, local, tribal, and
territorial personnel to prevent, protect against, mitigate, respond to, and recover
from acts of terrorism or catastrophic events.
State Sponsored Courses. These courses are developed for and/or delivered by
institutions or organizations other than Federal entities or FEMA and are
sponsored by the SAA or their designated TPOC.
Approved State Sponsored Course Catalog. This catalog lists State/territory
sponsored courses that fall within the FEMA mission scope and have been
approved through the FEMA course review and approval process. An updated
version of this catalog can be accessed at http://www.firstrespondertraininp.gov.
57
Appendix C - Funding Guidelines
• Federal Sponsored Courses. This catalog lists courses developed for and/or
delivered by institutions funded by Federal entities other than FEMA. These
courses are listed at http://www.firstrespondertraining.gov.
• Approved Federal Sponsored Course Catalog. This catalog lists Federal -
sponsored courses that fall within the FEMA mission scope, and have been
approved through the FEMA course review and approval process. An updated
version of this catalog can be accessed at http://www.firstrespondertraining.gov.
• Additionally the new National Preparedness Directorate (NPD) Online Course
Ctalog_(_OCL)_allows _access to_courses _delivered -by _the _ CDP_,_EMI,_and_N_T_ED._
It can be accessed at hftp://training.fema.govlocc%
• Joint Training and Exercises with the Public and Private Sectors. These courses
are sponsored and coordinated by private sector entities to enhance public -
private partnerships for training personnel to prevent, protect against, mitigate,
respond to, and recover from acts of terrorism or catastrophic events.
• FEMA Provided Training. FEMA funds the direct delivery of a variety of courses
that States, tribes, and territories can request to meet training needs. These
courses are listed in the NTED approved course catalog listed at
http://training.fema.gov/.
Each FEMA training partner should contact the SAA or designated TPOC for locations
within the State that are appropriate for the training. When the direct delivery funds are
exhausted, the training partner can continue to offer the classes to the States through
one of two methods —the Voluntary Training Enhancement Program (VTEP) or the
Excess Delivery Acquisition Program (EDAP).
VTEP is a voluntary program designed to increase flexibility for States and territories
while enhancing NTE's training delivery capability and complementing the current
training partner pool. Funding from previous fiscal years may be used to support a
State, territory, or Urban Area's implementation of this program. Through VTEP, the
SAA has the authority to adopt various NTED provided programs for delivery by
institutions within its State and local jurisdictions, and designate institutions as
recognized providers for the identified standardized curriculum.
EDAP allows NTED training partner to charge for a course delivery when the Federal
grant that developed the program is completed or more deliveries of a requested class
are needed than the grant funds can accommodate. The cost per class is approved by
FEMA so that States pay for the cost of instruction only, not the curriculum development
costs that were paid by FEMA training grant funds. HSGP funds can be used to pay for
the delivery of these classes within a State at the request of the SAA/TPOC.
Attending Training Not Provided by FEMA (State or Federal Sponsored Courses).
States, territories, and Urban Areas are not required to request approval from FEMA for
personnel to attend training not provided by FEMA (State or Federal -sponsored
courses) provided that the training is coordinated with and approved by the SAA or
TPOC and falls within the FEMA mission scope and the jurisdiction's EOP and strategy
of preparing State, local, tribal, and territorial personnel or citizens to prevent, protect
against, mitigate, respond to, and recover from acts of terrorism or catastrophic events.
58
Appendix C - Funding Guidelines
States, territories, and Urban Areas are required, within 30 days after attendance, to
submit information through the SAA or TPOC via Web -Forms on all training not
provided by FEMA, but supported with HSGP funds. This information will consist of
course title, course description, mission area, level of training, the training provider, the
date of the course, the number and associated disciplines of the individuals, and the
sponsoring jurisdiction. States, territories, and Urban Areas intending to use FEMA
funds to support attendance at training not provided by FEMA must ensure these
• Fall within the FEMA mission scope to prepare State, local, tribal, and territorial
personnel to prevent, protect against, mitigate, respond to, and recover from acts
of terrorism and catastrophic events;
• Build additional capabilities that: (a) support a specific training need identified by
the State, territory, and Urban Area, and (b) comport with the State, territory, or
Urban Area Homeland Security Strategy;
• Address specific tasks and/or competencies articulated in FEMA's Emergency
Responder Guidelines and the Homeland Security Guidelines for Prevention and
Deterrence,
• Address specific capabilities and related tasks articulated in PPD-8; and
• Support the specific program training activities identified in the individual HSGP
grant programs (SHSP, UASI, and OPSG) for which the funding will be used.
FEMA will conduct periodic reviews of all State, territory, and Urban Area training
funded by FEMA. These reviews may include requests for all course materials and
physical observation of, or participation in, the funded training. If these reviews
determine that courses are outside the scope of this guidance, grantees will be asked to
repay grant funds expended in support of those efforts.
State and Federal -Sponsored Course Catalogs. Courses approved through NTED
will be added to either the approved State Sponsored Course Catalog or the Federal
Sponsored Course Catalog. Courses identified within these catalogs may be attended
on an unlimited basis within any State/territory as long as the training is coordinated and
approved by the SAA/TPOC. A full description of the NTED Course Development,
Review, and Approval Process, as well as the approved course catalogs, can be found
at http://www.firstresoondertraining.gov/odp webforms. NTED will respond to the initial
request for review within 15 days with one of the following outcomes:
Course concept is approved as consistent with the State plan and the State
should submit the full course package for subject matter expert review and
comment or
• Course concept is disapproved as inconsistent with State plan, FEMA guidance,
or is exactly the same as another course in the catalog (no need for another
approval, refer to the curriculum already developed and approved).
59
Appendix C — Funding Guidelines
At any time, the SAA/TPOC (for State -sponsored courses) or the Federal Agency POC
(for Federal sponsored courses) may request the addition of a course to the
corresponding approved catalog by submitting the associated Web -Form (i.e., Request
for Addition to the Approved State -Sponsored Catalog) for review. If a class on the
same subject is already in the catalog, the submitting State should provide
documentation as to why the course is unique, after contacting the owner(s) of the other
courses to review the curriculum. This step is required to avoid unnecessary duplication
of similar courses in the catalog, allow States to share course development costs,
permit all _States _ to have access_ to new -or -unique -courses developed -by -other -- - - -
providers, and allow States to direct their training dollars to delivery rather than
development. If it is determined that the proposed course meets the above listed
criteria, the providing entity (SAA/TPOC or Federal Agency POC) will be invited to
submit the Course Review and Approval Request Form along with all supporting
training materials.
For further information on developing courses using the instructional design
methodology and tools that can facilitate the process, SAAs and TPOCs are
encouraged to review the NTED Strategy for Blended Learning and access the
Responder Training Development Center (RTDC) available at
http.//www. firstrespondertrainino. oov/rtdc/state/.
FEMA funds must be used to supplement, not supplant, existing funds that have been
appropriated for the same purpose.
States and territories are required to conduct an Improvement Plan Workshop and
Training and Exercise Plan Workshop to identify best practices, capability gaps, key
priorities, and major events over a multi -year time frame and to align training and
exercises in support of those priorities. A Multi -year Training and Exercise Plan will be
produced from the Training and Exercise Plan Workshop to include the State's training
and exercise priorities, associated training and exercise capabilities, and a multi -year
training and exercise schedule. Further guidance concerning the Multi -year Training
and Exercise Plan can be found in the Exercises section.
Joint Training and Exercises with the Public and Private Sectors. Trainings and
exercises designed to enhance private sector and public sector coordination are
allowable. Overtime pay for first responders and emergency managers who participate
in public -private training and exercises is allowable. In addition, States, territories,
tribes, and local units of government are encouraged to incorporate the private sector in
government -sponsored training and exercises.
Training and exercises for the public or civilian volunteer programs supporting first
responders before, during and after disasters should address the needs of the Whole
Community. Allowable training includes: all -hazards safety such as emergency
preparedness, basic first aid, life saving skills, crime prevention and terrorism
awareness, school preparedness, youth preparedness, public health issues,
mitigation/property damage prevention, safety in the home, light search and rescue
skills, principles of NIMS/ICS, volunteer management, serving and integrating people
60
Appendix C - Funding Guidelines
with disabilities, pet care preparedness, training necessary to participate in volunteer
activities, fulfill surge capacity roles, or promotes individual, family, or whole community
safety and preparedness. Exercises that include members of the public or that are
conducted for the public should be coordinated with organizations outside of emergency
management and focus on the importance of personal preparedness and protective
actions.
Allowable Training Costs
Allowable training-related_Eostslaclude,_but are not -limited to, the following: —
Developing, Delivering, and Evaluating Training. Includes costs related to
administering the training, planning, scheduling, facilities, materials and supplies,
reproduction of materials, disability accommodations, and equipment. Training
should provide the opportunity to demonstrate and validate skills learned, as well
as to identify any gaps in these skills. Any training gaps, including those for
children and individuals with disabilities or access and functional. needs, should
be identified in the AAR/IP and addressed in the training cycle. Expenditures to
provide necessary non-structural accommodations for persons with disabilities
and other access and functional needs is allowable (e.g., sign language
interpreters, Communication Access Realtime Translation [CART] and other
modifications of policies and practices to fully include participants with
disabilities). Stakeholders are also encouraged to leverage existing training
provided via educational/professional facilities and to incorporate non-traditional
methodologies such as the internet, distance learning, or home study whenever
such delivery supports training objectives. Pilot courses and innovative
approaches to training citizens and instructors are encouraged.
Training that promotes individual, family, or community safety and preparedness
is encouraged, including: all -hazards safety training such as emergency
preparedness, basic first aid, life saving skills, crime prevention and terrorism
awareness, school preparedness, public health issues, mitigation/property
damage prevention, safety in the home, light search and rescue skills, principles
of NIMS/ICS, volunteer management and volunteer activities, serving and
integrating people with disabilities, pet care preparedness, CPR/AED training,
identity theft workshops, terrorism awareness seminars, and disability -inclusive
community preparedness conferences. The delivery of the CERT Basic Training
Course and supplemental training for CERT members who have completed the
basic training, the CERT Train -the -Trainer Course, and the CERT Program
Manager Course are strongly encouraged.
Overtime and Backfill. The entire amount of overtime costs, including payments
related to backfilling personnel, which are the direct result of attendance at FEMA
and/or approved training courses and programs, are allowable. These costs are
allowed only to the extent the payment for such services is in accordance with
the policies of the State or unit(s) of local government and has the approval of
the State or the awarding agency, whichever is applicable. In no case is dual
compensation allowable. That is, an employee of a unit of government may not
receive compensation from their unit or agency of government AND from an
61
Appendix C — Funding Guidelines
award for a single period of time (e.g., 1:00 p.m. to 5:00 p.m.), even though such
work may benefit both activities.
• Travel. Costs (e.g., airfare, mileage, per diem, hotel) are allowable as expenses
by employees who are on travel status for official business related to approved
training.
• Hiring of Full or Part -Time Staff or Contractors/Consultants. Payment of salaries
and fringe benefits to full or part-time staff or contractors/consultants must be in
accordance with the policies of the State or unit(s) of local government and have
the _approval _of_the _ State_ or_award ing_agency, whichever is -applicable. -Such ----
costs must be included within the funding allowed for program management
personnel expenses. In no case is dual compensation allowable.
• Certification/Recertification of Instructors. States are encouraged to follow the
NTE Instructor Quality Assurance Program to ensure a minimum level of
competency and corresponding levels of evaluation of student learning. This is
particularly important for those courses that involve training of trainers. This
information is contained in Information Bulletin 193, issued October 20, 2005.
Additional information can be obtained at
http://www.fema.gov/good quidance/download/10146.
Exercise Requirements
Training and Exercise Plan Workshop. States and Urban Areas are required to conduct
an annual Training and Exercise Plan Workshop (TEPW). A Multi -year Training and
Exercise Plan must be developed from the workshops on an annual basis and
submitted to the State's respective Exercise Program point of contact. The State
Exercise Program point of contact should submit a copy of the State and Urban Area
plans to hseeoC&dhs.aov.
The Training and Exercise Plan will include the State's prioritized capability
requirements and a Multi -Year Training and Exercise Plan (schedule) that supports the
identified capabilities. In addition to submission of the Multi -Year Training and Exercise
Plan to hseeP(a)dhs.00v, all scheduled training and exercises should be entered in the
HSEEP National Exercise Scheduling (NEXS) System, located in the HSEEP Toolkit on
the HSEEP website https://hseel).dhs.gov. A TEPW user guides and a template of the
Multi -Year Training and Exercise Plan. can be found on the HSEEP website
https://hseea. dhs. gov.
States must complete a cycle of exercise activities during the period of this grant.
Exercises conducted by States and Urban Areas may be used to fulfill similar exercise
requirements required by other grant programs. To this end, grantees are encouraged
to invite representatives/planners involved with other federally -mandated or private
exercise activities. States and Urban Areas are encouraged to share, at a minimum, the
multi -year training and exercise schedule with those departments, agencies, and
organizations included in the plan.
• Exercise Scenarios. The scenarios used in HSGP-funded exercises must be
based on the State/Urban Area's Homeland Security Strategy and plans.
62
Appendix C — Funding Guidelines
Acceptable scenarios for SHSP and UASI exercises include: chemical, biological,
radiological, nuclear, explosive, cyber, agricultural and natural or technological
disasters.
The scenarios used in HSGP-funded exercises must focus on validating existing
capabilities, must be large enough in scope and size to exercise multiple
activities and warrant involvement from multiple jurisdictions and disciplines and
non -governmental organizations, and take into account the needs and
requirements for individuals with disabilities. _Exercise scenarios should_ align_ with
objectives and capabilities identified in the Multi -year Training and Exercise Plan.
• Special Event Planning. If a State or Urban Area will be hosting a special event
(e.g., Super Bowl, G-8 Summit), the special event planning should be considered
as a training or exercise activity for the purpose of the Multi -Year Training and
Exercise Plan. The State or Urban Area should plan to use SHSP or UASI
funding to finance training and exercise activities in preparation for those events.
States and Urban Areas should also consider exercises at major venues (e.g.,
arenas, convention centers) that focus on evacuations, communications, and
command and control. States should also anticipate participating in at least one
Regional Exercise annually. States must include all confirmed or planned special
events in the Multi -year Training and Exercise Plan.
• Exercise Evaluation and Improvement. Exercises should evaluate performance
of the objectives and capabilities required to respond to the exercise scenario.
Guidance related to exercise evaluation and improvement planning is defined in
the HSEEP located at https://hseep.dhs.aov.
• Self -Sustaining Exercise Programs. States are expected to develop a self-
sustaining exercise program. A self-sustaining exercise program is one that is
successfully able to implement, maintain, and oversee the Multi -year Training
and Exercise Plan, including the development and delivery of HSGP-funded
exercises. The program must utilize a multi -disciplinary approach to the
development and delivery of exercises, and build upon existing plans, training,
and equipment.
• Role of Non -Governmental Entities in Exercises. Non -governmental
participation in all levels of exercises is strongly encouraged. Leaders from non-
governmental entities should be included in the planning, conduct, and
evaluation of an exercise. State, local, tribal, and territorial jurisdictions are
encouraged to develop exercises that test the integration and use of non-
governmental resources provided by non -governmental entities, defined as the
private sector and private non-profit, faith -based, community, disability, volunteer,
and other non -governmental organizations. Non -governmental participation in
exercises should be coordinated with the local Citizen Corps Council(s) or their
equivalent and other partner agencies. The scenarios used in HSGP-funded
exercises must focus on validating existing capabilities, must comply with and be
large enough in scope and size to exercise multiple activities and warrant
involvement from multiple jurisdictions and disciplines and non -governmental
organizations, and take into account the needs and requirements for individuals
with disabilities.
63
Appendix C — Funding Guidelines
Allowable Exercise Costs
Allowable exercise -related costs include:
• Funds Used to Design, Develop, Conduct, and Evaluate an Exercise. Includes
costs related to planning, meeting space and other meeting costs, facilitation
costs, materials and supplies, travel, and documentation. Grantees are
encouraged to use government or free public space/locations/facilities, whenever
available, prior to the rental of space/locations/facilities. Exercises should
provide_the _opportunity _to_ demonstrate -and -validate-skills-learned, as -well -as -to -
identify any gaps in these skills. Any exercise or exercise gaps, including those
for children and individuals with disabilities or access and functional needs,
should be identified in the AAR/IP and addressed in the exercise cycle.
• Full or part-time staff may be hired to support exercise -related activities. Such
costs must be included within the funding allowed for program management
personnel expenses.
• The applicant's formal written procurement policy or 44 CFR 13.36— whichever is
more stringent — must be followed.
• Overtime and Backfill. The entire amount of overtime costs, including payments
related to backfilling personnel, which are the direct result of time spent on the
design, development, and conduct of exercises are allowable expenses. These
costs are allowed only to the extent the payment for such services is in
accordance with the policies of the State or unit(s) of local government and has
the approval of the State or the awarding agency, whichever is applicable. In no
case is dual compensation allowable. That is, an employee of a unit of
government may not receive compensation from their unit or agency of
government AND from an award for a single period of time (e.g., 1:00 p.m. to
5:00 p.m.), even though such work may benefit both activities.
• Travel. Travel costs are allowable as expenses by employees who are on travel
status for official business related to the planning and conduct of exercise
project(s) or HSEEP programmatic requirements as described in the HSEEP
website (e.g., Improvement Plan Workshops, Training and Exercise Plan).
• Supplies. Supplies are items that are expended or consumed during the course
of the planning and conduct of the exercise project(s) (e.g., gloves, non -sterile
masks, and disposable protective equipment).
• Disability Accommodations. Materials, services, tools and equipment for
exercising inclusive of people with disabilities (physical, programmatic and
communications access for people with physical, sensory, mental health,
intellectual and cognitive disabilities).
• Other Items. These costs include the rental of equipment and other expenses
used specifically for exercises, costs associated with inclusive practices and the
provision of reasonable accommodations and modifications to provide full access
for children and adults with disabilities.
64
Appendix C — Funding Guidelines
Unauthorized Exercise Costs
Unauthorized exercise -related costs include:
Reimbursement for the maintenance and/or wear and tear costs of general use
vehicles (e.g., construction vehicles), medical supplies, and emergency response
apparatus (e.g., fire trucks, ambulances).
Equipment that is purchased for permanent installation and/or use, beyond the
scope of exercise conduct (e.g., electronic messaging signs).
65
Appendix C — Funding Guidelines
Appendix D - FY 2012 HSGP Investment Justification
Template and Instructions
Investment Justification (IJ) Application Instructions
States, territories, and Urban Areas are required to use the web -based IJ submission
module provided by FEMA in the Grants Reporting Tool (GRT) for their FY 2012 HSGP
submission. Please allow enough time before (or no later than 11:59 p.m. EDT) May 4,
2012-to-complete-the-IJ-in-the-GRT. Urban Areas should work in accordance with their - - -
respective State's timelines and processes identified by the SAA to ensure the Urban
Area IJ is submitted by the SAA in compliance with the application deadline.
For instructions on how to log into the GRT and complete the IJ, please reference the
GRT Investment Justification Submission Technical User's Guide located at
https://www.reporting.odp.dhs oov/. After the IJ application has been marked 'complete'
in the GRT, SAAs on behalf of applicants must upload the Us as attachments with the
application using the ND Grants system located at https.-Aportal.fema.gov. Please note
that applicants should ensure that the IJ accounts for all funds requested by the
applicant and the total funding requested does not exceed the funding allocations
included in Appendix A— Program Specific Allocations.
IJ Planning Worksheet
Applicants may use the Word -based Investment Justification Planning Worksheet,
which is an optional, off-line tool, to help in drafting each Investment to be included as
part of the final HSGP IJ. All responses completed in this worksheet must be
transferred to the applicant's official IJ located in the GRT. The Worksheet is available
at www.fema.pov/grants along with the FY 2012 HSGP FOA materials.
Multi -Applicant Investments
States, territories, and Urban Areas may propose Multi -Applicant Investments, which
represent a shared interest between two or more States and territories, or a shared
interest between two or more Urban Areas, as one (or more) of their 10 Investment
submissions. Urban Areas cannot submit a Multi -Applicant Investment in partnership
with the State in which they are located. Each participating State or Urban Area must
outline the specific components of the Multi -Applicant Investment for which it would be
responsible and include that Investment in its own submission. For 2012, the Multi -
Applicant Investments will continue to be evaluated like other Investments as part of the
review process, but will not incorporate a bonus point structure.
The FY 2012 HSGP Multi -Applicant submission process will require Multi -Applicant
partners to identify a submitting partner who will only be required to initiate the Multi -
Applicant Investment within the GRT by providing the Investment name(s) and the
names of all partners. Once initiated, all partners will independently complete all
sections of their Multi -Applicant Investment. Submitting partners should initiate the
Multi -Applicant process early enough to allow all partners to complete their own
Investments on time.
66
Appendix D — FY 2012 HSGP IJ Template and Instructions
FY 2012 HSGP IJ Outline
Question
overall lnveeimentiJukifldatloa-Portfollo
Describe how the spectrum of terrorism and natural hazard risks that the
State/lenitory/Urban Area faces influenced the development of this Investment
Narrative
Justification to include all Investments.
character max
)
The response will be reviewed to provide
context for the Investment Justification
ldemity the amount and percentage of funding that will be dedicated ro
LA
Management& Administration expenditures.
unNPercentage
I::overvkw �:�-
IA Identify the Investment as:
New, Ongoing
Fiscal_Yearantl
tthelrnestmentis0 of
- rg rig,-itlemltyMxe IncestmeM(s)Yrorn pri6r year(s)—
— -
Investment Name
The response will be reviewed to provide
context for the Investment.
1.13
Provide the Investment name:
Short Title
(100 character max)
lC
Provide the applicant name -
torry
Stare
Urbanban Area
I.D Identify if this investment focuses on building new capabilities or the
sustainmem of e)dsti capabilities.
Nev�Existing
LE
The response provides a detailed
Provide a description of this Investment, including the planning, organization,
Narrative
description and clear understanding of
equipment, training, and/or exercises thatwill be involved.
(2500 character max)
various activites that will be supported by
this Investment.
II. Baseline
II.A yentifythe goals and objectives in your State and/or Urban Area Homeland
Narrative
The response will be reviewed to provide
Security Strategy supported by this Investment
(1500 character max)
context for the Investment.
II.B Describe existirg capability levels that address the identified
goals/objecfims and what will be in place to support Me Investment prior to
Narrative.
The response provides a clear
the use of FY 2012 funds..
(1500 character max)
understanding of existing capability levels
and what capability gap(s) the Investment
ILC
Narrative
Explain the capability gap(s) that this investment is intended to atldress.
(1500 character max)
will address,
III.:: Project Management and Milestones ,.
IRA
Provide the proposed FY 2012 HSGP funding amount for this Investment.
dentify if this is a fusion center Investment.
Amount
111.8 It applicable, provide the proposed funding amount that is expected to be
obligated towards Law Erloroement Terrorism Prevention Activities
Amount
The response provides a clear
LETPA)
demonstration and a comprehensive
understanding of howthe Investment
Ill Identifythe NPG Core Capabilities that am supported by this Investment
For each of the selected Core Capabilities, provide the proposed fundirg
Select all that apply
supports identified NPG Core Capabilities,
amoumto be obligated from this Investment.
and Amount
primary POETE Solution Area, and LETPA.
111.13 Provide the proposed funding amourt to be obligated from this Investment
Planning, Organza/on,
towards the primary Planning, Organization, Equipment, Training, and
Equipment, Training,
Exercises (POETS) Solution Area.
Exercise
-
II.E pentify up to ten projects/activities, with start and and dates, which will be
implemented over the 24 month period of performance. Provide the
following information:
-Project Name
Short title
100 character max
The response provides a cleardescription
-Funding Amount
Amount
of projectslactivifies thatwill demonstrate
progress towards achieving the Investment.
- Project Management Step
Initiate, Plan, Execute,
Control, Close Out
-Start MOmlVYear
Mont Wear
- End Mont (Year
Mon tWear
III.F Does this Investment require newcenstuctionorrenovabom retrofitting, or
No, Yes
The response will be reviewed to provide
modification of existing structures?
�
conlextforthe lnvestmenL
M .Aedomplishments and Impact:
The response provides a clear description
Describe the outcomes that wi11 be achieved as a result of this investment
of how the outcomes will be achieved durirg
NIA The outcomes should demonstrate improvement towards building
Narrative
the FY 2012 HSGP period of performance.
capabilities described in Section 1, Baseline.
(1500 character max)
The response also describes how
accomplishments will bridge capability
gap(s) outlined in Section III, Baseline.
67
Appendix D — FY 2012 HSGP IJ Template and Instructions
Appendix E — FY 2012 OPSG Operations Order
Template and Instructions
Operations Order Instructions
As part of the FY 2012 OPSG application process, each eligible local unit of
government at the county level or federally -recognized tribal government must develop
their Operations Order in coordination with State and Federal law enforcement
agencies,, to -include,, but-not-limited-to-GBP/BP. Operations -Orders -that -are -developed- - -- at the county level should be inclusive of city, county, tribal, and other local law
enforcement agencies that are eligible to participate in OPSG operational activities, and
the Operations Order should address this in the Executive Summary. The details should
include the names of the agencies, the points of contact, and the individual funding
requests. The OPSG Operations Order Template can be found at
http://www. grants. gov.
Requirements Overview
The Operations Orders must:
• Be created and submitted in Microsoft Word (".doc)
• Not exceed six (6) pages in length with the emphasis on the Executive Summary,
Mission, and Budget
• Use the following file naming convention when submitting required documents as
part of the FY 2012 OPSG application: "FY 2012 OPSG <State Abbreviation> -
<Local Unit of Government Name>"
Due to the competitive nature of this program, separate attachments will neither be
accepted nor reviewed.
Budget Requirements Overview
In an effort to streamline the application process, each applicant is required to submit an
annual budget addressing OPSG related costs and expenses as part of the Operations
Order. This budget should be detailed and should serve to:
Explain how the costs were estimated
Justify the need for the costs incurred
For clarification purposes, the Operations Order may include tables describing cost and
expense elements (e.g., equipment, fuel, vehicle maintenance costs).
Executive Summary Overview
Details to include in the Operations Order Executive Summary:
• Identify the organization name, point of contact, committees, and other structures
accountable for implementing OPSG in your jurisdiction. Typically, this will be a
68
Appendix E - FY 2012 OPSG Operations Order Template and Instructions
program lead or manager overseeing operations and individuals assigned to that
agency.
Briefly describe how Federal, State, local, and tribal law enforcement agencies
will work together to establish and enhance coordination and collaboration on
border security issues.
69
Appendix E — FY 2012 ONG Operations Order Template and Instructions
RATION STONEGARDEN (OPSG) OPERA'
ORDER AND BUDGET TEMPLATE
Op Order Name:
Operation
Op Order Number:
<Com leted bv CBP>
Op Dates:
From:
To:
Report Date:
70
Appendix E — FY 2012 OPSG Operations Order Template and Instructions
IV. BUDGET
Within the Operations Order, include budgets and operative spending plans in
one-year increments (Year 1 and Year 2). The annual operations should be
practical and able to be completed within the 24-month period of performance.
Grantees may not begin operations, obligate, or expend any funds until the final
Operations Order and embedded budget has been approved by FEMA GPD and
CBP/BP Headquarters and any existing special conditions and/or restrictions are
removed.
The sample tableeprovided-below maybe used as a guide to the applicant-inn the— --
preparation of the budget and Operations Order to be submitted. Using the table
below, compute the total estimated cost under the Narrative Justification column
and indicates the amount of Federal funds requested under the Federal Request
column that will support the project.
A.1 Example - Cost Estimates/Funding Requests (Year 1):
Administration/Logistics/Budget
(ComputationRequest of Items)
Federal Request
Law Enforcement Operational
$50 per hour OT rate x 11 personnel
Overtime
x 10 hours x 3 day detail x 4 quarters
per year x 2 years
$132,000.00
Fringe Benefits for Law
$27.55/hr x 1.5 OT = ($41.33/hr) x
Enforcement
(.062) _ ($2.56/hr FICA) x 5840
hrs/ r x 2 yrs
$29,925.92
Travel, Lodging, and Per Diem for
Federal or below: approx miles of
deployed LE and/or Federally
3,500, 15 days single Occupancy @
sponsored (QHS/FEMA) border
$150 for 5 people
security task forces, conferences
and/or mandatory training
$1,750.00
General Equipment
Lines, personal flotation devices,
GPS software updates, marine
batteries, thermal imaging system
Special Equipment
Sea Hawk Boat, Explorer 4x4 Police
(Requiring separate waiver i.e.,
with Package
Planes, boats, vehicles, SUVs,
etc.)
$75,000.00
Part -Time to Full -Time Law
Enforcement Personnel
Activated Reserve Law
Enforcement Personnel
Vehicle
46,800 miles per year x .18 cents per
Maintenance
mile = $8,424.00 x 2 yrs
Vehicles:
Tires, engine re air, other
$16,848.00
Fuel Cost
3,342 x $4.50 per gallon = $15,043/yr
x 2 yrs
$30,086.00
Total
$285,609.92
71
Appendix E — FY 2012 OPSG Operations Order Template and Instructions
A.2 Cost Estimates/Funding Requests (Year 2):
< INSERT COST ESTIMATES AND FUNDING REQUESTS TABLE >
V. COMMAND/CONTROL/COMMUNICATION
A. Chain of Command:
B. Unit Command:
C. Communications Detail:
D. Map Coordinates:
Notes:
Longitude: Latitude:
Degrees: Minutes: Seconds:
Decimal:
Location Zone:
ANNEX
A. Administration Annex:
B. Execution Annex:
C. Command Annex:
Media Action Plan:
Legal Review:
Risks:
Photos:
72
Appendix E - FY 2012 OPSG Operations Order Template and Instructions
Appendix F - FY 2012 OPSG Operational Guidance
The success of Operation Stonegarden (OPSG) will be achieved through an integrated,
layered approach to border security and targeted enforcement techniques and strategy.
This also includes fulfillment of specific roles and responsibilities, newly defined
expectations for operations, disciplined reporting procedures, and the introduction of
performance measures in 2012. Successful execution of these objectives will promote
situational_ awareness_ among -participating -agencies -and -ensure a -rapid, fluid response-- to emerging border -security conditions.
OPSG uses an integrated approach to address transnational criminal activity. To
achieve unity of effort, it is essential that each participant know the roles and
responsibilities within the integrated planning team. Participation in OPSG is based on
the expectation that State, local, and tribal law enforcement agencies will conduct
border -security operations using an Integrated Planning Team chaired by the U.S.
Border Patrol, which will provide routine monitoring and technical expertise to each
participating agency. Each operation will be reviewed for border -security value and
approved by the corresponding sector's Chief Patrol Agent or his/her designee.
As OPSG continues to evolve, several proven practices have been recognized,
centered on short-term, periodic operations in support of overarching near and long-
term goals. A multi -step process will be established via the area Integrated Planning
Team, including a campaign plan and a cycle of operations to ensure that Stonegarden
participants maintain synergism and have a coordinated and measurable impact on
reducing border -security risk.
Standardized, accurate, and timely reporting will focus on: monitoring program
performance; assessing productivity and results; determining the level of integration and
information sharing; evaluation of money spent and operations conducted; and
developing best practices for future operations. In FY 2012, OPSG has standardized
the form used to capture key data sets. In addition, nationwide standards for submitting
the reporting forms will be implemented.
I. Concept of Operations and Campaign Planning (Post Allocation
Announcement/Pre-Award)
The overarching operational cycle involves three stages; application, concept of
operations, and one or more tactical operational periods, which are all developed by the
Integrated Planning Team.
First Stage: The first stage is outlined in the application process. The original request
and justification for funding will be submitted through the Border Patrol sectors, which is
consistent with the processes used in previous years. The initial application will use an
Integrated Planning Team, made up of operation stakeholders, including the U.S.
Border Patrol.
73
Appendix F - FY 2012 ONG Operational Guidance
Second Stage (Post Award): This stage involves the creation of a Concept of
Operations and occurs after awards are announced. Participants will submit a Concept
of Operations via their Integrated Planning Team that serves two primary purposes:
formation of a campaign plan and capturing the initial, generalized -budgetary intent. A
campaign plan is defined as a series of related law enforcement operations aimed at
accomplishing a strategic or operational objective within a given time and space. The
campaign plan should State the participant agency's long-term border security
objectives and goals designed to mitigate border -security risk.
OPSG's two-year performance period exceeds the scope of a single, major, border -
security operation. Proper use of the funds may require several short-term operations
that combine to form an ongoing operational cycle, ensuring that Border Patrol
commanders and State, local, and tribal agency partners reserve the flexibility to
respond to the ever -changing elements of border security. Funds should be obligated
as needed to target specific threats or vulnerabilities and ensure that OPSG usage is
commensurate to the unique risk of each border region.
The concept of operations also will articulate the budgetary intent of how funds will be
used throughout the performance period. It can initiate the procurement of equipment,
as well as state how much the county intends to use for management and
administration (M&A) while keeping overtime funds and residual equipment funds
available for use as needed. The Concept of Operations will project planned
expenditures in the following categories: overtime, equipment, instruction, travel,
maintenance, fuel, and administrative funds. If the recipient intends to spend more than
50 percent of their award on overtime over the course of the performance period,
requests for an overtime waiver would be submitted at this time. In addition, if the need
for new equipment is anticipated, requests can be submitted in the concept of
operations to begin the process. The concept of operations will meet both the SAA
expectations to obligate the funds within 45 days of the award announcement and the
demands of the grant's operational intent. Once the Concept of Operations is submitted
and approved, the area Integrated Planning Team will meet to begin the last stage in
the planning process.
Third Stage: This stage begins when the award recipient is ready to conduct
operations. The area Integrated Planning Team will meet to begin planning tactical
operations. Tactical operational periods are described in detail below.
II. Tactical Operational Period
Operational discipline is necessary for the success of OPSG. Deliberate, adaptive,
integrated, and intelligence -driven planning is critical to conducting targeted
enforcement operations consistent with the objectives of the OPSG grant program. By
participating in the program, the State, local, and tribal agencies agree to conduct
operations designed to reduce border -security risk. Tactical operations will be
conducted on a periodic basis meeting the criteria outlined below.
74
Appendix F — FY 2012 ONG Operational Guidance
Tactical operational periods are composed of six critical elements: 1) a pre -planning
meeting with the Integrated Planning Team; 2) specified beginning and ending dates; 3)
are intelligence driven, with a nexus to border security; 4) use targeted enforcement
techniques; 5) have clearly stated objectives; and 6) conclude with an after -action
meeting. A campaign should involve several tactical operational periods. These
periods require deliberate on -going planning to ensure command, staff, and unit
activities synchronize to current and future operations. The cyclical nature of the
process will ensure OPSG activities align with the fluctuating border -security threats and
periods increase the flexibility and leverage gained through OPSG funding.
The Integrated Planning Team should leverage information provided by the fusion
center, Border Intelligence Centers or other local intelligence center, when possible and
establish a common operational vision. The Border Patrol sector's Chief Patrol Agent, or
his/her designee, will ensure that the information or intelligence has a clear nexus to
border security. The frequency and duration of each tactical operational period should
be predicated by local risk factors. The tactical operational period may combine to
develop an operational cycle that is synchronous or asynchronous, connected, or
unconnected, depending on security conditions and the Integrated Planning Teams
intent. Each tactical operational period will begin on a predetermined date and end on a
predetermined date, but the dates may be subject to change commensurate with
emerging security conditions.
Intelligence will be shared and vetted for border security value, driving the focus of
operations. The tactical operational period should focus on specific targets of interest or
specific areas of interest identified by the Integrated Planning Team. Once intelligence -
driven targets are identified, the Integrated Planning Team will decide on operational
objectives that reflect the intended impact of operations. The objectives should outline
how the operation will deter, deny, degrade, or dismantle the operational capacity of the
targeted transnational criminal organizations. The starting date of the operational
period should be established to allow sufficient time for the order to be submitted and
approved through Border Patrol Headquarters and the GPD at FEMA headquarters
(FEMA/GPD). Once approved, the operation can be conducted.
75
Appendix F — FY 2012 ONG Operational Guidance
The following diagrams illustrate two different approaches for conducting operations :2
CAMPAIGN PLAN'S OPERATIONAL CYCLE
DURATION: 1 FISCAL YEAR
FY start FY end
Otl[Oe. Novembe. pMemhn Jenwry Pebuery MpcF Apr MC Nm 3Yy Aupel Seplembe.
This cycle illustrates contiguous operations. This is an example of a twelve month campaign
plan with four tactical operational periods.
Figure 1: Example of an Ongoing Synchronized Operational Cycle
CAMPAIGN PLAN'S OPERATIONAL CYCLE
DURATION: 1 FISCAL YEAR
FY start FY end
t r
MOM
I ^'I
«men Mey.nw oN wM.. ,.,,.,. renwr wMn Ar+e w.., ..., a.,• A1yVe sereNron
This cycle illustrates operations on an as -needed basis. In response to emerging border
security threats. This Is an example of twelve month campaign plan with five tactical
operational. periods. This sample shows overlapping operations as well as times when there
are no operations being conducted.
Figure 2: Example of a Dynamic, Unsynchronized Operational Cycle
III. Reporting Procedures
2 These illustrations reflect a twelve month campaign plan. A campaign plan should be written to encompass the performance
period. Performance periods vary from State to State, please contact the State Administrative Agency in your area for clarification.
76
Appendix F - FY 2012 OPSG Operational Guidance
Participation in OPSG requires accurate, consistent, and timely reporting of how funds
are used, and how the State, local and tribal agencies' operations have impacted border
security through the mitigation of threat or vulnerability and the overall reduction of risk.
To ensure consistent reporting each State, local and tribal agency will identify a single
point of contact to represent their agency as a member of the Integrated Planning Team
and to coordinate the submission of reports or execute other aspects of the grant.
In_F_Y_2012,-the_ reporting_ format will _be -standardized as well. -Attachment -A, the Daily-- - - -
Activity Report is to be used to submit the ongoing results and outputs from OPSG
operations conducted. The Daily Activity Report will be submitted to the Border Patrol
sector, if required, or to the participating agency's OPSG coordinator. The agency
coordinator will compile the results from each Daily Activity Report at the end of the
month and submit a monthly report to the border patrol sector. The monthly report is
due to sector by the 10th day of the month. The Border Patrol sector will compile the
results from the participating agencies and submit the results to Border Patrol
Headquarters by the 15th of each.month.
In addition to the ongoing reporting of outputs, participants will be required to submit
After Action Reports to participating agencies and the Border Patrol within 10 days of
any completed operation, after convening a debrief meeting. The After Action report
should carefully articulate outcomes and outputs, as well as how the results of the
operation compare with the objectives identified during the pre -planning meeting.
Failure to submit the after -action report in a timely manner may prevent the approval of
future operations requests.
IV. Operational roles and responsibilities
The Border Patrol sector's Chief Patrol Agent, or his/her designee, will:
• Coordinate and chair the area Integrated Planning Team's meetings
• Coordinate with all interested and eligible State, local, and tribal agencies in the
sector's area of operation during the open period of the OPSG application
process by:
- Assisting applicants in completing the operations planning portion of the
application, which is similar to the Operations Order used by the Border
Patrol3
- Forwarding the approved operation portion of the application to CBP/BP
Headquarters, as well as to the SAA to complete the application process
set by FEMA/GPD
• Following the announcement of grant awards, coordinate and chair a meeting
with State, local, and tribal agencies that received OPSG awards to develop an
individualized campaign plan. This includes:
Working with State, local, and tribal agencies, along with other Federal law
enforcement agencies to determine the dates, focus, and needs of each
3 This will not be entered into the Border Patrol Enforcement Tracking System (BPETS).
77
Appendix F - FY 2012 OPSG Operational Guidance
tactical operational period, ensuring that each operation has a nexus to
border security;
- Receiving the first periodic operations order from the State, local, and
tribal agencies and ensuring that the operation is conducted as outlined in
Section I;
- Monitoring and supporting the Operational Cycle throughout the
performance period;
- Ensuring Daily Activity and After Action Reports are submitted by State,
---local-and-tribal-agencies in the proper formatandwithin-the-established- -- -- -
timeframes;
Providing instruction, when possible, to State, local and tribal agencies
regarding techniques, methods and trends used by transnational criminal
organizations in the area; and
Providing a single point of contact to participants as a subject matter
expert in OPSG that can coordinate, collect, and report operational
activities within.the established reporting procedures.
The State, local or tribal agency lead, or their designee, will:
• Participate as a member of the Integrated Planning Team to facilitate the
application process during the open period and ensure the application is
submitted in compliance with the grant instructions;
• Upon receiving a grant award, coordinate and meet as a member of the.
Integrated Planning team to develop an individualized campaign plan that covers
the length of the grant performance period;
• Work within the Integrated Planning team to develop an initial Operational Cycle
and determine the duration of the first operational period based on the tactical
needs specific to the area;
• Submit the first periodic operations order to the Border Patrol and ensure the
operation meets the six criteria established in Section II;
• Conduct operations, on an as -needed basis throughout the length of the grant
performance period;
• Ensure reports are submitted to the to the Border Patrol, and the SAA when
applicable, in the proper format and within established timeframes;
• Request instruction and information from the SAA, when applicable, and/or
Border Patrol and other Federal law enforcement agencies regarding techniques,
methods, and trends used by transnational criminal organizations in the area;
and
• Provide the SAA and Border Patrol a single point of contact that maintains
subject matter expertise in OPSG who can coordinate, collect, and report
operational activities within the established reporting procedures.
The SAA is responsible for the following:
Acts as the fiduciary agent for the program and provide expertise in State policy
and regulations;
78
Appendix F - FY 2012 OPSG Operational Guidance
• Enter into a sub -grant agreement with the award recipients to disburse the
allocated funding awarded through FEMA/GPD;
• Generate quarterly reports to FEMA and the U.S. Treasury capturing the award
recipients' obligation and expenditure of funds;
• Determine if the grant's performance period requires additional refinement over
the federally established 24 month period; and
• Conduct audits of the program to ensure that the award recipients are in
compliance with program guidance.
79
Appendix F — FY 2012 OPSG Operational Guidance
Attachment A:
Operation Stonegarden
Daily Activity Report
Date Information
Date of Activity FY Funds Used
--- -- -- - - __ -- --- - - -- -Select—
Agency Identifiers
Sector Agency Type
l� i
---------------------------------- ---- -----------------------
Region/CountyRegion/County Agency Name
Operational Expenses
Overtime Hours Labor Cost
Miles Driven/Patrolled Mileage Cost
Fuel Used (in Gallons) Fuel Cost
Equipment on Order Equipment Cost
Total Cost
Operational Activity
Narcotics Seizures
Misdemeanor Arrests
Subjects TOT BP
Cash Seizures
Felony Arrests
Cases TOT BP
Weapons Seizures
Outstanding Warrants
Criminal Aliens TOT BP
Vehicle Seizures
Citations Issued
Vehicle Stops
Specialty Equipment
Intel Reports
'Click the orange arrows below to add details about seizures and arrests.
Specialty Equipment Usage
Surveillance Towerr Marine Patrol Assets Armored Vehicles
Mobile Command Centerr Aviation Assetr Other Spec. Equipments
80
Appendix F — FY 2012 OPSG Operational Guidance
Narcotic Seizure Details
Type Weight Report Number Location Comments
Select...
Currency Seizure Details
Amount Report Number
Vehicle Seizure Details
Make'Model Estimated Value Location Comments
Weapon/Ammunition Seizure. Details
Weapon Type Amount Seized Report Number Location IComments
Specialty Equipment Usage Details
Specialty Equipment Report Number Location Comments
ant Arrest Details
Name Date of Birth Report Number Location Comments
nce Summary
Category Report Number Location Summary
select... I
Authorizing Officer Date of Report.
V. Definitions
Integrated Planning Team: The IPT will consist of State, local, and tribal OPSG
stakeholders within their Border Patrol sector area and U.S. Border Patrol
representatives, but may include other area Federal law enforcement agencies if
81
Appendix F - FY 2012 OPSG Operational Guidance
deemed necessary by the Chief Patrol Agent: The Integrated Planning Team will be
used for all aspects of OPSG application, planning, and de -briefings.
Area of Interest: A specific area, areas, or facilities known to be used by transnational
criminal organizations in furtherance of their criminal activity.
Campaign: A series of related law enforcement operations aimed at accomplishing a
strategic or operational objective within a given time and space.
Concept of Operations: A written statement that clearly and concisely expresses what
the State, local or tribal commander intends to accomplish and how it will be done using
available resources (and funding).
Operational Cycle: A deliberate on -going cycle of command, staff, and unit activities
intended to synchronize current and future operations (driven by current intelligence and
short-term goals that support the campaign).
Operational Discipline: The organized manner in which an organization plans,
coordinates, and executes the OPSG mission with common objectives toward a
particular outcome.
Performance Measure: A numerical expression that quantitatively conveys how well the
organization is doing against an associated performance goal, objective, or standard.
Tactical Operational Period: An operational segment that meets the following six
criteria: 1) specified beginning and ending dates; 2) begins with pre -planning; 3) is
intelligence driven; 4) uses targeted enforcement techniques; 5) has clearly stated
objectives; and 6) concludes with an after -action meeting.
Targeted Enforcement: The leveraging of all available assets against a specific action,
area, individual, or organization and using those deemed most appropriate to mitigate risk.
Target of Interest: A specific person, group of persons, or conveyance known to be part
of, or used by transnational criminal organizations to advance their criminal activity.
Threat: Information expressing intent to conduct illegal activity often derived from
intelligence sources, the overall context, a specific event or series of events, or
observation of suspicious activity.
Vulnerability: The protective measures in place are less than the protective measures
needed to mitigate risk.
Unity of Effort: Coordination and cooperation among all organizational elements, even
though they may not be part of the same `command" structure, to achieve a success.
82
Appendix F — FY 2012 ONG Operational Guidance
EXHIBIT G
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EXHIBIT H
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EXHIBIT I
California Emergency Management Agency
REQUEST FOR SOLE SOURCE PROCUREMENT AUTHORIZATION
Subgrantee Name: Los Angeles/Long Beach Urban Area
Homeland Security Grant Program (please check):
_UASI FY 10, Grant #: 2010-0085, CaIEMA ID #: 037-95050
_UASI FY 11, Grant #: 2011-SS-0077, CalEMA ID #: 037-95050
_UASI-FY-12, Grant #: 2012-SS-00123, CalEMA ID#: 037-95050 - - - - -
Project name:
Project Master Line/Sub-Line Number:
Project Budget:
Jurisdiction: Agency/Department:
1. Describe the project and/or activity that will be provided by the proposed sole source
vendor/contractor.
Equipment & Description Cost AEL number
2. Describe your organization's standard procedures when sole source contracting is
considered, including the conditions under which a sole source contract is allowed, and
any other applicable criteria (i.e. approval requirements, monetary thresholds, etc.).
Indicate which of the following circumstances resulted in your organization's need to
enter into a sole source contract.
a. Item/service is only available from one source (Describe the process used to
make that determination. Please provide details.)
b. A public urgency or emergency will not permit a delay resulting from competitive
solicitation. According to the US Department of Homeland Security/FEMA, "Time
constraints will not be considered a factor if the subgrantee has not sought
competitive bids in a timely manner." (Describe the urgency or emergency.
Please provide details)
Cal EMA Sole Source Request Revised 07/31/12
California Emergency Management Agency
REQUEST FOR SOLE SOURCE PROCUREMENT AUTHORIZATION
C. After solicitation of a number of sources, competition was determined
inadequate. (Describe the solicitation process that determined competition was
inadequate. Please provide details, and attach any relevant supporting material,
Request for Proposal, etc.)
4. Did your organization confirm that the contractor/vendor is not debarred or
--suspended? — — --
- - - - - - -
5. Will your organization be able to complete all activities associated with the sole source
contract by the end of the grant performance period?
6. Has your organization determined the costs are reasonable?
7. Please attach a copy of the cost benefit analysis prepared for this procurement.
Submitted by:
(Name)
(Signature)
Date:
Cal EMA Sole Source Request Revised 07/31/12
EXHIBIT J
LA/LB UASI
FOR CLAIM REIMBURSEMENT
Procurement
eCompetitive/Formal
bid process?
Informal procurement memo attached?
No
No
Yes
Yes
❑
Is this a Sole Source purchase?
No
Yes (Prior State approval attached)
FOR EQUIPMENT:
❑ Grant Reimbursement Request Form with authorized signature and data for each line #.
El Invoice: Must be stamped "PAID", signed with authorized signature for payment, and dated. Circle, or designate on t
invoice/receipt the items requesting reimbursement. Each item circled must have project #, a funding SOURCE, and TOTAL. Inclu
proof of payment (copy of canceled check and/or internal accounts payable record). Price quotes will not be accepted as proof
purchase for reimbursement
❑ Purchase Orders
❑ Proof of Delivery (ie. packing slips): If packing slips cannot be provided by vendor, the purchase order needs be stamped
with the date the product was received and signature
❑ Reviewed Federal Debarment Listing: http://www.opis.aov/epis/search.do
❑ No. ❑ Yes, print screen is attached for auditing purposes.
❑ Equipment Inventory Ledger, completed listing with all requested information, including Line #, Equipment Description, AEL #, AEL
Title, City, Invoice #, Invoice Date, Vendor, Amount of Request, Acquired Date, Serial #/ ID Tag #, Condition and Disposition, and
Deployed Location. Please send electronic file to your grant specialist.
FOR TRAINING/EXERCISE/ PLANNING:
❑ Grant Reimbursement Form with authorized signature and date for each Reference No/ Project No.
❑ Training/Exercise Roster completed listing with project #, course name, solution area subcategory, discipline, ODP approval, and
ODP tracking number.
• For Training QDP 8pp, , _ _, treoldng ftlt�IFer is required
• For Exercise — Submit After Action Report into the ODP Portal within 60 days of event. Attach proof report was submitted (le.
report cover sheet, confirmation email).
❑ Timecards: indicating the # of hours charged per day, employee signature & supervisor signature. Electronic timecard is acceptable.
❑ Payroll register indicating the salary, hourly rate, employee benefits, overtime rate. Include backfill for name of employee attend
training/exercise.
❑ For Training & Exercise Only: Class Roster/Sian-in sheets or Certificate of Completion with training date (if claiming for Bacl
and/or Overtime); if sign -in sheets or certificates are not available, trainees should provide their your own proof of attendance
completing their own sign -in sheet and have the Trainer sign the sheet indicating proof of attendance.
Additional items:
El include
Itemized receipts required for costs such as airfare, lodging, meals and/or training/conference fees. Receipts/invoices m
include appropriate dates agreeing with the travel/training period. Gratuity and alcoholic beverages are not allowed
reimbursement. Credit card authorization slips are unacceptable. Please see www.osa.gov for approved per diem rates.
❑ Workshop —Invoices and proof of payment for instructor, facilities, contractor and consulting services.
CITY OF LOS ANGELES
URBAN AREA SECURITY INITIATIVE GRANT
Reimbursement Request Form
Return Expenditure Requests to:
Grant Specialist ,Jurisdiction:
Mayor's Office of Homeland Security and Public Safety
200 N. Spring St., Room #M175
Agency/Department:
Los Angeles, CA 90012
Fax: 213.978.0718 -
Expenditure Period:
UASI FY08 ❑ Project Letter:
Prepared By:
—UASI-F-Y09—❑___.. - ___ _ _..Master. Item #: -- -- --
-- - -Phone. No.:
UASI FY10 ❑ Sub -Line #:
UASI FY11 ❑
end
Please mark this box to indicate
final request for reimbursement ❑
This reimbursement claim is in all respects true, correct, and all expenditures were made in accordance with applicable laws, rules,
regulations, and grant conditions and assurances. In addition, this claim is for cost incurred within the Grant Performance Period.
Also, all supporting documentation related to these expenditures will be retained in accordance with grant guidelines.
Authorized Department Approval:
Print Name -
Title
Signature Date
Phone No. (extension) Fax No.
HSPS Department Use Only
Invoice Tracking No:
Fiscal Year:
Cash Request No:
Invoice No:
Please Remit Payment to:
Agency
Address
City State Zip
Document ID No:
EXHIBIT K
California Emergency Management Agency
AVIATION REQUEST
Subgrantee Name: Los Angeles/Long Beach Urban Area
Homeland Security Grant Program (please check):
_UASI FY 10, Grant #: 2010-0085, CaIEMA ID #: 037-95050
_UASI FY 11, Grant #: 2011-SS-0077, CaIEMA ID #: 037-95050
_UASI FY 12, Grant #: 2012-SS-00123, CaIEMA ID #: 037-95050
Project Amount: $
Project name:
Project Master Line/Sub-Line Number:
Jurisdiction: Agency/Department:
1. Indicate the type of equipment for this request (choose only one of the following).
Aviation Aviation Related Equipment
2. Please provide a description of the area that will be served by the requested equipment.
Equipment & Description Cost AEL number
3. Please justify the need for the aircraft and how the requested platform best meets that
need as compared to other options. Include the cost, discipline, and funding source.
4. Please identify the applicable goals and objectives in your State/Urban Area Homeland
Security Strategy that the requested aircraft addresses.
Cal EMA ARF Revised 07/31/12
5. Please explain how the requested aircraft fits into the State/Urban Area's integrated
operational plans.
6. Please explain what types of terrorism incident response and prevention equipment with
which the requested aircraft will be outfitted.
7. Please describe how this aircraft will be used operationally and which response assets will
be deployed using the requested aircraft.
8. Please describe how this aircraft will be utilized on a regular, non -emergency basis.
9. Please certify on signed letterhead that an existing aviation unit is operating and will
continue to operate independent of the requested funding. Describe the active, operating
aviation unit and certify that no expenses will be charged against the grant award for the
operation of such aviation unit. Please certify licensing, registration fees, insurance, and all
ongoing operational expenses are the responsibility of the grantee or the local units of
government and are not allowable under this grant.
10. Attach letters of endorsement, if applicable.
Submitted
(Name) (Signature)
Cal EMA ARF Revised 07/31/12
EXHIBIT L
California Emergency Management Agency
ESTABLISH/ENHANCE EMERGENCY OPERATIONS CENTER (ECIQ REQUEST
Subgrantee Name: Los Angeles/Long Beach Urban Area
Homeland Security Grant Program (please check):
_UASI FY 10, Grant #: 2010-0085, CalEMA ID #: 037-95050
_UASI FY 11, Grant #: 2011-SS-0077, CalEMA ID #: 037-95050
_UASI FY 12, Grant #: 2012-SS-00123, CalEMA ID #: 037-95050
Project name: Project Amount: $
Project Master Line/Sub-Line Number:
Jurisdiction: Agency/Department:
1. What type of EOC does your organization plan to establish/enhance? (Choose one of the
following)
Primary EOC Alternate/Back-up/Duplicate EOC
2. Physical address of facility:
3. Describe how the establishment/enhancement of an EOC improves your organization's
ability to prevent, plan for, respond to, and recover from a terrorism event (on a
separate attachment).
4. Identify all other sources and uses of additional funds assisting the project in any way.
5. Identify anticipated homeland security grant costs to establish/enhance your
organization's EOC in the table below.
Supplies/Equipment AEL # Cost
Computers
Network Servers
Printers
Computer accessories (i.e. surge protectors, battery backups, etc.)
Computer maintenance contracts
Computer connections and cables (including fiber optic cabling)
Fax machines
Lighting Systems
LCD projectors.
Cal EMA EOCRF Revised 07/31/12
Projection/plasma/flat screens/monitors/televisions
GIS plotter and software
Telephone systems
Software development
Commercial off -the -shelf (COTS) software
Installation of EOC items
--. ----
Miscellaneous connections for EOC items
-Standardized mapping software_
Standardized emergency management software
Installation of EOC items
--
Miscellaneous connections for EOC items
Leasing Costsz (Indicate starting and ending dates of lease and
explain the circumstances under which the moving or leasing costs
will be incurred.)
-
-
---
Other (must provide list/description of "other" items and costs)
TOTAL - EOC Supplies and Equipment
6. Explanation of "other" items:
7. Has your organization determined the costs are reasonable?
Submitted by: Date:
(Name) (Signature)