Resolution No. 2014-009 (2)ERIC GARCETTI
MAYOR
June 2, 20.14
Michael Wilson
Fire Chief
Vernon Fire Department
4305 S. Santa Fe Avenue
Vernon, CA 90058
RE: Executed Agreement — Contract — City of Los AngelesNernon
Dear Chief Wilson:
Please find enclosed an original duplicate of Contract C-123991 between the City of Los
Angeles and the City of Vernon in connection with the Fiscal Year 2013 Urban Area
Security Initiative grant.
If you have any further questions please contact me at (213) 978-0722 or
adam.gertz@lacity.org.
Sincerely yours,
C'��
Adam Gertz
Office of the Mayor
Homeland Security and Public Safety
Encl.
200 N. SPRING STREET, ROOM 303 LOS ANGELES, CA 90012 (213) 978-0600
is
MAVO R.IACITY.ORG
FULLY EXECUTED AGREEMENT
SUBRECIPIENT AGREEMENT
Jurisdiction: City of Vernon
Title: FY 13 Urban Area Security Initiative (UASI) Grant Program
City Contract Number
TABLE OF CONTENTS
Section Description Pape
I.
INTRODUCTION
§101. Parties to the Agreement................................................................................... 3
§102. 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......................................................................................... 6
§202. Use of Grant Funds............................................................................................ 6
III.
PAYMENT
§301. Payment of Grant Funds and Method of Payment...........................................14
IV.
STANDARD PROVISIONS
§401.
Construction of Provisions and Titles Herein ...................................................
17
§402.
Applicable Law, Interpretation and Enforcement.............................................17
§403.
Integrated Agreement......................................................................................17
§404.
Excusable Delays............................................................................................18
§405.
Breach.............................................................................................................
18
§406.
Prohibition Against Assignment or Delegation.................................................18
§407.
Permits.............................................................................................................18
§408.
Nondiscrimination and Affirmative Action.........................................................19
§409.
Bonds...............................................................................................................19
§410.
Indemnification.................................................................................................19
§411.
Conflict of Interest............................................................................................20
§412.
Restriction on Disclosures...............................................................................22
§413.
Minority, Women, and Other Business Enterprise Outreach Program.............22
§414.
Publications and Use of Grantor Markings.......................................................22
§415.
Compliance with State and Federal Statutes and Regulations ........................
22
§416.
Inventions, Patents and Copyrights.................................................................
37
UASI 13 Subrecipient Agreement
V.
DEFAULTS, SUSPENSION TERMINATION AND AMENDMENTS
§501. Defaults............................................................................................................39
§502. Amendments....................................................................................................39
§503. Complete Agreement....................................................................................... 39
Execution (Signature) ......................................... 40
UASI 13 Subrecipient Agreement ii
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 CalOES Approved Forms
Exhibit L Technology Standards
UASI 13 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 "Subgrantee" or
"Subrecipient").
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)
2013 Urban Areas Security Initiative Grant Program ("UASI 13" or the "Grant") in the
amount of FiftyFour Million Seven Hundred Three Thousand Nine Hundred Sixty -Nine
Dollars, $54,703,969.00 ("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 November 22, 2013 (C.F. #13-0882); 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 Governor's Office of Emergency Services
("CalOES"); and
WHEREAS, the Grant is being provided to support the development, sustainment
and delivery of core capabilities essential to achieving 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 13 Grant Funds
allocated to the Subrecipient as a participating jurisdiction in the LA/LBUA in
accordance with this Agreement; and
UASI 13 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.# 13-0882, dated
November 22, 2013).
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:
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UASI 13 Subrecipient Agreement
I.
INTRODUCTION
§101. Parties to the Agreement
The Parties to this Agreement are:
A. The City of Los Angeles, a municipal corporation, having its principal office
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. Decke r@lacity.org
2. The representative of the City of Vernon shall be:
Michael Wilson, Fire Chief
Vernon Fire Department
4305 S. Santa Fe Avenue
Vernon, California 90058
Phone:(323) 583-8811, Ext. 287
mwilson@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
diazar@ci.vernon.ca.us
UASI 13 Subrecipient Agreement
B. Formal notices, demands and communications to be given hereunder by
either party shall be made in writing and may be effected by personal
delivery or by registered or certified mail, postage prepaid, return receipt
requested and shall be deemed communicated as of the date of mailing.
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 Party
Subrecipient is acting hereunder as an independent party, and not as an agent or
employee of the City. No employee of Subrecipient is, or shall be, an employee
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.
UASI 13 Subrecipient Agreement
C. 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.
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UASI 13 Subrecipient Agreement
n.
TERM AND SERVICES TO BE PROVIDED
§201. Time of Performance
The term of this Agreement shall be from September 1, 2013 and end May 31,
2015 (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 2013 Homeland
Security Grant Program Funding Opportunity Announcement ("DHS 13
Guidance"), (2) Grantor Information Bulletins, (3) CalOES 2013 Recipient
Handbook ("CaIOES 13 Handbook"), (4) CalOES FY 13 Homeland
Security Grant Program California Supplement to the Federal Funding
Opportunity Announcement and Application Kit ("CalOES 13
Supplement"), (5) CalOES 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) CalOES FY 13 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
http://www.d hs. gov/xl ibra ry/assets/cfo-fi na ncia I-management-pol icy-
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 2013 Homeland Security Grant Program application. Further, use of
the Grant Funds is limited to those investments and projects included in
the California FY13 Investment Justifications submitted to
DHS/FEMA/CaIOES and evaluated through the peer review process.
Subrecipient shall comply with any cost sharing commitments included in
UASI 13 Subrecipient Agreement
such FY13 Investment Justifications, where applicable. Subrecipient
agrees that Grant Funds will be used to supplement existing funds for
program activities, and will not supplant (replace) funds that have been
budgeted for the same purpose through non-federal sources, and, upon
request by the City, CalOES and/or 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, whereby any cost allocable to a particular federal award or cost
objective under the principles provided for in the Grant or this Agreement
may not be charged to other federal awards to overcome fund
deficiencies. Subrecipient shall also comply with the applicable provisions
of the Improper Payments Information Act (IPIA) of 2002 (P.L. 107-300).
Subrecipient shall timely notify City and CalOES 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.
Examples of relevant debt may be found in OMB Circular A-129, form SF-
424, item #17, and include delinquent payroll and other taxes, audit
disallowances, and benefit overpayments.
Subrecipient shall comply with the requirement of 31 U.S.C. Section 3729,
which sets forth that no subgrantee, recipient or subrecipient of federal
UASI 13 Subrecipient Agreement 7
funds or payments shall submit a false claim for payment, reimbursement
or advance. In the event of a violation of such requirement, Subrecipient
agrees to be subject to the administrative remedies as found in 38 U.S.C.
Section 3801-3812, addressing false claims and statements made.
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 CalOES 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
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.
2. Budget modification requests must be submitted to the City every
30 days, as needed, pursuant to deadlines set by the City..
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 CaIOES/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 CalOES/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 13 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
UASI 13 Subrecipient Agreement
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. [Intentionally Omitted]
E. Any equipment acquired pursuant to this Agreement shall be authorized,
subject to, and in compliance with the CaIOES 13 Handbook, CalOES 13
Supplement, GMMs, UASI Authorized Equipment List
(https://www.rkb.us), Grantor Information Bulletins, DHS Terms and
Conditions and DHS 13 Guidance. Subrecipient 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
CalOES if the Grant Funds allocated to the Subrecipient are
deobligated/disa[lowed 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
UASI 13 Subrecipient Agreement
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.
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
httD://www. rkb.miot.oro
(d) The AEL title
(e) The invoice number
(f) The vendor
(g) Total cost (prime vendor)
(h) Total cost (general)
(i) Cash request #
UASI 13 Subrecipient Agreement 10
0) Acquired date
(k) ID Tag #
(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 Preservation (EHP) Notes
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."
5. 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.
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 K.
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 part of Exhibit K.
10. EOC Aviation or Watercraft, and EHP Request forms must be
approved by CalOES in writing during the term of this Agreement.
Request forms must be submitted to the City by April 3, 2014.
Purchases may not be made nor may the project commence until
UASI 13 Subrecipient Agreement 11
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 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. Notwithstanding anything to the contrary in this Agreement,
Equipment must meet all mandatory regulatory and/or Grantor
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 CalOES 13 Handbook, CalOES 13
Supplement, GMMs, Grantor Information Bulletins, DHS Terms and
Conditions and DHS 13 Guidance. A catalogue of Grantor approved and
sponsored training courses is available at
http://www.firstrespondertraining.gov/odi) 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
http://hseep.dhs..qov. Reference materials and additional details are
available at http://www.oes.ca.gov.
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 CalOES, 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
UASI 13 Subrecipient Agreement 12
(3)
Equipment Ledger
(4)
Training Roster
(5)
Exercise Roster
(6)
Planning Roster
J. Any and all requests for Sole Source procurements or contracts must be
approved by the City and CalOES 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
CaIOES 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. CaIOES shall have the right to
place a lien on any such improved real property for any amounts owed in
connection with such deobligation/disallowment.
L. Subrecipient agrees that any equipment, products, exercise, training,
planning and organizational activities or any other services purchased, or
the costs of which are reimbursed by, Grant Funds shall comply with any
and all technological and/or interoperability specifications and standards
as may be approved by the LA/LBUA region, and such products, services
or activities not so compliant shall be not eligible for reimbursement by
Grant Funds. A list of technological standards currently approved by the
LA/LBUA region is attached as Exhibit L. Subrecipient shall further ensure
that it retains from its contractors, subcontractors, and vendors all rights
related to inventions, copyrightable materials, and data as set forth in
Section 416 of this Agreement.
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UASI 13 Subrecipient Agreement 13
Ill.
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 Seven Thousand Seventy Six Dollars
($187,076.00) to be used for purchase of equipment, planning, exercises,
organizational activities, and training as described in Section 202 above.
Such Grant amount represents the amount allocated to Subrecipient in the
FY 13 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 CalOES
tracking number has been assigned to the course, and supporting
documentation, including timesheets and payroll registers for all training
attendees.
UASI 13 Subrecipient Agreement 14
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
agency 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 CalOES
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.
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
milestones or deadlines set forth in its Project Timeline. Such
modifications include, but are not limited to, suspension, termination or
UASI 13 Subrecipient Agreement 15
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 13 Subrecipient Agreement 16
IV.
STANDARD PROVISIONS
§401. Construction of Provisions and Titles Herein
All titles, subtitles, or headings in this Agreement have been inserted for
convenience 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 13 Subrecipient Agreement 17
§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 be beyond 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 13 Subrecipient Agreement 18
§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
against any employee or applicant for employment because of such person's
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
or employees, by law for injury caused by any negligent or wrongful act or
omission occurring in the performance of this Agreement.
UASI 13 Subrecipient Agreement 19
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 seq. 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,
father-in-law, mother-in-law, brother-in-law, sister-in-law, son-in-
law, daughter-in-law.
UASI 13 Subrecipient Agreement 20
2. The term "financial or other interest" includes but is not limited to:
a. 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.
b. 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.
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".
UASI 13 Subrecipient Agreement 21
§412. Restriction on Disclosures
Any reports, analysis, studies, drawings, information, or data generated as a
result of this Agreement are to be governed by the California Public Records Act
(California Government Code §6250 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
CalOES/Grantor directives, 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,
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
UASI 13 Subrecipient Agreement 22
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 Manaaement and Budaet (OMB) Circulars and Forms
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); OBM Standard Form
424E Assurances — Non -construction Programs.
Sinale 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 seq.; 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 sea., 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
Subrecipient (or any subcontract thereof), relating to this
Agreement, to the extent allowed hereunder, shall be subject to the
provisions of this paragraph.
UASI 13 Subrecipient Agreement 23
4. Political and Sectarian Activity Prohibited
a. Subrecipient shall comply with all applicable lobbying
prohibitions and laws, including those found in 31 U.S.C.
§1352, et seq., and agrees that none of the funds, materials,
property or services funded or reimbursed under this
Agreement shall be used for any partisan political activity, or
to further the election or defeat of any candidate for public
office, or 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 or
cooperative agreement. Subrecipient shall not use any
funds provided under this Agreement, directly or indirectly, tc
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. Reports, Records Inspection and Investigations
a. At any time during normal business hours and as often as
the Grantor, CalOES, 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
UASI 13 Subrecipient Agreement 24
make available for examination all of its records with respect
to all matters covered by this Agreement. Subrecipient
hereby gives the Grantor, CalOES, 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, 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 facilities, personnel and
other individuals and information as may be necessary and
as required by the Grantor or CalOES, through any
authorized representative, or as required by applicable law,
Grant regulations and guidance.
b. Subrecipient agrees to submit timely, complete and accurate
reports to appropriate Grantor, CalOES and City
representatives as may be requested and maintain
appropriate backup documentation to support such reports.
Subrecipient shall comply with all other special reporting,
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 funded by Grant Funds.
C. Subrecipient shall cooperate with any compliance review or
complaint investigation conducted by the Grantor, CalOES
and/or the City in connection with Subrecipient's use of
Grant Funds.
Subrecipient shall require any of its subgrantees,
contractors, successors, transferees, and assignees to
acknowledge and agree to comply with the provisions
governing Grantor, CalOES and the City's access to records,
accounts, documents, information, facilities and staff as set
forth in this Section 415(A)(5).
e. The provisions of this Section shall survive the termination of
this Agreement.
6. Records Maintenance
UASI 13 Subrecipient Agreement 25
Records, in their original form, shall be maintained in accordance
with requirements prescribed by the City and CalOES/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
CalOES/Grantor directives. The provisions of this Section shall
survive the termination of this Agreement.
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).
UASI 13 Subrecipient Agreement 26
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.
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 all applicable 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 sea.), 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
UASI 13 Subrecipient Agreement 27
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 any court or administrative agency makes a finding of
discrimination on the grounds of race, color, religion, national origin
(including limited English proficiency), gender, age, familial status
or disability against Subrecipient, or the Subrecipient settles a case
or matter alleging such discrimination, the Subrecipient will forward
a copy of the complaint and findings to the City and the
Grantor/CaIOES. 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/CaIOES, and the
DHS Office of Civil Rights and Civil Liberties.
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.
UASI 13 Subrecipient Agreement 28
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.
b. Subrecipient shall comply, as applicable, with, and provide
any information requested by DHS/FEMA/CalOES to ensure
compliance with, the following laws: (a) the requirements of
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.); (f) requirements 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; 0) 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/CaIOES, including, but not limited to,
ground disturbance, construction, modification to any
UASI 13 Subrecipient Agreement 29
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 may result in a noncompliance finding. Subrecipient
must complete the DHS/FEMA EHP Screening Form (OMB
Number 1660-0115/FEMA Form 024-0-01) and submit it,
with all supporting documentation, to City and CalOES for
processing by the DHS/FEMA Grant Program Directorate
EHP. 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/CaIOES and the appropriate State Historic
Preservation Office.
d. Subrecipient shall comply, as applicable, with the 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.
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/CaIOES 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.
UASI 13 Subrecipient Agreement 30
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.
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
UASI 13 Subrecipient Agreement 31
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.
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 13 Guidance; CalOES 13
Supplement; CalOES 13 Handbook; CalOES FY 13 Grant
Assurances (attached hereto as Exhibit E); Grantor Information
Bulletins; and GMMs.
Standardized Emergency Management System (SEMS)
requirements as stated in the California Emergency Services Act,
UASI 13 Subrecipient Agreement 32
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.
(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.
(c) Subrecipient shall comply with Homeland Security Presidential
Directive (HSPD)-5, Management of Domestic Incidents.
Subrecipient agrees and acknowledges that the adoption of the
National Incident Management System (NIMS) is a requirement to
receive Grant Funds under this Agreement.
4. 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 in part with federal funds complies with the fire prevention and
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, CalOES and/or
Grantor may unilaterally terminate this Grant award to Subrecipient,
without penalty, if Subrecipient:
UASI 13 Subrecipient Agreement 33
(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:
(f) It must inform the City and CalOES 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, CalOES 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.
UASI 13 Subrecipient Agreement 34
(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.
"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.
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 contact the City and ISPB,
or the applicable federal department or agency, for approval and
processing instructions.
UASI 13 Subrecipient Agreement 35
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 Personally Identifiable Information (PII), 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.dhs.gov/xlibrary/assets/privacy/privacy guide spii hand
book.pdf. In collecting PII, Subrecipient shall have a publicly -
available privacy policy that describes what PII it collects, how it
plans to use the PII, whether it shares PII with third parties, and
how individuals may have their PII corrected where appropriate.
Subrecipient may find DHS Privacy Impact Assessments, guidance
and templates online at
httr)://www.dhs.gov/xlibrary/assets/privacv/privacy pia guidance iu
ne2010.pdf and at
http://www.dhs.gov/xlibrary/assets/privacv/privacy pia template.pdf
, respectively.
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
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. Subrecipient shall comply with the 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
UASI 13 Subrecipient Agreement 36
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/CaIOES. Unless there is a prior agreement between the City and
Grantor/CaIOES, Grantor/CaIOES shall determine whether to seek
protection on the Invention. Grantor/CaIOES 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 2/1811983); and
Executive Order 12591, 4/10/87, 52 FIR 13414, 3 CFR, 1987 Comp., p.
220 (as amended by Executive Order 12618, 12/22/87, 52 FIR 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/CalOES regarding allocation of any
patent rights that arise from, or are purchased with, Grant Funds.
B. Rights to Use Inventions
City and Grantor/CaIOES shall have an unencumbered right, and a non-
exclusive, irrevocable, royalty -free license, to use, manufacture, improve
UASI 13 Subrecipient Agreement 37
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 or of this
Agreement, when copyrightable material ("Material") is first produced or
developed as part of a project funded by Grant Funds, the Grantor, at
Grantor's discretion, may copyright the Material. If the Grantor declines to
copyright the Material, the Grantor 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,
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. In addition,
Subrecipient shall ensure that all its contractors, subcontractors and
vendors funded by Grant Funds be contractually obligated to give the
rights set forth in this Section 416 to the Subrecipient as well as the
Grantor.
UASI 13 Subrecipient Agreement 38
[REMAINDER OF PAGE INTENTIONALLY LEFT BLANK]
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 forty (40) pages and twelve (12) Exhibits which constitute
the entire understanding and agreement of the parties.
UASI 13 Subrecipient Agreement 39
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 ANGELES
MICHAEL N. FEUER, City Attorney
ERIC
GAMTTI, Mayor
By
Eric Garcetti, Mayor
By
Homeland Security and
Dep Attorney
Public Safety, Mayor's Office
Date vl ! ]�
Date
5-
ATTEST:
HOLLY L. WOLCOTT, Interim City Clerk
By
Deputy City Clerk r
Date �Q
APPROVED AS TO FORM:
For:
The City of Vernon,
a municipal corporation
By
wwK
By
A2"
Za h Moussa Deputy City
Date/3�� Attorney
W. Michael McCormick, Mayor
Date
ATTEST:
[SEAL]
By
Ana Barcia, Deputy City Clerk
Dai /4
City Business License Number:
Internal Revenue Service ID Number:
Council File/OARS File umber: 13-0882 Date of Approval
City Contract Number:
UASI 13 SubrecipientAgreement 40
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 prospective recipient of Federal assistance fluids shall provide Immediate written notice to 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 ams.
8. 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 debannent.
CERTIFICATION REGARDING
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)
I. The prospective recipient (or subrecipient) of Federal assistance funds certifies that it or 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 Agreement been convicted of or bad a
civil judgment rendered against them for commission of ftaud 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, thefi, 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
I(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
City of Vernon
t....:,h..:,
Mark Whitworth, City Administrator
NAME AND TITLE OF AUTHORIZED REPRESENTATIVE
SIGN#tURE DATE
ATT T:
Ana Bar De'PutY C4ty Alerk
EXHIBIT C
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 Member of Congress, an officer or employee of Congress, or an 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
City of Vernon
SUBRECIPIENT
Mark Whitworth
NAME AND TITLE OF
Administrator
REPRESENTATIVE
.5-�-6vy
SIG�QATURE DATE
AT EST:
Ana Barcia, eputy ai: C
EXHIBIT D
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. Publishing a statement notifying employees that the unlawful manufacture,
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
City of Vernon
SUBRECIPIENT
NAME
REPRESENTA
—4�'
*NOTE: Capitalized terms nePeffl Shall have those meanings set forth in the Agreement to
which this Certification is attached as an Exhibit
*:V:nard�
Name of Applicant:
California Governor's Office of Emergency Services
FY2013 Grant Assurances
(All HSGP Applicants)
City of Los Angeles
Address: 200 No. Spring Street, Room 303
City: Los Angeles
Telephone Number: (213) 978-0730
E-Mail Address: alisa.finsten@laeity.org
State: CA Zip Code: 90012
Fax Number: (213) 978-0718
As the duly authorized representative of the Applicant, I certify that the Applicant named above:
1. Will assure that all allocations and use of funds under this grant will be in accordance with the Fiscal Year
2013 HSGP Funding Opportunity Announcement.
2. Will assure that grant funds will supportefforts related to providing an integrated mechanism to enhance
the coordination of national priority efforts to prepare for, prevent, respond to, and recover from terrorist
attacks, major disasters and other emergencies.
3. 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 (DI-IS)/Federal Emergency Management Agency (FEMA) and sub -
granted through the State of California, California Governor's Office of Emergency Services (Cal OES).
4. 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 and. Urban Area
Security Initiative) or fiscal years.
5. Will comply with any cost sharing commitments included in the FY2013 Investment Justifications
submitted to DHS/FEMA/Cal OES, where applicable.
6. Will establish a proper accounting system in accordance with generally accepted accounting standards and
awarding agency directives.
7. Will give the DHS/FEMA, the General Accounting Office, the Comptroller General of the United States,
the Cal OPS, the Office of inspector General, through any authorized representatives, access to, and the
right to examine, all paper or electronic records, books, and documents related to the award, and will
permit access to its facilities, personnel and other individuals and Information as may be necessary, as
required by DHS/FEMA or Cal OES, through any authorized representative, with regard to examination of
grant related records, accounts, documents, information and staff.
8. Will require any subrecipients, contractors, successors, transferees, and assignees to acknowledge and agree
to comply with applicable provisions governing DHS/FEMA access to records, accounts, documents,
information, facilities, and staff.
a. Recipients must cooperate with any compliance review or complaint investigation conducted by
DHS/FEMA or Cal OES.
b. Recipients must give DHS/FEMA and Cal OES 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
r
Page 1 initials
facilities, personnel, and other individuals and information as may be necessary, as required by
DHS/FEMA and Cal OES program guidance, requirements, and applicable laws.
c. Recipients must submit timely, complete, and accurate reports to the appropriate DHS/FEMA and
Cal OES officials and maintain appropriate documentation to support these 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/FF..MA/Cal OES 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,
Recipients must forward a copy of the complaint and findings to the DHS/FEMA Component and/or
awarding office. The United States has the right to seekjudicial enforcement of these obligations.
9, Will comply with any other special reporting, 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, or detailed in the program guidance.
10. 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) the baseline level of capability as defined by the Fusion Capability
Planning Tool.
It. Will initiate and complete the work within the applicable timeframe, in accordance with grant award terms
and requirements, after receipt of approval from Cal OES, and will maintain procedures to minimize the
amount of time elapsing between the award of funds and the disbursement of funds.
12. Will provide timely, complete and accurate progress reports, and maintain appropriate documentation to
support the reports, and other such information as may be requited by the awarding agency, including the
Initial Strategy Implementation Plan (1SIP), within 45 (forty-five) days of the award, and update these
reports and related documentation via the Grant Reporting Tool (GRT) twice each year.
13. Will provide timely notifications to Cal OES of any developments that have a significant impact on award.
supported activities, including changes to key program staff.
14, Agrees to be non -delinquent in the repayment of any federal debt. Examples of relevant debt may be found
in OMB Circular A-129, form SF-424, item f#17, and include delinquent payroll and other taxes, audit
disallowances, and benefit overpayments.
I5. Will comply with the requirement of 31 U.S.C. Section 3729, which sets forth that no subgrantee, Recipient
or subrecipient of federal payments shall submit a false claim for payment, reimbursement or advance.
Administrative remedies may be found in 38 U.S.C. Section 3801-3812, addressing false claims and
statements made.
16, Will comply with all federal and state laws, executive orders, regulations, program and administrative
requirements, cost principles, audit requirements, policies and any other terms and conditions applicable to
this award.
17. Will comply with all applicable provisions of DHS/FEMA's regulations, including Title 44 of the Code of
Federal Regulations, Part 13, Uniform Administrative Requirements for Grants and Cooperative
Agreements to State and Local Governments, including the payment of interest earned on advances,
Page 2 Initials F
18. Will comply with Office of Management and Budget (OMB) CircularA-102, Uniform Administrative
Requirements for Grants and Cooperative Agreements to State and Loral Governments (also known as the
"AA 02 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 Nun -Profit Organizations, relocated to 2 CFR
Part 215; requirements for allowable costs/cost principles in the A.102 Common Rule, OMB Circular A-
110 (2 CFR § 215.27); 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; and OMB Circular A-133, Audits of States, Local Governments and Non -Profit Organizations, as
applicable.
t9. Will comply with all provisions of the Federal Acquisition Regulations including, but not limited to, Title
48 CFR Part 31.2, Part 31.2 Contract Cost Principles and Procedures, Contracts with Commercial
Organizations.
20, Will comply with provisions of the Hatch Act (5 U.S.C. §§ 1501-1508 and 7324-7328), which limits the
political activities of employees whose principal employment activities are funded in whole or in part with
federal funds.
21. 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 themselves or
others, particularly those with whom they have family, business, or other connections.
22, 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 and Cal OES,
23. Will comply with all applicable lobbying prohibitions and laws, including those found in United States
Code Title 31, § 1352, el seq., and agrees that none of the funds provided under this 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, or cooperative agreement,
24. Agrees that, to the extent contractors or subcontractors are utilized, will use small, minority -owned,
women -owned, or disadvantaged businesses, to the extent practicable.
25. Will comply with Title 2 of the Code of Federal Regulations regarding duplication of benefits, whereby any
cost allocable to a particular federal award or cost objective under the principles provided for in this
agreement may not be charged to other federal awards to overcome fund deficiencies.
26. Will ensure that federal funds do not replace (supplant) funds that have been budgeted for the same purpose
through non-federal sources. Subgrantees and subrecipients may be required to demonstrate and document
that a reduction in non-federal resources occurred for reasons other than the receipt or expected receipt of
federal funds,
27. 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.
28. Will comply with all federal and state laws and regulations relating to civil rights protections and
nondiscrimination. These include, but are not limited to:
I Page 3 Initials
a. Title VI of the Civil Rights Act of 1964, Public Law 88-352,(42 U.S.C. § 2000d et sey,), , as
amended, which prohibits discrimination on the basis of race, color and national origin.
b. Title IX of the Education Amendments of 1972, as amended (20 U.S.C. § 1681 er seq. ), which
prohibits discrimination on the basis of gender.
c. The Americans with Disabilities Act, as amended, which prohibits Recipients from discriminating on
the basis of disability (42 U.S.C. § 12101 el seq.).
d. Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. § 794), which prohibits
discrimination on the basis of disability in any program receiving federal financial assistance.
e. The Age Discrimination Act of 1975, as amended (42 U.S.C. § 6101 et seq.), which prohibits
discrimination on the basis of age.
F. The Drug Abuse Office and Treatment Act of 1972 (P.L. 92-255), as amended, relating to
nondiscrimination on the basis of drug abuse.
g. 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.
h. Sections 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.
t. Title Vlll of the Civil Rights Act of 1968 (42 U.S.C. § 3601 el seq., as implemented by 24 CFR Part
100), as amended, relatingto nondiscrimination in the sale, rental and financing of housing.
j. Title 44 of the Code of Federal Regulations (CFR) Parts 7, 16, and 19 relating to nondiscrimination.
k. The requirements of any other nondiscrimination provisions in the specific statute(s) under which the
application for federal assistance is being made and any other applicable statutes.
1. 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.
m. Will provide an Equal Employment Opportunity Plan, if applicable, to the Department of Justice
Office of Civil Rights within 60 days of grant award.
n. 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.
29. Will comply with the requirements of Titles 11 and III of the Uniform Relocation Assistance and Real
Property Acquisition Policies Act of 1970 (42 U.S.C. § 4601 of 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 project
purposes regardless of federal participation in purchases. Will also comply with Title 44 CFR, Part 25,
Uniform Relocation Assistance and Real Property Acquisition for Federal and Federally Assisted Programs,
30, Will comply with all provisions of DHS/FEMA's regulation 44 CFR Part 10, Environmental
Considerations.
31. 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, Agrees not to undertake any project having the potential to impact EHP
resources without the prior written approval of DHS/FEMA and Cal OES, 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.
'['he subgramee 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 and
Page 4 Initia
Cal OES 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 and Cal OES and the appropriate State
Historic Preservation Office.
32. Any construction activities that have been initiated prior to the full environmental and historic preservation
review could result in a non-compliance finding. Subgrantees must complete the DHS/FEMA EHP
Screening Form (OMB Number 1660-011.5/FEMA Form 024-0-01) and submit it, with all supporting
documentation, to their Cal OES program representative, for processing by the DHS/FEMA Grants
Program Directorate EHP.
33. Grantees should submit the FEMA EHP Screening Form for each project as soon as possible upon receiving
their grant award. The Screening Form for these types of projects is available ac
34. 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 GES and the DHS/FEMA 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 tinder
consideration for listing by the EPA.
35. Will provide any information requested by DHS/FEMA and Cal OES to ensure compliance with applicable
laws including, but not limited to, 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 (E012898) and Environmental Quality (1301 1514).
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
Clean Air Act of 1955, as amended (42 U.S.C. § 7401 et seq.).
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, and California Code of Regulations, Title 14, Chapter 3 Sections 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 ofthe Coastal Barrier Resources Act (P.L. 97-348) dated October 19, 1982 (16
USC 3501 er seq.), which prohibits the expenditure of inost new federal funds within the units of the
Coastal Barrier Resources System.
36. Will comply with Standardized Emergency Management System (SEMS) requirements as stated in the
Califomia Emergency Services Act, Government Cade, Chapter 7 of Division I of Title 2, § 8607.I(e) and
CCR Title 19, §§ 2445, 2446, 2447, and 2448.
37. Agrees that subgrantees and subrecipients collecting Personally Identifiable Information (PIT) must have a
publically-available privacy policy that describes what PIT they collect, how they plan to use the PII,
whether they share PII with third parties, and how individuals may have their PII corrected where
appropriate. Subgrantees and subrecipients may also find DI IS Privacy Impact Assessments, guidance and
templates online at htt1)://w v_w dhL0Qv P1and at
httn://www.dhs.eov/xlib'r i a-,sets//mivacYilvivacy-2:1a_tcm,Qlate.ZLf, respectively.
Page 5 lnitials
38. Agrees that all DHS/FEMA-funded project activities carried on outside the United States are coordinated as
necessary with appropriate government authorities and that appropriate licenses, permits, and approvals are
obtained.
39. Will comply with Section 6 of the Hotel and Motel Fire Safety Act of 1990, 15 U.S.C. § 2225(a), whereby
all subgrantees, recipients, and subrecipients must ensure that all conference, meeting, convention, or
training space, funded in whole or in part with federal funds, complies with the tire prevention and control
guidelines of the Federal Fire Prevention and Control Act of 1974, 15 U.S.C. § 2225.
40. Agrees that all publications created or published with funding under this grant shall prominently contain the
following statement: "This document was prepared under a grans from FENIA's Grant Programs
Directorate, U.S. Department of Homeland Security. Paints of view or opinions expressed in this document
are those ofthe authors and do not necessarily represent the t ffrrial position or policies of FEALI's Grant
Programs Directorate or the US. Department oJ'Homefand 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. "
41. 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. The Recipient agrees to consult with DHS/FEMA
and Cal OES 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 funds received which exceed the approved, actual
expenditures as determined 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 reduction will be promptly refunded to the State of California.
c. Property and equipment purchased under the HSGP reverts to Cal OES if the grant funds are
deobligated or disallowed and not promptly repaid.
d. HSGP funds used for the improvement of real property must be promptly repaid following
deobligation or disallowment of costs, and Cal OES reserves the right to place a lien on the property
for the amount owed.
e. Separately account for interest earned on grant funds, and will return all interest earned, in excess of
S 100 per federal fiscal year.
42. Will comply 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 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).
43, 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.
44. 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.
45. Agrees that "Classified national security information," w defined in Executive Order (EO) 12958, as
amended or updated via later executive ordet(s) , means information that has been determined pursuant to
EO 12958 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,
Page 6 Initials
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 granted access to such information by
appropriate authorities:
46. 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,
subrecipient, 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, and other
applicable executive orders; the National Industrial Security Program Operating Manual (NISPOM); and
other applicable implementing directives or instructions. Security requirement documents maybe located
at; hitp://www.dhs.Lov/xmntiig&,r4,nt!LLttI4q2i..;htiD
47. Immediately upon determination by the Award Recipient that funding under this award may be used to
support a contract, subaward, or other agreement involving access to classified national security information
pursuant to paragraph 47, and prior to execution of any actions to facilitate the acquisition orsuch a
contract, subaward, or other agreement, the Award Recipient shall contact ISPB, and the applicable federal
department or agency, for approval and processing instructions.
DHS Office of Security ISPB contact information:
Telephone:202A47-5346
@mail: DD254AdministrativeSecurity@dhs.gov
Mail: Department of Homeland Security
Office of the Chief Security Officer
ATTN: ASD/Industrial Security Program Bunch
Washington, D.C. 20528
48. Will comply with the requirements regarding Data Universal Numbering System (DUNS) numbers. If
recipients are authorized to make subawards under this award, they must first notify potential subrecipients
that no entity may receive or make a subaward to any entity unless the entity has provided a DUNS number.
49. For purposes of this award term, 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
hum //tedov dnb.corti/wchl'or:u.
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
foreign pub] is entity; or a domestic or foreign nonprofit organization; or a domestic or foreign for -
profit organization; or a federal agency, but only as a subrecipient 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 § 210 of the attachment to OMB
Circular A433, "Audits of States, Local Governments, and Non -Profit Organizations") 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.
Page 7 Initials _ _F
50. 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. § 276c and 18 U.S.C. § 874), and the Contract Work Hours and Safety
Standards Act (40 U.S.C. §§ 327-333), regarding labor standards for federally -assisted construction sub -
agreements.
51. Agrees that equipment acquired or obtained with grant funds:
a. 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 Irained 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.
b. is consistent with needs as identified in the State Homeland Security Strategy and will be deployed in
conformance with that Strategy.
52. Will comply with the financial and administrative requirements set forth in the current edition of the DHS
Financial Management Guide.
53. Agrees that all allocations and use of funds under this grant will be in accordance with the FY 2013
Homeland Security Grant Program Funding Opportunity Announcement, and the California Supplement to
the FY 2013 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 FY2013 Homeland Security Grant Program application. Further, use of FY 13 funds is limited to
those investments included in the California FYI Investment Justifications submitted to DHS/FEMA and
Cal OES and evaluated through the peer review process.
54, Will comply with Homeland Security Presidential Directive (HSPD)-5, Management of Domestic Incidents.
The adoption of the National Incident Management System (NIMS) is a requirement to receive federal
preparedness assistance, through grants, contracts, and other activities. The NIMS provides a consistent
nationwide template to enable all levels of government, tribal nations, nongovernmental organizations, and
private sector partners to work together to prevent, protect against, respond to, recover from, and mitigate
the effects of incidents, regardless of cause, size, location, or complexity.
55. Will comply with OMB Standard Form 424E Assurances — Non -construction Programs, whereby the
awarding agency may require subgrantees and subreciplents to certify to additional assurances.
56. 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 will provide protection against waste, fraud and abuse, by debarring or
suspending those persons deemed irresponsible in their dealings with the federal government. 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.
Page 8 Initia _
c. Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity
(federal, slate, or local) with commission of any of the offenses enumerated in paragraph (1)(b) of this
certification; and have not within athree-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.
57. Will 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 with federal funds.
58, 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 the 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.
59. Will obtain, via Cal OES, the prior approval from DHS on any use of 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.
60. 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.
61. Will comply with the requirements of the Drug -Free Workplace Act of 1988 (41 U.S.C, § 701 er seq.),
which requires that al I 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.
fit. Will comply with the requirements of thegovernment-wide award term which implements § 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 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 the award term
is provided at 2 CFR § 175.15.
63. W it l comply with the requirements of Executive Order 13166, Improving Access to Services for Persons
with Limited English Proficiency, and resulting agency guidance; national origin discrimination includes
discrimination on the basis of limited English proficiency (LEP). To ensure compliance with Title VI,
Page 9 Initials V
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 http://a.ww.lep.aov.
64. 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.
65. 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.
66. 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.
67. Will comply with the requirements of § 1306(c) of the National Flood Insurance Act, as amended, which
provides for benefit payments under the Standard Flood Insurance Policy for demolition or relocation of a
structure insured under the Act that is located along the shore of a lake or other body of 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.
68. Will comply with the requirements of the Flood Disaster Protection Act of 1973, as amended (42 U.S.C. §
4001 er 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.
69. 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 § 101(b)(3) 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 CFR Part 9.
70. 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,
Page 10 Initial
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.
71. Understands the reporting of subawards and executive compensation rules, including first tier subawards to
Cal OES,
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 § 1512(a)(2) of the American Recovery and Reinvestment Act of 2009,
b. Where and when to report: you roust report on each obligating action described in the following.
paragraphs to Cal OES. 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 OES. To determine if the public has access to
the compensation information, see the U.S. Security and Exchange Commission total compensation
filings at http://www.see.izov/aiiswers/e eco p tjl nl. Subgrantees must report subrecipient executive
total compensation to Cal OES 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
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, 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 § 13(a) or 15(d) of the Securities Exchange Act of
1934 (15 U.S.C. 78m(a), 78o(d)) or § 6I04 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
bttp://www.see.gmians%YeLste�x mkt 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 § 13(a) or 15(d) of the Securities Exchange Act of 1934 (15 U.S.C. 78m(a),
78o(d)) or § 6104 of the Internal Revenue Code of 1986.
72. Understands that failure to comply with any of the above assurances may result in suspension, termination,
or reduction of grant funds.
Page I I Init1
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: Z 4 u , " ' Y�
Printed Name of Authorized Agent: Alisa Finsten
Title: Director of Grants and Finance Date: September 27, 2013
Page 12
EXHIBIT F
FY 2013 HOMELAND SECURITY GRANT PROGRAM (HSGP)
FUNDING OPPORTUNITY ANNOUNCEMENT (FOA)
OVERVIEW INFORMATION
Issued By
U.S. Department of Homeland Security (DHS): Federal 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) 2013 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 9/11 Commission Act of 2007 (Public Law
110-53).
Appropriation Authority for Program
The Department of Homeland Security Appropriations Act, 2013 (Public Law 113-6)
FOA Number
DHS-13-G PD-067-000-01
Key Dates and Time
Application Start Date: 05/21/2013
Application Submission Deadline Date: 06/24/2013 at 11:59:59 p.m. EST
Anticipated Funding Selection Date: 08/02/2013
Anticipated Award Date: 09/01/13
Other Key Dates
Applying for FY 2013 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 June 17, 2013, by 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 June 24, 2013. 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
hffp://www.whitehouse.pov/omb/arants spot.
`a
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
Application Process
DHS makes all funding opportunities available through the common electronic
"storefront" Grants.gov, accessible on the Internet at http://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.orants.00v, 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
3
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?
❑ Yes ® No
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 M&A purposes associated with
the HSGP award.
A State's HSGP funds for M&A calculation purposes equals the sum total of its SHSP,
UASI, and, where applicable, OPSG awards. While the SAA may retain five percent
(5%) of this total for M&A, grantees must still ensure that all subgrantee award amounts
meet the mandatory minimum pass through requirements which are applicable to each
HSGP program. 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. Local jurisdictions must receive 80 percent (80%) of the State's total
SHSP and UASI awards, as well as 100 percent (100%) of the OPSG award amounts.
For each respective HSGP sub -program, the amount passed through to local
jurisdictions must reflect the applicable percentage of the State'a award prior to
withholding any M&A.
Indirect Costs
Indirect costs are allowable only if the applicant has an approved indirect cost rate with
the cognizant Federal agency. A copy of the approved rate (a fully executed,
agreement negotiated with the applicant's cognizant Federal agency) is required at the
time of application. Indirect costs will be evaluated as part of the application for Federal
funds to determine if allowable and reasonable.
4
FULL FOA
Funding Opportunity Description
Program Overview and Priorities
The FY 2013 HSGP is comprised of three interconnected grant programs:
State Homeland Security Program (SHSP): SHSP supports the
implementation of risk driven, capabilities -based State Homeland Security
Strategies to address capability targets set in Urban Area, State, and regional
Threat and Hazard Identification and Risk Assessments (THIRAs). The
capability levels are assessed in the State Preparedness Report (SPR) and
inform 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 (UASI): The UASI program addresses the
unique risk driven and capabilities -based planning, organization, equipment,
training, exercise needs, of high -threat, high -density Urban Areas based on the
THIRA-generated capability targets process and associated assessment efforts,
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.
All three programs are founded on risk -driven, capabilities -based strategic plans. These
strategic plans outline capability requirements and inform how available funding may be
applied to manage risk. For these plans to be effective, government officials and elected
leaders, working with the whole community, must consider how to sustain current
capability levels and address potential shortfalls to prevent, protect, mitigate, respond
to, and recover from disasters.
Program Objectives
The FY 2013 HSGP plays an important role in the implementation of the National
Preparedness System (NPS) by supporting the building, sustainment, and delivery of
core capabilities essential to achieving the National Preparedness Goal (NPG) of a
secure and resilient Nation. Delivering core capabilities requires the combined effort of
the whole community, rather than the exclusive effort of any single organization or level
of government. The FY 2013 HSGP's allowable costs support efforts to build and
sustain core capabilities across the Prevention, Protection, Mitigation, Response, and
Recovery mission areas by setting the following priorities and objectives:
5
Priority One: Implementation of the NPS and a Whole Community Approach to
Homeland Security and Emergency Management
• Objective One: Completion of the THIRA process in alignment with National
Preparedness System guidance to identify the resources required to deliver core
capabilities,
• Objective Two; Conduct risk driven, capabilities -based planning through whole
community councils and working groups.
• Objective Three: Organization — Typing of equipment, and credentialing and
training of personnel.
• Objective Four: Sustaining Capabilities.
Priority Two: Building and Sustaining Law Enforcement Terrorism Prevention
Capabilities
• Objective One: Nationwide Suspicious Activity Reporting Initiative (NSI)
Priority Three: Maturation and Enhancement of State and Major Urban Area
Fusion Centers
• Objective One: Baseline Capabilities.
• Objective Two; Analytic Capabilities.
The Department of Homeland Security Appropriations Act, 2013 (Public Law 113-6)
authorized additional funding allocated at the discretion of the Secretary of the
Department Homeland Security, to support appropriated programs in FY 2013. DHS
has augmented the SHSP and UASI grant programs in FY 2013 by allocating an
additional $163.4 million to support the following priority areas:
Priority Four: Innovation and Sustained Support for the National Campaign for
Preparedness
Objective One: Foster individual and community preparedness and resilience by
identifying needs; mobilizing partners; and creating innovative and effective
solutions that can be grown, sustained, and replicated.
Priority Five: Improve Immediate Emergency Victim Care at Mass Casualty
Events
• Objective One: Improve emergency care to victims of mass casualty events,
including mass shootings.
• Objective Two: Improve community first aid training.
Minimum funding amounts are not prescribed by the Department for these priorities;
however grantees are expected to support state, local, and regional efforts in achieving
the desired outcomes of one or more of these priorities.
For additional information on program priorities and objectives for FY 2013 HSGP, refer
to Appendix B — Program Specific Priorities.
0
II. Funding Information
Award Amounts, Important Dates, and Extensions
Available Funding for this FOA: $968,389,689
Projected Number of Awards: 56
Projected Award Start Date(s): 10/01/2013
Projected Award End Date(s): 09/30/2015
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 — FY 2013
Program Specific Allocations.
Period of Performance
Is an extension to the period of performance permitted?
® Yes ❑ No
Extensions to the period of performance will be considered only through formal requests
to FEMA with specific and compelling justifications as to why an extension is required.
Agencies should request extensions sparingly and expect extensions to be granted only
under exceptional circumstances. For additional information on the period of
performance extensions, refer to Information Bulletin (IB) 379 located at
Additional Funding Information
In FY 2013, the total amount of funds distributed under this grant program will be
$968,389,689. The specific information regarding funding allocations for the three
HSGP programs are detailed below:
SHSP Allocations: FY 2013 SHSP funds will be allocated based on three factors:
minimum amounts as legislatively mandated, DHS' risk methodology, and anticipated
effectiveness of proposed projects. The anticipated effectiveness is assessed based on
the applicant's description of how the proposed projects, as outlined in the IJ, align with
the State THIRA. Each State and territory will receive a minimum allocation under
SHSP using the thresholds established in the 9/11 Act and codified at 6 U.S.C. § 605.
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. For details on program -specific funding amounts, please refer to Appendix A —
FY 2013 Program Specific Allocations.
UASI Allocations: FY 2013 UASI funds will be allocated based on DHS' risk
methodology and anticipated effectiveness of proposed projects. The anticipated
effectiveness is assessed based on the applicant's description of how the proposed
projects, as outlined in the IJ, align with the Urban Area THIRA. Eligible candidates for
the FY 2013 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. For details on program -specific funding
amounts, please refer to Appendix A — FY 2013 Program Specific Allocations.
Law Enforcement Terrorism Prevention Activities (LETPA) Allocations: Pursuant to the
relevant provisions of the Homeland Security Act of 2002 (Public Law 107-296), as
amended (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 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 2013 OPSG funds will be allocated based on risk -based
prioritization using a U.S. Customs and Border Protection (CBP) Sector -specific border
risk methodology. Factors considered include, but are not limited to: threat,
vulnerability, miles of border, and other border -specific "law enforcement intelligence,"
as well as feasibility of FY 2013 Operation Orders to designated localities within the
United States border States and territories, For details on program -specific funding
amounts, please refer to Appendix A — FY 2013 Program Specific Allocations.
Eligible sub -recipients under the FY 2013 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 2013 OPSG funds on behalf of the county or similar
level of government and federally -recognized tribal governments. Eligible States and
territories with a county or similar level of government structure are authorized to accept
M
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 2013 OPSG. For details on program -
specific funding amounts, please refer to Appendix A — FY 2013 Program Specific
Allocations.
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. A letter of
intent (or equivalent) to distribute funds is not considered sufficient. Award sub -
recipients must receive their funds within 45 days from the date the funds are first made
available to the grantee so that they can initiate implementation of approved
investments. 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 2013. If any modifications to the existing agreement are
necessary to reflect new initiatives, States should contact their assigned FEMA Program
Analyst.
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 must pass through 100 percent (100%) of OPSG
allocations to eligible jurisdictions. 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.
10
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 2013 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 risk driven,
capabilities -based Investment Justifications (IJs) by the established due dates and
verification of alignment to Urban Area, State, and regional THIRAs; State
Preparedness Reports (SPRs); and national priorities. State and Urban Area Homeland
Security Strategies will also be examined for further context regarding current capability
levels and how Ws address potential shortfalls to prevent, protect, mitigate, respond to,
and recover from disasters.
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.
SAA and CBP/BP OPSG Program leads will ensure a coordinated approach to maintain
application and operations order pre -submission accountability.
11
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 2013 SHSP and UASI are non-competitive programs. For additional information on
FY 2013 SHSP and UASI allocations, refer to Appendix A— FY 2013 Program Specific
Allocations.
Funds for FY 2013 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 httn://www.dhs.aov/xlibrarv/assets/cfo-financial-management-policv-
manual.0f.
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.
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.
Future awards and fund drawdowns may be withheld if these reports are delinquent,
demonstrate lack of progress, or are insufficient in detail. The final FFR is due 90
12
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 SAAs
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 an amendment has been issued to close out a grant,
whichever comes first, grantees must submit a final FFR and final progress report
detailing all accomplishments and a qualitative summary of the impact of those
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. As part of the final report, grantees must
submit the Tangible Personal Property Report (SF-428), available at
to provide an inventory of all tangible
An inventory of all construction proje�
using the Real Property Status Repo
Programmatic Reporting Requirements
rsonal property acquired using NSGP funds.
that used HSGP funds has to be reported
Standard Form SF 429) available at
Performance Progress Report (SF-PPR). Awardees are responsible for providing
updated performance reports using the SF-PPR (OMB Control Number: 0970-0334)
on a biannual 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 must
complete the cover page of the SF-PPR and submit it 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 Cover'�20Sheet.pdf.
Grantees will be required to report on progress towards implementing plans
described in their application as well as progress made towards implementing
performance measures as described in the Program Specific Priorities located in
Appendix B. As part of the SF-PPR, grantees will be required to report on progress
towards implementing the following performance measures:
• Compliance of both States and Urban Areas in submitting an annual update to
their THIRA, aligned with Comprehensive Preparedness Guidance (CPG) 201
• Compliance of States submitting an annual capability assessment through the
SPR;
• The percentage of funding that supports maintenance and sustainment of the
National Preparedness Goal's core capabilities for each project described in the
IJ at the time of application;
• Progress made towards completing each project identified in the IJ at the time of
application;
• For all SHSP and UASI grantees, progress made toward making their
Emergency Operations Plans (EOPs) compliant with CPG 101 v.2 as reported
through the Plan Analysis Tool;
• Percentage of HSGP grant funded personnel credentialed or trained to support
a reported number of defined Tier I or Tier II NIMS-typed teams and personnel
needed to deliver one or more core capabilities as described in the Goal;
• Percentage of total HSGP purchased equipment that contributes to a Tier I or
Tier II NIMS-typed resource in support of enhancing or maintaining a core
capability as described in the Goal;
• Percentage of Tier I or Tier II NIMS-typed resources and core capabilities built
utilizing grant funds;
• For fusion centers, 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 the DHS Office of Intelligence and Analysis
(I&A) and reported to FEMA;
• Percentage of SHSP and UASI that have submitted a certification for their
agency indicating the number of personnel who have completed the applicable
Nationwide SAR Initiative;
• For SHSP and UASI grantees, establishment of a planning body and
demonstration that its membership and activities reflect the whole community. A
list of stakeholder agencies and other members should be included along with a
summary of planning activities during the report period.
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 (OMB Control Number: 1660-0131) to FEMA. States submitted the most
recent SPR in December 2012, which meets this requirement in order to receive
funding under the FY 2013 HSGP. States must ensure the SPRs reflect their THIRA
targets as well as activities and input from the full scope of emergency management
agency partners, such as the public health department, the health care sector, and
public safety agencies.
3. Biannual Strategy Implementation Reports (BSIR). In addition to the Quarterly
Reports grantees are responsible for completing and submitting BSIR reports. The
BSIR is due within 30 days after the end of the reporting period (July 30 for the
M,
reporting period of January 1 through June 30 (the summer BSIR report); and
January 30 for the reporting period of July 1 through December 31 (winter BSIR
report)). Updated obligations and expenditure information must be provided within
the BSIR to show progress made toward meeting strategic goals and objectives as
well as how expenditures support Planning, Organization, Equipment, Training and
Exercises (POETE). 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 the performance of capabilities against the level of capabilities
required. Guidance related to exercise evaluation and the implementation of
improvements is defined in the Homeland Security Exercise and Evaluation Program
(HSEEP) located at https://hseep.dhs.pov.
5. Monitoring. Grant recipients will be monitored on an annual and as needed basis
by FEMA staff, both programmatically and financially, to ensure that the project
goals, objectives, performance requirements, timelines, milestone completion,
budgets, and other related program criteria are being met.
Monitoring may be accomplished through either a desk -based review 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). GPD's Grant Operations Division Business
Office provides financial support and technical assistance. Additional guidance and
information can be obtained by contacting the FEMA Call Center at (866) 927-5646
or via e-mail to ASK-GMDOdhs.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/abouf/conta ct/regions. shtm.
15
3. GPD Environmental Planning and Historic Preservation (GPD-EHP). The FEMA
GPD-EHP Team provides guidance and information about the EHP review process
to grantees and sub -grantees. All inquiries and communications about GPD projects
or the EHP review process, including the submittal of EHP review materials, should
be sent to ppdehpinfo(a.fema.gov._EHP Technical Assistance, including the EHP
Screening Form, can be found at httPs://www.rkb.us/ehP docs.cfm.
Programmatic Information
1. 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
askcsid0,dhs.00v, Monday through Friday, 8:00 a.m. — 5:30 p.m. EST.
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 ndgrantsOfema.aov or (800) 865-4076.
Vill. Other Critical Information
Emergency Management Assistance Compact (EMAC) Membership
In support of the NPG, grantees must belong to, be located in, or act as a temporary
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. All
assets supported in part or entirely with FY 2013 HSGP funding by States, territories,
and Tribes must be readily deployable to support emergency or disaster operations per
existing EMAC agreements. In addition, funding may be used for the sustainment of
core capabilities that, while they may not be physically deployable, support national
response capabilities such as Geographic/Geospatial Information Systems (GIS),
interoperable communications systems, capabilities as defined under the mitigation
mission area of the NPG, and fusion centers.
National Preparedness
DHS coordinates with local, State, territory, tribal, and Federal governments as well as
the private and nonprofit sectors to facilitate an all-of-nation/whole community, risk
driven, and capabilities -based approach to preparedness. This approach is grounded in
the identification and assessment of risk through the THIi2A. Urban Areas and States
16
must maintain and update their THIRAs, and States their SPRs, annually to ensure that
the community's shared understanding of risk evolves to account for changes in the risk
landscape, including successful mitigation efforts, emerging threats, hazards, and
associated consequences. Information on the NIPS can be found in the National
Preparedness System Description (released Nov 2011), which is posted on the FEMA
website at http://www.fema.govinational-preparednesslnational-preparedness-system.
Additional details regarding the NIPS and how it's supported by the HSGP can be found
in Appendix B — Program Specific Priorities.
National Incident Management System (NIMS) Implementation
Prior to allocation of any Federal preparedness awards in FY 2013, grantees must
ensure and maintain adoption and implementation of NIMS.
Emergency management and incident response activities require carefully managed
resources (personnel, teams, facilities, equipment and/or supplies) to meet incident
needs. Utilization of the standardized resource management concepts such as typing,
inventorying, and cataloging promote a strong national mutual aid capability needed to
support delivery of core capabilities. Additional information on resource management
and national Tier I NIMS Resource Types can be found at
http://www. fame.go v/resource-management.
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 (FEROs) 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.Y/www.fema.qov/pdf/emergencv/nims/nims alert credguideline.0f
Environmental Planning and Historic Preservation (EHP) Compliance. As a
Federal agency, FEMA is required to consider the effects of its actions on the
environment and/or historic properties to ensure that all activities and programs funded
by the agency, including grants -funded projects, comply with Federal EHP regulations,
laws and Executive Orders as applicable. Grantees and sub -grantees proposing
projects that have the potential to impact the environment, including but not limited to
construction of communication towers, modification or renovation of existing buildings,
structures and facilities, or new construction including replacement of facilities, must
participate in the FEMA EHP review process. The EHP review process involves the
submission of a detailed project description that explains the goals and objectives of the
17
proposed project along with supporting documentation so that FEMA may determine
whether the proposed project has the potential to impact environmental resources
and/or historic properties. In some cases, FEMA is also required to consult with other
regulatory agencies and the public in order to complete the review process. The EHP
review process must be completed before funds are released to carry out the proposed
project.
SAFECOM Guidance for Emergency Communications Grants Compliance
Grantees (including sub -grantees) that are using HSGP funds to support emergency
communications activities should comply with the FY 2013 SAFECOM Guidance for
Emergency Communications Grants. SAFECOM Guidance is available at
http://www. safecomprogram.go v/grant/Defa ul t. aspx.
Emergency Operation Plans (EOPs)
Grantees must update their EOP at least once every two years. An evaluation matrix to
describe and calculate the percentage towards compliance with CPG 101 v.2 is
available at http://www.fema.gov/national-preparedness/plan.
Threat and Hazard Identification and Risk Assessment (THIRA)
Grantees must update their THIRA through the SPR by December 31, 2013. Further
details on the THIRA as it relates to HSGP requirements can be found in Appendix B —
Program Specific Priorities. For additional guidance on THIRA, please refer to CPG
201 and the supplemental toolkit, available at http://www.fema.gov/national-
preparedness/plan.
Citizen Corps Reporting
To demonstrate whole community engagement, Citizen Corps Councils and Community
Emergency Response Team (CERT) programs must register new programs or update
information on the website in order to be considered by a state or local jurisdiction for
inclusion in their Us when applying for HSGP funds. Program updates can be made at
http://www.readv.gov/citizen-corps. The Citizen Corps and CERT Core Capabilities
Tool (CCT) has been developed to help grantees develop Us that reference how Citizen
Corps and CERT activities contribute to and support core capabilities. The CCT is
available at http-//www readygov/citizen-corps-/citizen-corps-grant-information-and-
financial-resources.
IX. How to Apply
Application Instructions
Investment Justification (SHSP and UASQ. As part of the FY 2013 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 support sustainment of existing core capabilities or address shortfalls and
deficiencies in one or more core capabilities outlined in the NPG and as identified in
their most recent State Preparedness Report. The IJ must also describe engagement
18
with and/or impacts on the general and vulnerable populations, to include children, the
elderly, pregnant women, and individuals with disabilities such as those with access and
functional needs. Consistent with the purpose of the program, the IJ must demonstrate
alignment to Urban Area, State, and regional THIRAs, SPRs, national priorities, and
applicable guidance provided by FEMA.
Instructions for SHSP
Applicants may propose up to 10 projects within each Investment in their IJ to
describe the activities they would like to implement with SHSP funds
Of the proposed 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
Grantees investing in emergency communications should describe how activities
align to their Statewide Communication Interoperable Plan (SCIP). Grantees
should coordinate with their Statewide Interoperability Coordinator (SWIC) and/or
Statewide Interoperability Governance Body (SIGB) when developing an
emergency communications investment prior to submission to ensure the project
supports the statewide strategy to improve emergency communications and is
compatible and interoperable with surrounding systems
Instructions for UASI
• Urban Areas may propose up to 10 projects within each Investment in their IJ to
describe the activities they are planning to implement with UASI funds
• If applicable, of the proposed 10 Investments, Urban Areas are required to
propose at least one Investment in support of a designated 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.
• Grantees investing in emergency communications should describe how activities
align to the SCIP. Grantees should coordinate with the Statewide Interoperability
Coordinator (SWIC) and/or Statewide Interoperability Governance Body (SIGB)
when developing an emergency communications Investment prior to submission
to ensure the project supports the statewide strategy to improve emergency
communications and is compatible and interoperable with surrounding systems
For specific instructions on completing and submitting Investments, please refer to
Appendix D — FY 2013 HSGP Investment Justification Template and Instructions.
Operations Order and Detailed Budget Summary (OPSG). As part of the FY 2013
OPSG application process, each eligible local unit of government at the county level or
Federally -recognized tribal government must develop their Operations Order in
19
coordination with State and Federal law enforcement agencies, to include, but not
limited to CBP/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. 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.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..gmnts.gov, select "Apply for Grants,' enter the CFDA
number (97.067) or the FOA Number noted in the Overview Information section of the
FOA and then select "Download Application Package". 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" — http://www.grants.pov. Eligible
grantees must apply for funding through this portal, accessible on the Internet at
http://www. grants.gov.
The application must be started and submitted using Grants.gov after registration in
the System for Award Management (SAM) is confirmed. The on-line application
includes the following required form:
• Standard Form 424, Application for Federal Assistance
Applying for FY 2013 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
June 17, 2013. This involves submitting a complete Standard Form 424 to
www.grants.gov. 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
20
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 June 24, 2013.
The application must be completed and final submission made through the ND
Grants system located at httos://portal.fema.gov. If you need assistance registering
for the ND Grants system, please contact ndgrants(c�fema.gov 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 112-0-3C, Certifications Regarding Lobbying; Debarment,
Suspension and Other Responsibility Matters; and Drug -Free Workplace
Requirements
• For SHSP and UASI funds, an IJ Report (OMB Control Number: 1660-
0125/FEMA Form 089-1) from the Grants Reporting Tool (see Appendix D —
FY 2013 HSGP Investment Justification Template and Instructions)
• 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 (OMB
Control Number: 1660-0119/FEMA Form 089-16) from eligible local units of
government at the county level and federally -recognized tribal governments
within States and territories
• 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.grants.gov and for SAM. Organizations should verify
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. System for Award Management (SAM). The application process also involves an
updated and current SAM registration by the applicant at httn://www.sam.gov .
Please ensure that your organization's name, address, DUNS number and EIN are
21
up to date in SAM and that the DUNS number used In SAM is the same one used to
apply for all FEMA awards. Future payments will be contingent on the information
provided in SAM; therefore it is imperative that the information is correct.
Applicants will obtain FOA Overviews and Full Announcement information from the
Grants.gov website where the full FOA is 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.
22
Appendix A — FY 2013 Program Specific Allocations
FY 2013 SHSP Funding Allocations
Based upon ongoing intelligence analysis and threat assessments, DHS continues to
allocate SHSP, UASI, and OPSG funds based upon risk. DHS defines risk as:
.'potential for an unwanted outcome resulting from an incident, event, or occurrence, as
determined by its likelihood and the associated consequences" (see:
http://www.dhs.ciov/xlibrarv/assets/dhs-risk-lexicon-2010.pdf . For the purposes of
HSGP, risk is evaluated using an analytical model developed by DHS in conjunction
with other Federal entities 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. 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.
23
Appendix A — FY 2013 Program Specific Allocations
FY 2013 SHSP Allocations
Alabama
2013
AllocationState/Territory IFY FY 2013 i
Allocation
$3,459,364 Montana $3,459,364
Alaska
$3,459,364
Nebraska
$3,459,364
American Samoa
$790,712
Nevada
$3,459,364
Arizona
$3,972,417
New Hampshire
$3,459,364
Arkansas
$3,459,364
New Jersey
$7,264,241
California
$52,204,659
New Mexico
$3,459,364
Colorado
$3,459,364
New York
$66,732,460
Connecticut
$3,459,364
North Carolina
$4,773,429
Delaware
$3,459,364
North Dakota
$3,459,364
District of Columbia
$3,581,094
Northern Mariana Islands
$790,712
Florida
$9,574,272
Ohio
$6,693,676
Georgia
$5,918,784
Oklahoma
$3,459,364
Guam
$790,712
Oregon
$3,459,364
Hawaii
$3,459,364
Penns vania
$8,718,570
Idaho
$3,459,364
Puerto Rico
$3,459,364
Illinois
$14,222,962
Rhode Island
$3,459,364
Indiana
$3,459,364
South Carolina
$3,459,364
Iowa
$3,459,364
South Dakota
$3,459,364
Kansas
$3,459,364
Tennessee
$3,459,364
Kentucky
$3,459,364
Texas
$18,650,481
Louisiana
$3,459,364
U.S. Virgin Islands
$790,712
Maine
$3,459,364
Utah
$3,459,364
Maryland
$5,325,727
Vermont
$3,459,364
Massachusetts
$4,888,662
Virginia
$6,446,710
Michigan
$5,789,215
Washington
$5,646,176
Minnesota
$3,459,364
West Vir inia
$3,459,364
Mississippi
$3,459,364
Wisconsin
$3,459,364
Missouri
Total:
$3,459,364
Wyoming
$3,459.364
$354,644,123
24
Appendix A — FY 2013 Program Specific Allocations
FY 2013 UASI Allocations
Pursuant to provisions of the 9/11 Act, eligible 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. Detailed information on MSAs is publicly available from the
United States Census Bureau at
http://www. cen sus. ooy/population/www/metroarea s/metrodef. html.
The jurisdictions identified in Appendix A — FY 2013 Program Specific Allocations
represent the candidate Urban Areas eligible to apply for funding. In each of these
Urban Areas a 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.
25
Appendix A — FY 2013 Program Specific Allocations
FY 2013 UASI Allocations
Arizona
Urban
Phoenix Area
$E7346
California
Anaheim/Santa Ana Area
$
Ba Area
$2
Los An eles/Lo Beach Area
$6
Sacramento Area
$
San Diego Area
$1
Colorado
Denver Area
$3 000 000
District of Columbia
National Capital Region
$51 839 027
Florida
Miami/Fort Lauderdale Area
$5 500,000
Tampa Area
$3 000 000
Georgia
Atlanta Area
$5 500 000
Illinois
Chicago Area
$67 727 836
Ma and
Baltimore Area
$5 500 000
Massachusetts
Boston Area
$17 564 687
Michigan
Detroit Area
$5 500 000
Minnesota
Twin Cities Area
$5 500 000
Missouri
St. Louis Area
$3 000 000
New Jerse
City/Newark Area
$21 663 035
_Jersey
New York
New York City Area
$174 290,662
North Carolina
Charlotte Area
$3 000 000
Pennsylvania
Philadelphia Area
$17 567 086
Pittsbur h Area
$3 000 000
Texas
Dallas/Fort Worth/Arlin ton Area
$14 622 684
Houston Area
$23 936 523
Washin ton
Total:
Seattle Area
$5 500 000
$558,745,566
26
Appendix A — FY 2013 Program Specific Allocations
FY 2013 SHSP and UASI LETPA Minimum
State/Territory
Alabama
Funded Urban Area(s)
Allocation
Allocation
Allocation
$3,459,3641
Total
Ailoca
State
$3,459,364
$864,841
Alaska
■ ■ ■ ■ ■ ■
■ ■ ■
■ ■ ■F$52,204,659
$3,459,364
$864,841
American Samoa
■ ■ ■ ■ ■ ■
■ •
■ •
$790,712
$197,678
Arizona
Phoenix Area
$5,600,000
$5,500,000
$9,472.417
$2,368,104
Arkansas
$3,459.364
$864,841
Califomla
Anaheim/Santa Ana Area
$3.000,000
$116,034,02B
$168,238,685
$42.059,671
Ba Area
$27,252,169
Los An eles/Lon Beach Area
$65,908,396
Sacramento Area
$3,000,000
San DI Area
$18,873,461
Colorado
Denver Area
$3,000,000
$3,000,000
$3,459,364
$6,459,364
$1,614,841
Connecticut
Or a Is E 0$3,459,364
$3,459,364
$864.841
Delaware
$3,459,364
$3,459,364
$864,841
District of Columbia
National Capital Region
$51,839,027
$51,839,027
$3.581,094
$55,420.121
$13,855,030
Florida
Miaml/Fort Lauderdale Area
$5,500,000
$8.500,000
$9,574,272
$18,074,272
$4,518.568
Tamps Area
$3,000,000
Georgia
Ifidlanta Area
$5.500.000
$5,500.000
$5,918.7841
$11,418.784
$2.854,698
Guam
■ ■. ■ • ■ ■
■ ■ ■
■ ■ ■
$790.712
$790.712
$197,678
Hawali
■ ■ ■ ■ ■ ■
■ ■
■ ■
$3,459.364
$3,459,364
$864.841
Idaho
$3,459,364
$3,459,364
$864.841
Illinois
Chicago Area
$67,727,836
$67,727,836
$14,222,962
$81,950,798
$20.487.700
Indiana
Indianapolis Area
■ ■
$3.459,364
$3.459,364
$864,841
Iowa
■ ■ ■ ■ ■ ■
■ ■ •
■ ■ ■
$3,459,364
$3,459.364
$864.841
Kansas
$3,459,364
$3,459,364
$864,841
Kentucky
$3,459,364
$3,459,364
$864.841
Louisiana
New Orleans Area
1 $3,459,364
$3.459,3641
$864,841
Maine
■ ■ ■ • • •
■ ■
■ ■
$3,459,364
$3,459.364
$864,841
Maryland
Baltimore Area
$5,600,000
$5,500,000
$6,325.727
$10,825,727
$2,706,432
Massachusetts
Boston Area
$17,564,687
$17.564,687
$4,888,662
$22,453.349
$5,613,337
Michigan
Detrolt Area
$5,500.000
$5,500,000
$6.789,215
$11,289,215
$2,822,304
Minnesota
Twin Cities Area
$5,500,000
$5,500,000
$3,459,364
$8,959,364
$2,239,841
Mississippi
11 Is 0$3,459,364
$3.459.364
$864,841
Missouri
St. Louis Area
$3,000,000
$3,000.000
$3,459,364
$6,459,364
$1,614,841
Montana
■ ■ IN ■ ■ ■
■ IN or
■ ■ ■
$3.459,364
$3,459,364
$864,841
Nebraska
Im ■ ■ ■ ■ ■
1 ■ ■
1 ■ •
$3.469,364
$3,459.364
$864,841
Nevada
Las Vegas Area
$3,459,364
$3,459.364
$864.841
New Hampshire
$3,459,364
$3,469,364
$864,841
New Jersey
Jersey Clly/Newark Area
$21,663,035
$21,663,035
$7,264,241
$28,927,276
$7,231,819
New Mexico
■ ■ ■ ■ ■ ■
■ ■ ■
■ ■ ■
$3,459,364
$3,459,364
$864,841
New York
New York City Area
$174,290.662
$174,290,662
$66,732.460
$241,023,122
$60,265,781
27
Appendix A — FY 2013 Program Specific Allocations
FY 2013 SHSP and UASI LETPA Minimum (continued)
Statefferritory Funded Urban Area(sl Allocation Allocation
North Carolina Charlotte Area S3 000,000 $3,000,00D
Allocation Allocation by LETPA
State
$4,T73.429 $7,773,429 $1,943,357
North Dakota
■ ■ ■ 0 ■ ■
■ ■ 01
■ ■ ■
$3.459,3641
$3,459,364
$864,841
Northern Marian Islands
■ • • • to •
• •
• •
$790,7121
S790,712
$197,678
ONO
$6,693,6761
$6.693,676
$1,673,419
Oklahoma
$3,459.3
$3,459,364
$864.841
Oregon
Portland Area
■ ■
$3,459,364
$3,459,364
$884,841
Pennsylvania
Philadel is Area
$17,567,086
526567086
$8718570
$29.285,656
$7,321,414
Pittsburgh Area
$3,000.000
Puerto Rico
$3.459,3641
$3,459,364
$864,841
Rhode Island
■ ■ ■ ■ ■ ■
■ ■ ■
■ ■ ■
$3,459,3641
$3,459,364
$864.841
South Carolina
■ ■ • • • •
• •P
• •
$3,459,3641
$3,459,364
$864 841
South Dakota
$3459364
$3459364
$664,841
Tennessee
$3.450,364
$3,459,364
$864,841
Texas
DaUMWorth/Aflingtm
574,622,684S38559207
$18650,451
$57,209,688
$14,302,422
HouS23
93 , 523US.
Virgin Islands$790,71
3790,712
$197,678
Utah
$3,459,364
$3,459,364
$864,841Vermont
■ ■ ■
■ ■ ■
$3,459,364
$3,459,364
$864,841
Virginia
■
• •
• •
$6,446,710
$6.446,710
$1,611.678
Washington
SeaSS
500 OOD
$5500,000
$5,646,176
$11,146,176
S2,766,544
West Virginia
$3.459,364
$3,459,364
$864,841
Wisconsin
■ ■ ■ ■ ■ ■
■ ■
■ ■
$3,459,364
S3,459,364
$864,841
Wyoming ■ ■ ■ ■ ■ at
• • ■
• • ■
$3,459.364
$3,459,364
$864,841
28
Appendix A — FY 2013 Program Specific Allocations
FY 2013 OPSG Eli able States and Territories
Alabama
States and Territories
Massachusetts
Pennsylvania
Alaska
Michigan
Rhode Island
Arizona
Minnesota
South Carolina
California
Mississippi
Texas
Connecticut
Montana
Vermont
Delaware
New Hampshire
Virginia
Florida
New Jersey
Washin ton
Georgia
New Me)dco
Wisconsin
Hawaii
New York
Puerto Rico
Idaho
North Carolina
U.S. Virgin Islands
Louisiana
North Dakota
American Samoa
Maine
Ohio
Guam
Maryland
I Oregon
Northern Mariana Islands
Note: Not all applicants are guaranteed to receive funding under the FY 2013 OPSG.
29
Appendix A — FY 2013 Program Specific Allocations
Appendix B — Program Specific Priorities
The Alignment of HSGP to the National Preparedness System (NPS)
The NPS is the instrument the Nation will employ to build, sustain, and deliver core
capabilities in order to achieve the National Preparedness Goal (Goal). The Goal is "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:' The objective of the NPS is to facilitate an integrated, all -of -
Nation, risk informed, capabilities -based approach to preparedness. The guidance,
programs, processes, and systems that support each component of the NPS enable a
collaborative, whole community approach to national preparedness that engages
individuals, families, communities, private and nonprofit sectors, faith -based
organizations, and all levels of government(http://www.fema.00v/whole-communitv).
National preparedness is a shared responsibility of the whole community. Every
member must be given the opportunity to contribute.
FY 2013 HSGP plays an important role in the implementation of the NPS by supporting
the building, sustainment, and delivery of core capabilities. Core capabilities are
essential for the execution of critical tasks for each of the five mission areas outlined in
the Goal. Delivering core capabilities requires the combined effort of the whole
community, rather than the exclusive effort of any single organization or level of
government. The HSGP allowable costs support efforts to build and sustain core
capabilities across the Prevention, Protection, Mitigation, Response, and Recovery
mission areas.
Particular emphasis will be placed on capabilities that address the greatest risks to the
security and resilience of the United States, and the greatest risks along the Nation's
borders. Funding will support deployable assets that can be utilized anywhere in the
Nation through automatic assistance and mutual aid agreements, including but not
limited to the EMAC.
Using the core capabilities, FY 2013 HSGP supports the achievement of the NPG by:
• Preventing a threatened or an actual act of terrorism.
• Protecting our citizens, residents, visitors, and assets against the greatest threats
and hazards.
• 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.
30
Appendix B — Program Specific Priorities
The core capabilities contained in the Goal are highly interdependent and require us to
use existing preparedness networks and activities, improve training and exercise
programs, promote innovation, and ensure that the appropriate administrative, finance,
and logistics systems are in place.
To support building, sustaining, and delivering these core capabilities grantees will use
the components of the NPS. The components of the NPS are: Identifying and
Assessing Risk; Estimating Capability Requirements; Building and Sustaining
Capabilities; Planning to Deliver Capabilities; Validating Capabilities; and Reviewing
and Updating. For more information on each component, read the National
Preparedness System Description available at htto://www.fema.aov/national-
preparedness/national-preparedness-system.
Building and Sustaining Core Capabilities
FY 2013 HSGP focuses on the development and sustainment of core capabilities as
outlined in the Goal. Particular emphasis will be placed on building and sustaining
capabilities that address high consequence events that pose the greatest risk to the
security and resilience of the United States and that can be utilized nationwide. HSGP
uses a comprehensive process for assessing regional and national risks and identifying
capability needs in order to prioritize and invest in key deployable assets, as well as
those elements that support deployment.
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 capabilities are the core capabilities identified in the
Goal.
Working together, individuals, government officials, and elected leaders can develop
plans to allocate resources effectively to reduce risk. For these plans to be effective,
those involved must consider methods to reduce and manage risk as well as how to
sustain appropriate levels of capability and address potential shortfalls in order to
achieve the Goal.
Achieving the Goal will require participation and resources from the whole community.
Not all capabilities can be addressed in a given local, State, or Federal funding cycle,
nor can funding be expected to flow from any one source. Officials must prioritize the
achievement of certain capabilities to most effectively ensure their security and
resilience while understanding the effects of not addressing other identified needs.
Building and sustaining capabilities will include a combination of organizational
resources, equipment, training, and education. Consideration must also be given to
finding, connecting to, and strengthening community resources by using the expertise
and capacity of individuals, communities, private and nonprofit sectors, faith -based
organizations, and all levels of government. Jurisdictions must also use mutual aid
agreements to fill needs and work with partners to develop regional capabilities.
Ultimately, a jurisdiction may need to rely on other levels of government or partners to
31
Appendix B — Program Specific Priorities
address a particular need. This expectation should be communicated well before an
event occurs when the capabilities are most urgently needed.
As these issues are considered in light of the eligible activities, the results of an
effective risk assessment must inform jurisdictions' preparedness, strategic and
business planning efforts. This risk picture will provide an understanding of potential
consequences from the range of threats and hazards a community faces daily as well
as those infrequent events that would stress the core capabilities of a jurisdiction.
Coupled with the desired outcomes and capability targets established by a community,
this combined perspective is crucial to enabling all levels of government to effectively
estimate the level of capabilities required to manage its greatest risks.
Files and information on the NIPS can be found at http://www.fema.pov/naUonal-
preparedness/national-preparedness-system.
THIRA and Capability Estimation Process
Knowledge of risks enables a community to make informed decisions about how to
manage risk and develop needed capabilities. Risk is commonly thought of as a product
of a threat or hazard, the vulnerability of a community or facility to a threat or hazard,
and the resulting consequences that may impact the community or facility. By
considering these elements of risk, which often change, as well as the impact of
successful mitigation initiatives, as outlined in the National Preparedness System
(http://www.fema.gov/national-preparedness-system), a jurisdiction can understand how
to best manage or reduce its exposure to risk.
Federal investments in local, State, territory, and tribal preparedness capabilities have
contributed to the development of a significant national -level capacity to prevent, protect
against, mitigate, respond to, and recover from emergencies and catastrophic incidents.
The HSGP Program prescribes national capability priorities in order to prioritize and
invest in key deployable capabilities.
A THIRA provides a comprehensive approach for identifying and assessing risks and
associated impacts. It expands on existing local, tribal, territorial, and State Hazard
Identification and Risk Assessments (HIRAs) and other risk methodologies by
broadening the factors considered in the process, incorporating the whole community
throughout the entire process, and by accounting for important community -specific
characteristics. A guide on how to complete a THIRA is available at
http://www.fema.gov/national-preparedness/plan.
A jurisdiction should apply the results of their THIRA through a capability estimation
process to determine the resources needed to deliver core capabilities to the targets set
in their THIRAs, identify what resources they currently have to meet those needs, and
determine where they currently have adequate resources and surpluses that may need
to be maintained or shortfalls that may need to be filled. Jurisdictions should examine
current capability levels through the lens of real -world incidents, assessments, and
exercises to determine whether changes to current capability levels are warranted. This
capability estimation process should consider identifying, connecting to, and
32
Appendix B — Program Specific Priorities
strengthening community resources by using the expertise and capability of the whole
community; individuals, communities, the private and nonprofit sectors, faith -based
organizations, and all levels of government.
The outputs of the capability estimation process serve as the foundation for jurisdictions
to work with whole community partners to develop strategies to reduce resource
requirements through mitigation and protection activities, sustain current strengths in
investments where capabilities have already been built, obtain required resources from
whole community partners or borrow resources through mutual aid to bridge shortfalls,
and build new capabilities through grants and investments. A jurisdiction should
consider all resources available to it, including local and State appropriations, bond
initiatives, mutual aid, and Federal grants, as appropriate, to support building and
sustaining capabilities.
Data from the State Hazard Mitigation Plan, Fusions Centers and other sources of
threat and risk data should be considered when developing a THIRA, conducting a
capability estimation process, and developing a strategic plan. Ultimately, a jurisdiction
may find that it can address capability needs through existing or new mutual aid
agreements with neighboring communities or fill shortfalls through the private sector or
other means in order to build and sustain capabilities.
Risk -informed planning, such as that based on the THIRA output is consistent with and
expands on nationally accepted emergency management standards, which have long
required using risk assessments, such as hazard mitigation plans, as the basis for
planning across the mission areas, A continuous cycle of identifying and assessing risk,
estimating capabilities, implementing strategic plans, and incorporating the results into
future THIRAs allows a jurisdiction to identify and understand changes to its risk
landscape. It also provides the means to communicate and educate individuals,
families, businesses, organizations, community leaders, and senior officials on the risks
facing a community and the required capabilities to address them. Grantees must also
ensure that regional plans (e.g., emergency operations plans, local/regional/state
catastrophic plans, etc.) incorporate the desired outcomes and capability targets from
the THIRA in order to address the roles, responsibilities, strategies and procedures
necessary to deliver the core capabilities, and achieve secure and resilient
communities.
The primary grantee of HSGP funds is responsible for sharing the results from their
State and Urban Area's THIRA, which informs and supports the SPR, with their FEMA
Federal Preparedness Coordinator (FPC).
Updates to the THIRA guidance are under development based on feedback and
experiences gained from the 2012 THIRA submittals. An updated version of the
guidance, reflecting that feedback, and guidance on the capability estimation process,
will be available in the near future, to guide development of 2013 THIRAs.
33
Appendix B — Program Specific Priorities
Strengthening Governance Integration
DHS preparedness grant programs are intended to support the core capabilities across
the five mission areas of Prevention, Protection, Mitigation, Response and Recovery
that are necessary to prepare for incidents that pose the greatest risk to the Nation's
security. Each program reflects the Department's intent to build and sustain an
integrated network of national capabilities across all levels of government and the whole
community. Disparate governance structures must be integrated and refined to ensure
resources are targeted to support the most critical needs of a community based on risk
driven, capabilities -based planning. Strong and inclusive governance systems better
ensure that disparate funding streams are coordinated and applied for maximum
impact.
DHS requires that all governance processes that guide the allocation of preparedness
grant funds adhere to the following guiding principles:
• Prioritization of Investments — resources must be allocated to address the most
critical capability needs.
• Transparency— stakeholders must be provided visibility on how preparedness
grant funds are allocated and distributed, and for what purpose.
• Substantive Local Involvement — the tools and processes that are used to inform
the critical priorities which DHS grants support must include local government
representatives. At the state and regional level, local risk assessments must be
included in the overarching analysis to ensure that all threats and hazards are
accounted for.
• Flexibility with Accountability— recognition of unique preparedness gaps at the
local level, as well as maintaining and sustaining existing capabilities.
• Support of Regional Coordination — recognition of interlintra-state partnerships
and dependencies at the state and regional level, and within metropolitan areas
on Program Priorities
Priority One: Implementation of the National Preparedness System through a
whole community approach to achieve a secure and resilient nation
DHS preparedness grant programs offer resources for State, local, tribal, and regional
partners to support approaches described in documents such as the NPG, the NPS
description, and "A Whole Community Approach to Emergency Management:
Principles, Themes, and Pathways for Action" to include development and sustainment
of critical capabilities needed to close shortfalls, increasing national preparedness.
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
34
Appendix B — Program Specific Priorities
and when an incident occurs (for details see
http://www. fema. oo v/about/wholecommunity. shtm).
Objective One: Update of Threat and Hazard Identification and Risk
Assessments (THIRAs) THIRA processes at all levels of government establish a
defensible and rational foundation to guide preparedness activities and investments.
In order to qualify for HSGP funding, all grantees shall develop and maintain a
THIRA, which informs and supports the SPR.
An effective THIRA includes clearly defined desired outcomes and sets capability
targets for relevant core capabilities. Capability targets should be based on analysis
of the consequences of the threats and hazards of greatest concern with
consideration of empirical data to the maximum degree possible. THIRA findings and
subsequent SPR results should be incorporated into each applicant's preparedness
strategy, planning initiatives, and Us.
An integrated, whole community THIRA is envisioned in the NIPS in which
jurisdictions' respective THIRAs can inform one another using a common framework.
FEMA will continue to refine the THIRA process and toolkits.
Measurement Methods
• Percentage of THIRAs and SPRs that meet current DHS guidance.
Reporting
States and Urban Areas are required to submit an annual update to their
THIRA. States will submit their THIRA update to their respective FEMA
Region as part of their SPR. Urban Areas will submit their THIRA update
through their SAA to their respective FEMA Region. THIRA submissions shall
be in alignment with CPG 201. State and Urban Area submissions of the
updated THIRA and State submissions of the SPR are due no later than
December 31, 2013. The State should coordinate with each eligible Urban
Area to ensure that UASI THIRA submission occurs significantly in advance of
this deadline as the State must include the Urban Area's input when
conducting the statewide SPR assessment. The Urban Area should
coordinate internally to ensure that its submission represents all jurisdictions
within the UASI program.
Objective Two: Planning — including strategic planning for sustaining and
building capabilities and planning to deliver capabilities.
he Comprehensive Preparedness Guide (CPG)101 v.2, helps planners at all levels
of government in their efforts to develop and maintain viable all -hazards, all -threats
Emergency Operations Plans (EOPs) by engaging the whole community in thinking
through the life cycle of a potential crisis, determining required capabilities that
support the NPG, and establishing a framework for roles and responsibilities. All
35
Appendix B — Program Specific Priorities
SHSP and UASI grantees shall maintain, or revise as necessary, jurisdiction wide
emergency operations plans consistent with the CPG 101 v.2 which serves as the
foundation for State, local, tribal, and territory emergency planning. CPG 101 v.2 can
be found at http://www.fema.gov/national-preparedness/plan. Grantees must update
their EOP at least once every two years. A Plan Analysis Tool to describe progress
towards aligning with CPG 101 v.2 is published and available at
http://www. fema. gov/national-preparedness/plan.
In building future EOPs, planners should anticipate the increasing complexity and
decreasing predictability of the future operating environment. These efforts should
actively use strategic foresight, including the multiple driving forces of change and the
associated evolving strategic needs shown in FEMA's Crisis Response and Disaster
Resilience 2030 Report. The Report can be found at http.-1Avww.fema.gov/strate
planninq-analysis-spa-division/strategic-foresight-initiative.
Measurement Method
• All SHSP and UASI grantees will report progress toward aligning their EOP
with CPG 101 v.2 by completing the Plan Analysis Tool CPG 101 v.2 available
at http://www.fema.gov/plan.
Reporting
SHSP and UASI grantees are required to submit a Plan Analysis Tool annually
that describes the percentage completion of the CPG 101 v.2 compliance.
UASI grantees that do not maintain a unified Urban Area EOP are required to
have each jurisdiction within the Urban Area submit a Plan and Analysis
Support Tool annually. Grantees should refer to IB 388a at
http://www.fema.govllibrarv/viewRecord.do?id=6440 for additional guidance
on this reporting requirement.
The most recent Plan Analysis Tool must be submitted as part of the summer
reporting period as an attachment in ND Grants throughout the period of
performance of the award.
Objective Three: Organization - Typing of equipment or teams and
credentialing of personnel (to include training) in alignment with the National
Incident Management System (NIMS). A well -executed mission requires carefully
managed resources (personnel, teams, facilities, equipment, and/or supplies) from
the Whole Community to meet identified requirements. Utilization of standardized
resource management concepts such as typing, inventorying, organizing, and
tracking resources will facilitate the identification, dispatch, deployment, and recovery
of these resources.
36
Appendix B - Program Specific Priorities
Measurement Method
• Percentage of total HSGP purchased equipment that contributes to a NIMS-
typed resource in support of enhancing or maintaining a core capability;
• Percentage of HSGP grant funded personnel credentialed or trained in a given
capability to support a reported number of defined NIMS-typed positions or
teams; and
• Percentage of defined NIMS-typed resources and core capabilities built
utilizing grant funds.
Reporting
All SHSP and UASI grantees will report all HSGP-funded equipment or
credentialing and training that was purchased to support NIMS-typed
resources along with the NIMS-typed resource it supports. This data must be
provided as part of the SF-PPR using the Grant -Funded Typed Resource
Report available at http://www.fema.gov/librarv/viewRecord.do?id=6432. The
resources should be reported only after equipment is delivered or after
credentialing/training has occurred and the corresponding grant funds have
been expended. The Tool should be submitted biannually as an attachment to
the performance report in the ND Grants system.
Grantees must identify the specific resources, capability supported, and
whether it is a Tier I or Tier II NIMS-typed resource, the cost, and whether the
resource sustains current capabilities or adds new capabilities. The
description and listing of Tier I NIMS-typed resources can be found in
individual documents under Resource Typing Definitions located at
http://www.fema.00v/resource-management. Each NIMS-typed resource
should list equipment and training on separate lines and include the total
amount of grant dollars expended for equipment or training that supports the
NIMS-typed resources. The equipment purchased column should include all
equipment purchased with grant funds to support that NIMS-typed resource. If
grant funds have supported both equipment and training for the same NIMS-
typed resource, please make a note of this in the comment section so that
NIMS-typed resources are not double counted.
All grantees will report the total number of defined NIMS-typed resources and
core capabilities built utilizing the resources of this grant as part of the SF-
PPR.
Grantees shall submit the Grant -Funded Typed Resource Report via ND
Grants during the summer and winter reporting periods.
Objective Four. Sustaining Capabilities.
In this time of limited resources, HSGP grantees should ensure that grant funding is
utilized to sustain critical 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 and critically needed core capabilities. If new core capabilities are being
37
Appendix B — Program Specific Priorities
sought utilizing HSGP funding, grantees must ensure that the capabilities are
deployable outside of their community to support regional and national efforts or
otherwise shareable with regional partners. All capabilities being built or sustained
must have a clear linkage to one or more core capabilities in the NPG.
Measurement Method
• Percentage of funding, on a project -by -project basis that supports the
maintenance and 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 BSIR. HSGP grantees will, on a project -by -project
basis, check one of the following:
Sustaining or maintaining a capability acquired with Federal
homeland security funding;
Sustaining or maintaining a capability acquired without Federal
homeland security funding; or
Developing or acquiring a new core capability
Priority Two: Building and Sustaining Law Enforcement Terrorism Prevention
Capabilities
The threat of violent extremism in America is not new. Throughout history, misguided
groups —including international and domestic terrorist organizations, neo-Nazis and
anti-Semitic hate groups — have engaged in horrific violence to kill innocent civilians and
threaten free and open societies. Most recently al-Qa'ida and its affiliates have
attempted to recruit and radicalize people to terrorism here in the United States, as we
have seen in several plots and attacks in recent years. The President's plan
"Empowering Local Partners to Prevent Violent Extremism in the United States" t
outlines how the Federal government will support and help empower American
Communities and their local partners to prevent violent extremism.
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. 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
' httpJ/www.whitehouse.gov/the-press-office/2011/08/03/empowering-local-partners-prevent-violent-extremism-
united-states
38
Appendix B — Program Specific Priorities
applicable Privacy/Civil Rights Civil Liberties (P/CRCL) protections. Such activities
include:
• Maturation and enhancement of designated 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 Suspicious Activity Reporting
(SAR) Initiative (NSI), including training for front line personnel on identifying and
reporting suspicious activities;
• Implementation of the "If You See Something, Say SomethingTA°" 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
extremists; 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:
• Develop and enhance law enforcement measures associated with preventing
and/ or responding to active shooter or complex mass casualty attacks including
training, exercises, and operational overtime to address evolving threat related
circumstances; and
• Increased physical security, including through law enforcement personnel and
other protective measures, by implementing preventive and protective measures
in support of at -risk nonprofit organizations.
Objective One: NSI Training. All personnel funded with SHSP and UASI funding
and engaged in the NSI will complete the Nationwide Suspicious Activity Reporting
Program Management Office's on-line SAR training for front line officers.
Measurement Method
• Any agency (grantees and sub grantees) that receives SHSP and UASI
funding will be required to submit a certification for their agency indicating the
number of personnel who have completed the applicable Nationwide SAR
Initiative trainings.
Reporting
Initial report: NSI SAR trainings for law enforcement, fire service/EMS,
emergency management, and 9-1-1 call taker/dispatcher personnel must be
completed online at htta'Ansi.ncirc.00v/trainino online.aspx. The NSI Program
Management Office (PMO) will capture reporting figures through the online
training program no less than on an annual basis. Agencies unable to
participate and/or complete the training online may request that a training DVD
be mailed to them at no cost. Requests can be submitted to the NSI PMO at
39
Appendix B — Program Specific Priorities
nsiinformation0ncirc.aov. All such electronic requests must be accompanied
by the completed form located at http://nsi.ncirc.aov/sartrainina/defau/t.aspx to
show the projected number of trainees. Agencies will be required to report to
the NSI PMO the projected number of personnel to be trained prior to
receiving the DVD.
• Subsequent reports: All new hires within the applicable agency are required to
complete the training within their first year of employment. All previously
trained personnel must complete refresher training every other year, or earlier
if necessary.
Priority Three: Maturation and Enhancement of State and Major Urban Area
Fusion Centers
DHS preparedness grants continue to support designated State and major Urban Area
fusion centers (see http://www.dhs.pov/fusion-center-locations-and-contact-information)
and the maturation of the Information Sharing Environment (ISE). Fusion centers, a
critical component of our Nation's distributed homeland security and counterterrorism
architecture, provide grassroots intelligence and analytic capabilities within the state
and local environment. Fusion centers contribute to the ISE through their role in
receiving threat information from the Federal government; analyzing that information in
the context of their local environment; disseminating that information to local agencies;
and gathering tips, leads, and SAR initiatives from local agencies and the public.
Enhancing and sustaining these capabilities across the National Network of Fusion
Centers (National Network) helps to empower law enforcement, fire service/emergency
medical services (EMS), emergency management, public health and other public safety
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 for the Federal government to receive
information from SLTT partners, which helps create a more complete threat picture at
the National level. Participating in the Nationwide SAR Initiative enables fusion centers
to receive and analyze suspicious activity reporting from frontline public safety
personnel, the private sector, and the public, and ensure the sharing of SAR with the
Federal Bureau of Investigation -led Joint Terrorism Task Forces for further
investigation. The 2010 National Security Strategy identifies fusion centers as critical in
enlisting all of our intelligence, law enforcement, fire service, emergency management,
and homeland security capabilities to prevent acts of terrorism on American soil.
In support of this strategic vision, the Department of Homeland Security's Office of
Intelligence & Analysis (DHS I&A) is requiring designated 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 detailed in the
Global Justice Information Sharing Initiative's (Global) Baseline Capabilities for State
and Major Urban Area Fusion Centers. The results from this assessment, to be
conducted in the fall of 2013, will help fusion centers identify gaps in their COCs and
ECs and focus Federal investment so resources are targeted to mitigate any identified
capability gaps and shortfalls and sustain existing capabilities. This will enhance fusion
centers' capacity to improve the nation's ability to safeguard the homeland and prevent
40
Appendix B - Program Specific Priorities
terrorist and criminal activity, while enabling local officials to better protect their
communities.
As maturation of the National Network continues to be a high priority in FY 2013, DHS is
requiring that all fusion center related funding requests be consolidated into a single (1)
Investment for States or Urban Areas in which designated fusion centers reside, and
this Investment must address funding support for the designated fusion center. The
single Investment provides state and urban areas a means to centrally manage and
report on fusion center related activities. Grantees must coordinate with the fusion
center when developing a fusion center Investment prior to submission, and the
Investment must directly align to and reference any capability gaps and shortfalls
identified during the center's individual 2012 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
designated State or major Urban Area fusion center(s).
Background: The Baseline Capabilities for State and Major Urban Area Fusion Centers
(September 2008) (http://www.dhs.aov/national-network-fusion-centers-fact-sheet)
identifies the baseline capabilities for fusion centers and the operational standards
necessary to achieve each of the capabilities across the National Network. Federal
partners, in coordination with fusion center directors, prioritized four COCs, which reflect
the operational priorities of the National Network, and four ECs, which provide a
foundation for the fusion process. Enhancing and sustaining these capabilities across
the National Network creates a national capacity to gather, process, analyze, and share
information in support of efforts to protect the country. During the annual fusion center
assessment, fusion centers are assessed on their ability to execute the COCs and ECs.
Objective One: Baseline Capabilities. Fusion centers leveraging SHSP and/or
UASI grant funds must prioritize the allocation of these grant funds to address any
capability gaps and shortfalls identified as a result of the 2012 Fusion Center
Assessment and 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 and shortfalls in analytic capability identified
during the annual fusion center assessment.
41
Appendix B — Program Specific Priorities
Measurement Methods (Fusion Center Reporting and Compliance)
In order to effectively measure implementation of this priority, designated 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 I&A. The Fusion Center Assessment Program
evaluates each Fusion Center against the COCs and ECs and is comprised of
the self -assessment questions, staffing, product, and cost assessment data
tables, and validation
• Maintain approved plans, policies, or SOPs and, per the Fusion Center
Assessment Program, and, when applicable, demonstrate improvement in
each of the four COCs
• Maintain an approved Privacy, Civil Rights, and Civil Liberties (P/CRCL) policy
that is determined to be at least as comprehensive as the ISE Privacy
Guidelines
• Conduct a compliance review of their P/CRCL policy in accordance with the
Privacy Civil Rights and Civil Liberties Compliance Verification for the
Intelligence Enterprise(http://it.oip.vov/docdownloader.aspx?ddid=1285)
• Ensure all staff receive annual training on the center's P/CRCL policies
• Ensure all staff are trained on 28 CFR Part 23
• Ensure all Federally funded criminal intelligence databases comply with 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 the
COCs at least once every two years and address any corrective actions
arising from the successfully completed exercises within the timeframe
identified in the each exercise' AAR
• Post 100 percent (100%) of distributable analytic products (as defined by the
annual assessment process) to the Homeland Security Information Network's
(HSIN's) Homeland Security State & Local Intelligence Community of Interest
(HS SLIC) as well as any other applicable portals, such as LEO, RISS, their
agency portal, etc.
• Have formalized process (as defined by the annual assessment process) to
track incoming and outgoing Requests for Information (RFI), including
send/recipient and actions taken
• For States that have multiple designated fusion centers, the primary fusion
center has documented a plan that governs the coordination and interactions
of all fusion centers within the state
42
Appendix B — Program Specific Priorities
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 Program managed by
DHS I&A and reported to FEMA
Priority Four: Innovation and Sustained Support for the National Campaign for
Preparedness
Building and sustaining preparedness is an ongoing effort and the National Campaign
for Preparedness seeks to support the Goal through a range of existing and innovative
activities including: Federal preparedness efforts; grants, technical assistance and other
Federal preparedness resources; research and development efforts; and a
comprehensive national preparedness campaign, inclusive of public outreach and
community -based and private -sector programs.
With support from FY 2013 SHSP and UASI funding, grantees are encouraged to foster
individual and community preparedness and resilience in support of the National
Campaign for Preparedness by identifying resource needs; mobilizing partners; and
creating innovative and effective solutions that can be grown, sustained, and replicated.
This priority may be achieved by:
Promoting preparedness activities that empower communities to organize
themselves and take direct action to put local residents in leadership roles in
planning, organizing, and sharing accountability for the success of local disaster
management related projects and programs
Actively supporting citizen preparedness drills, exercises, and community days of
action such as the Great Shakeout, as well as preparedness initiatives for local
schools and campuses, educational institutions, faith based organizations and
private businesses
Demonstration of progress toward whole community inclusion in development of
emergency plans and integration of nontraditional resources in emergency plans
(e.g., EOPs)
Measurement Methods
• Percentage of funding, on a project by project basis that support community
preparedness efforts across all five mission areas.
Reporting
As part of the Biannual Strategy Implementation Report (BSIR), states and urban
areas are required to report progress made toward meeting strategic goals and
objectives as well as how Planning, Organization, Equipment, Training and
Exercises (POETE) expenditures support in this priority.
43
Appendix B — Program Specific Priorities
Priority Five: Improve Immediate Emergency Victim Care at Mass Casualty Events
In recognition of the substantial impact mass casualty events have on families,
communities, and state, local and regional first responder agencies and public/private
medical service providers, FY 2013 SHSP and UASI grantees are encouraged to apply
funding in support of efforts to improve mass casualty care capabilities with a specific
focus on providing immediate emergency care to victims of mass casualty events,
including mass shootings. This priority may be achieved by:
Engaging in mass casualty planning, training, and exercises specifically involving
law enforcement, fire service, and EMS providers to rapidly deploy into areas that
have been cleared but not secured in order to initiate treatment at or near the
point of injury and effect rescue of survivors. Plans, training and exercises must
include strategies that ensure the health and safety of first responders and citizen
responders, and training associated with the prevention and detection of
secondary attacks
Improving coordination between law enforcement, fire service, EMS systems,
other first responder agencies, and local healthcare delivery and trauma systems
to improve victim triage, treatment and transport, to ensure patients are
distributed to appropriate levels of definitive emergency care
Establishing protocols on the medical principles of tactical emergency casualty
care and conducting training for responders
Empowering community bystanders through public education initiatives and
training about life sustaining actions and how they can support survivors and
providers in a mass casualty event.
Grantees are strongly encouraged to develop or enhance existing relationships with law
enforcement agencies at the local, state and Federal level to collaborate on innovative
prevention and protection strategies that substantially reduce the impact of mass
casualty events.
Measurement Methods
• Percentage of funding, on a project by project basis that support mass casualty
preparedness efforts.
Report! ng
As part of the Biannual Strategy Implementation Report (BSIR), states and urban
areas are required to report progress made toward meeting strategic goals and
objectives as well as how Planning, Organization, Equipment, Training and
Exercises (POETE) expenditures support in this priority.
44
Appendix B —Program Specific Priorities
Homeland Security Strategy Updates
FY 2013 HSPG requires State and Urban Area Homeland Security Strategies be
updated every other year, and shall be informed by THIRA and capability estimation
process results. The assessment and results support communities' strategic planning
initiative and informs efforts needed to adapt to and manage the changing risk
landscape, sustain strengths, and obtain or borrow resources from whole community
partners. Further, strategic planning for preparedness provides communities the basis
to make informed resource allocation decisions in a resource constrained environment.
Implementation of strategies to better deliver core capabilities should involve iterative
updates of the THIRA and capability estimation processes to ensure they reflect current
and anticipated future realities.
Collaboration with Other Federal Preparedness Programs
DHS strongly encourages States, Urban Areas, and regions to understand other
Federal preparedness programs in their jurisdictions and to work with them in a
collaborative manner to leverage all available resources and avoid duplicative activities,
For example, U. S. Department of Health and Human Services (HHS) has two robust
preparedness programs — Center for Disease Control (CDC) Public Health Emergency
Preparedness (PREP) cooperative agreement program and Assistant Secretary for
Preparedness and Response's (ASPR's) Hospital Preparedness Program (HPP)
cooperative agreement program — that focus on preparedness capabilities. CDC's 15
public health preparedness capabilities and ASPR's eight healthcare preparedness
capabilities serve as operational components for many of the NPG core capabilities,
and collaboration with the PHEP directors and HPP coordinators can build capacity
around shared interests and investments that fall in the scope of these HHS cooperative
agreements and the 2019 HSGP.
Each SHSP and UASI funded Investment that addresses biological risk, patient care or
health systems preparedness should be implemented in a coordinated manner with
other Federal emergency preparedness programs such as those administered by the
HHS Office of the Assistant Secretary for Preparedness and Response, the CDC, and
the U.S. Department of Transportation's (DOT) National Highway Traffic Safety
Administration.
Consolidation of Law Enforcement Terrorism Prevention Activities
Per the 2006 of the Homeland Security Act of 2002 (Public Law 107-296), as amended,
(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 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 — FY 2013 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 focused
45
Appendix B—Program Specific Priorities
funds. Other terrorism prevention activities 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 natural disasters and terrorist incidents as well as
to implement the goals and objectives included in State homeland security strategies,
and shortfalls in core capabilities as identified in THIRAs and the SPRs.
Activities implemented under SHSP must support national 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
Keeping with the guiding principles of governance for all DHS preparedness programs,
grantees must coordinate with their stakeholders to 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, faith -based community, 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. To accomplish this, the
SAA must establish or reestablish a unified Senior Advisory Committee (SAC).
Senior Advisory Committee
The SAC builds upon governance structures that may already be established under
different FEMA preparedness grant programs, but the nature and governance of this
Committee is a new requirement under the FY 2013 HSGP. The SAC should build
upon previously established advisory bodies under HSGP (including the SHSP and
UASI programs), Nonprofit Security Grant Program (NSGP), Transit Security Grant
Program (TSGP), and Port Security Grant Program (PSGP), which currently exist in
support of States and Urban Areas, tribal nations, non-profit organizations, transit
agencies and Amtrak, and port areas. Other examples of advisory bodies that should be
included on the SAC include; Urban Area Working Groups (UAWGs), Statewide
Interoperability Governing Board (SIGB), Area Maritime Security Committees (AMSCs),
Regional Transportation Security Working Groups (RTSWGs), Citizen Corps Councils,
and Children's Working Groups. To ensure a whole community effort, SAC
membership should include representatives of these various stakeholder
46
Appendix B — Program Specific Priorities
groups/committees, and SAC should also include direct or indirect representation for all
the jurisdictions and response disciplines (including law enforcement, fire service, and
emergency management), UASI-funded Urban Areas, as well as Citizen Corps
Councils, tribal representatives, non-profit, faith based, and voluntary organizations
such as the American Red Cross. SACS are encouraged to develop subcommittee
structures, as necessary, to address issue- or region -specific considerations in support
of overarching implementation.
The responsibilities of a SAC include:
• Integrating preparedness activities across disciplines, the private sector, non-
profit organizations, faith -based, community, and all levels of government,
including local, State, tribal, and territorial, with the goal of maximizing
coordination and reducing duplication of effort;
• Creating a cohesive planning framework that builds and implements
preparedness initiatives which leverage DHS resources, as well as other Federal,
State, territorial, local, private sector, faith -based community, and tribal
resources;
• Management of all available preparedness funding sources (multiple Federal
sources as well as State and local sources) to enhance effective utilization of
and elimination of duplication of effort across all stakeholders and disciplines;
and
• Ensuring that the application for SHSP and UASI funds align with the THIRA and
work to fill capability shortfalls identified in the SPR.
Senior Advisory Committee Composition and Scope
1, Membership
The SAC must include whole community intrastate and interstate partners as applicable
and have balanced representation among entities with operational responsibilities for
prevention, protection, mitigation, response, and recovery activities within the State.
The membership of the SAC must reflect the hazards and risks identified in the State's
THIRA as well as each of the core capabilities, in particular those core capabilities
identified as having large shortfalls identified in the State's most recent State
Preparedness Report (SPR). Further, the SAC must include representatives that were
involved in the production of the State's THIRA and represent the interests of the five
mission areas as outlined in the NPG.
The above membership requirement does not prohibit States, Urban Areas, regional
transit and port entities, or other recipients of DHS preparedness funding from retaining
their existing structure under separate programs; however, at a minimum, those bodies
must support and feed into the larger SAC. The composition, structure and charter of
the SAC should reflect this focus on building core capabilities, instead of simply joining
previously existing advisory bodies under other grant programs.
47
Appendix B — Program Specific Priorities
The SAA must ensure that appropriate representation from defined UASI-funded Urban
Areas is included on the SAC. FEMA strongly encourages that, wherever possible,
previously established local working groups be leveraged for this purpose to ensure that
UASI resources are managed in the most efficient and effective manner possible. The
UAWG should also support State efforts to develop the THIRA and SPR, particularly as
it relates to UASI activities.
For designated Urban Areas, the SAA POCs are responsible for identifying and
coordinating with the POC for the UAWG, who should be a member of the SAC. The
POC's contact 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.
Finally, FEMA recommends that organizations advocating on behalf of vulnerable
populations including youth, the elderly and individuals with functional needs, socio-
economic factors and cultural diversity, be invited to participate in the SAC.
2. Collaboration with State agencies
Program representatives from the following entities must be members of the SAC (as
applicable): State Homeland Security Advisor (HSA) (if this role is not also the SAA),
State Emergency Management Agency (EMA) Director, State Public Health Officer,
State Public Safety Officer (and SAA for Justice Assistance Grants, if different), State
Court Official, State Emergency Management Services (EMS) Director, State Trauma
System Manager, Statewide Interoperability Coordinator, State Citizen Corps Council,
the State Emergency Medical Services for Children (EMSC) Coordinator, State
Education Department, State Human Services Department, State Child Welfare
Services, State Juvenile Justice Services, Urban Area POC, Senior Members of
AMSCs, Senior Members of the RTSWG, Senior Security Officials from Major
Transportation Systems, and the Adjutant General.
3. Whole Community Engagement
SHSP and UASI grantees must engage with the Whole Community to advance
community and individual preparedness and to work as a nation to build and sustain
resilience (see httn://www.fema.aov/whole-community). Grantees must also integrate
the needs of children and individuals with disabilities or access and functional needs
into activities implemented with SHSP and UASI funds.
4. Collaboration with Nonprofit Organizations
SHSP and UASI grantees must also work with the nonprofit community, including
through the dedication of LETPA funds and resources, to address terrorism prevention
concerns, seek input on the needs of the nonprofit sector, and support the goals of their
investments.
4s
Appendix B - Program Specific Priorities
5. Collaboration with Tribes
FEMA 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.
6. Collaboration with other Federal agencies and programs
States and Urban Areas must coordinate among the entire scope of Federal partners,
national initiatives and grant programs to identify opportunities to leverage resources
when implementing their preparedness programs. This may include but is not limited to:
Medical Reserve Corps, CDC, and ASPR. Emergency Medical Services for Children
(EMSC) grants, ASPR Hospital Preparedness Program (HPP), CDC Public Health
Emergency Preparedness (PREP), CDC Cities Readiness Initiative (CRI), Strategic
National Stockpile Programs, and EMS. However, coordination is not limited to grant
funding. It also includes leveraging assessments such as TSA's Baseline Assessment
and Security Enhancement (BASE); reporting from the Intelligence Community, risk
information such as U.S. Coast Guard's Maritime Security Risk Analysis Model
(MSRAM), and CBP Sector Analysis
Senior Advisory Committee Charter
The governance of the SHSP and UASI programs through the SAC must be directed by
a charter. All members of the SAC should sign and date the charter showing their
agreement with its content and their representation on the Committee. Revisions to the
governing charter must be sent to the grantee's assigned FEMA Program Analyst. The
SAC charter must at a minimum address the following:
• A detailed description of the SAC's composition and an explanation of key
governance processes, including how SAC Is informed by the State's THIRA,
SPR data reflecting capability shortfalls and the approach to address shortfalls in
core capabilities;
• A description of the frequency at which the SAC will meet;
• How existing governance bodies will be leveraged by the Committee;
• A detailed description of how decisions on programmatic priorities funded by
SHSP and UASI are made and how those decisions will be documented and
shared with its members and other stakeholders as appropriate;
• A description of defined roles and responsibilities for financial decision making
and meeting administrative requirements.
To ensure ongoing coordination efforts, SAAs are encouraged to share community
preparedness information submitted in the State's BSIR with members of the SAC. The
charter must be made available publicly to promote transparency in decision -making
related to the HSGP activities.
To manage this effort and to further reinforce collaboration and coordination across the
stakeholder community, a portion of the 20 percent (20%) holdback of a State or
territory award may be utilized by the SAA for the purpose of supporting the Senior
Advisory Committee and to ensure representation and active participation of SAC
49
Appendix B — Program Specific Priorities
members. Funding may be used for hiring and training planners, establishing and
maintaining a program management structure, identifying and managing projects,
conducting research necessary to inform the planning process, and developing plans
that bridge mechanisms, documents, protocols, and procedures.
SAAs are required to submit a copy of the SAC charter as part of the winter BSIR
submission.
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 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), 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.
Composition
Pursuant to provisions of the 9/11 Act, eligible 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 composition. Detailed information on MSAs is publicly available
50
Appendix B — Program Specific Priorities
from the United States Census Bureau at
http://www. census. oov/populationlwwwlmetroarea slmetrodef. html.
UASI Program Requirements
The SAA will be responsible for ensuring compliance with the fiduciary and
programmatic administration requirements of the 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 UASI program.
The identified city or combined entity represents the candidate Urban Area
eligible to apply for funding under the 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 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 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 service, EMS, 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, public health, and health care
systems into a coordinated, sustained local capability to respond effectively to a
mass casualty incident. The UAWG should also include officials responsible for
the administration of CDC and 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 per this guidance. FEMA strongly encourages that, wherever
possible, previously established local working groups should be leveraged for
this purpose to ensure that UASI funded resources are managed in the most
51
Appendix B — Program Specific Priorities
efficient and effective manner possible. The UAWG may also support State
efforts to develop the SPR, particularly as it relates to UASI funded 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 2013 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 program 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 UASI funding and must be available to all
UAWG members to promote transparency in decision -making related to the UASI
program.
SAAs are required to submit a copy of the UAWG charter at the time of
application. The UAWG charter must provide an overview of the UAWG
structure, and a list of members and their associated jurisdictions. Urban Areas
must notify the SAA and FEMA Program Analyst of any updates to the UAWG
structure or membership.
• Develop Urban Area THIRA. As a result of the improved governance process
and the rationale for maintaining and sustaining existing capabilities and the
development of new capabilities, members of the UAWG should be involved in
the development of an Urban Area THIRA coordinated with the State THIRA, and
subsequent updates.
Urban Area Homeland Security Strategy. Urban Area Homeland Security
Strategies should be updated every two years at a minimum, to ensure that their
strategies continue to address prevention, protection, mitigation, response, and
recovery, and reflect how their goals and objectives align to the NPG and the
Whole Community approach. When revisiting and updating the strategies, goals,
and objectives, the UAWG is strongly encouraged to adopt a capability -based
52
Appendix B — Program Specific Priorities
planning approach and consider collaboration across disciplines, jurisdictions,
and agencies.
Allocation of Funds, The use and allocation of all grant funds available through
the 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, the NPS, 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 and/or Citizen Corps Councils.
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.
OPSG is intended to support United States border States and territories in
accomplishing the following objectives:
53
Appendix B — 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 CBP/ 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.
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
SAA.
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.
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
54
Appendix B — Program Specific Priorities
CBP/BP Headquarters and any existing special conditions and/or restrictions are
removed. OPSG activities are expected to maximize HSGP strategic planning efforts
and integration with State, tribal, territory, Urban Area, and local Homeland Security
Strategies.
Additional Coordination Requirements
Altnougn the citizen corps Program (C(;P) and Metropolitan Medical Response Systen
(MMRS) are no longer funded as discrete grant programs within HSGP, States may
include Ws funding and supporting CCP and MMRS activities/programs. The following
coordination requirements will remain in place 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 departments that administer
Federal funds from HHS for this purpose. Preparedness efforts should enhance the
integration of local emergency management, public health, and health care 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 vulnerable populations including
children, the elderly, pregnant women, and individuals with disabilities and others with
access and functional needs, Further, grantees are strongly encouraged to collaborate
with local, regional, and State public health and health care partners, including 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), PHEP, and Strategic National
Stockpile Programs. Grantees are also encouraged to engage in multi -discipline
preparation across first responder community, including 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
membership that includes, but is not limited to: representatives from emergency
management, homeland security, law enforcement, fire service, EMS, 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.
55
Appendix B — 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 FOA. 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)
Management and administration (M&A) activities are those defined directly relating to
the management and administration of HSGP funds, such as financial management and
monitoring. The amount of M&A is specified in each year's FOA. For additional
information on SHSP and UASI M&A, refer to IB 365. For additional clarification on
OPSG M&A, refer to IB 378. Both IBs can be found at
http://www. fema. aov/arants/arant-programs-directorate-information-bulletins.
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.
Indirect Cost Rate
Indirect costs are allowable only if the applicant has an approved indirect cost rate with
the cognizant Federal agency. A copy of the approved rate (a fully executed,
agreement negotiated with the applicant's cognizant Federal agency) is required at the
time of application. Indirect costs will be evaluated as part of the application for Federal
funds to determine if allowable and reasonable.
Planning (SHSP, UASI, and OPSG)
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, SPR and Planning, by placing an emphasis on updating and maintaining a
current EOP that conforms to the guidelines outlined in CPG 101 v.2. Development and
maintenance of a THIRA must align to CPG 201. 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 v.2: Developing and Maintaining Emergency
Operations Plans in order to develop robust and effective plans. For additional
information, please see http://www.fema.gov/pdf/about/divisions/npd/CPG 101 V2.pdf.
56
Appendix C — Funding Guidelines
Organization (SHSP and UASI Only)
Organizational activities include:
• Program management;
• Development of whole community partnerships, through groups such as Citizen
Corp Councils;
• 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;
• 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;
• 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 SHSP funding
and all Urban Areas are allowed up to 50 percent (50%) of their 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,
57
Appendix C - Funding Guidelines
Local, and Tribal Intelligence Analysts, which outlines the minimum categories of
training needed for intelligence analysts. A certificate of completion of such training
must be on file with the SAA and must be 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 shortfalls in analytic
capability identified during the fusion center's annual assessment.
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
eligible fusion activities including anti -terrorism task forces, Joint Terrorism Task
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. 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 for staffing State or Major Urban Area
fusion centers;
- Hiring of contracted security for critical infrastructure sites;
- Participation in Regional Resiliency Assessment Program (RRAP)
activities;
- Public safety overtime;
- 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 IB 135.
SHSP or UASI 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
58
Appendix C — Funding Guidelines
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 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 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 mandatory
regulatory and/or DHS-adopted standards to be eligible for purchase using 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 HSGP funds for emergency
communications equipment should comply with the FY 2013 SAFECOM Guidance for
Emergency Communication Grants, including provisions on technical standards that
ensure and enhance interoperable communications. SAFECOM Guidance can be
found at http://www.safecompro.gram.-gov/orantIDefault.aspx. Grantees investing in
broadband -related investments should review IB 386: Clarification on Use of
DHS/FEMA Public Safety Grant Funds for Broadband -Related Expenditures and
Investments, and consult their FEMA Headquarters Program Analyst on such
Investments before developing applications. Relocating existing systems operating in
the T-Band is also allowable.
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 departments who administer Federal funds from HHS 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 each fiscal year's the
period of performance for 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 and/or maintain 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 and DOT). Training
conducted using HSGP funds should address a performance shortfall identified through
59
Appendix C — Funding Guidelines
an After Action Report/Improvement Plan (AAR/IP) or other assessments (e.g., National
Emergency Communications Plan [NECP] Goal Assessments) and contribute to
building a capability that will be evaluated through a formal exercise. Exercises should
be used to provide the opportunity to demonstrate and validate skills learned in training,
as well as to identify training shortfalls. Any training or training shortfalls, including
those for vulnerable populations including children, the elderly, pregnant women, and
individuals 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 Emergency Operations Plan (EDP) components or specific annexes,
and validation of completed corrective actions from previous exercises or real world
events, where applicable. Grantees are encouraged to use existing training rather than
developing new courses. When developing new courses, grantees are encouraged to
apply the Analysis Design Development and Implementation Evaluation (ADDIE) model
of instruction design (https://www.firstrespondertraining.gov).
Exercises (SHSP and UASI)
Exercises conducted with FEMA support should be managed and executed in
accordance with HSEEP. HSEEP Guidance for exercise design, development, conduct,
evaluation, and improvement planning is located at https.11hseep.dhs.gov.
All capabilities exercised using HSGP funding must be NIMS compliant. More
information is available online at the NIC at
http://www.fema. gov/emergencv/nims/index. shtm.
All States and Urban Areas are required to conduct a Training and Exercise Planning
Workshop (TEPW) and develop and/or update a Multi -Year Training and Exercise Plan
(TEP) on an annual basis. This plan should be informed by the principles and tenants
of the National Exercise Program (NEP). 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. The plan should include a training and exercise schedule along
with the States' and Urban Areas' priority capabilities to assist in focusing the allocation
of available 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 hseepO hs.clov. 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 CDC PREP, ASPR HPP, State and
Urban Area exercise initiatives accordingly.
Other Federally funded preparedness programs have similar exercise and training
requirements. Exercise and training activities should be coordinated across the
60
Appendix C — Funding Guidelines
jurisdiction(s) to the maximum extent possible to include the Whole Community and to
foster better coordination working relationships across the enterprise.
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
hseep(a)dhs.gov. Please ensure the documents are encrypted (password -protected)
and the password is also sent to hseepOdhs.gov 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. With the exception of maintenance plans
purchased incidental to the original purchase of the equipment, the period covered by a
maintenance or warranty plan must not exceed the period of performance of the specific
grant funds used to purchase the plan or warranty.
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 IB 379 (Guidance to State Administrative Agencies to Expedite the
Expenditure of Certain DHS/FEMA Grant Funding) allows for the expansion of eligible
maintenance and sustainment costs which must be in 1) direct support of existing
capabilities; (2) must be an otherwise allowable expenditure under the applicable grant
program; (3) be tied to one of the core capabilities in the five mission areas contained
within the National preparedness Goal, and (4) shareable through the Emergency
Management Assistance Compact. Additionally, eligible costs must also be in support
of equipment, training, and critical resources that have previously been purchased with
either Federal grant or any other source of funding other than DHS/FEMA preparedness
grant program dollars.
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 designated State and major Urban Area fusion
centers, including information sharing and analysis, 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 terrorism -related crime and
associated efforts to increase the sharing of information with public and private
sector partners, including nonprofit organizations. Note that DHS requires that
the Office of Public Affairs be given the opportunity to review and approve any
public awareness materials (e.g., videos, posters, tri-folds, etc.) developed using
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Appendix C — Funding Guidelines
HSGP grant funds for the "If You See Something, Say SomethingTA°" campaign to
ensure these materials are consistent with the Department's messaging and
strategy for the campaign and the initiative's trademark;
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 — 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.
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 (LMD). GPD will coordinate with LMD 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 LMD 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.
States (through their Emergency Management Office) are strongly encouraged to
consult with their respective FEMA Regional Logistics Chief regarding disaster logistics -
related issues. 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 percent (15%) of the grant award. For the purposes of the limitations
on funding levels, communications towers are not considered construction.
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Appendix C — Funding Guidelines
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 must submit evidence of
approved zoning ordinances, architectural plans, any other locally required planning
permits, and a notice of Federal interest. Additionally, grantees are required to submit a
SF-424C Budget and Budget detail citing the project costs.
When applying for funds to construct communication towers, grantees and sub -grantees
must submit evidence that the FCC's Section 106 review process has been completed
and submit all documentation resulting from that review to GPD using the guidelines in
EHP Supplement prior to submitting materials for EHP review. Grantees and sub -
grantees are also encouraged to have completed as many steps as possible for a
successful EHP review in support of their proposal for funding (e.g., coordination with
their State Historic Preservation Office to identify potential historic preservation issues
and to discuss the potential for project effects; compliance with all state and EHP laws
and requirements). 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 months of the award. Completed EHP
review materials for construction and communication tower projects must be submitted
no later than 12 months before the end of the period of performance. EHP review
materials should be sent to gpdehpinfoCcafema.gov.
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 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 (DOL) wage
determinations, is available from the following website
h ttp://Www. dol. oo v/compliance/laws/comp-dbra. htm.
OPSG funds may not be used for any type of construction.
Personnel (SHSP and UASQ
Personnel hiring, overtime, and backfill expenses are permitted under this grant in order
to perform allowable HSGP planning, training, exercise, and equipment activities.
Personnel may include but is not limited to: training and exercise coordinators, program
managers for activities directly associated with SHSP and UASI funded activities,
intelligence analysts, and statewide interoperability coordinators (SWIC). 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. 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 IB 358 or contact their FEMA Headquarters
Program Analyst.
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Appendix C - Funding Guidelines
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 2012 HSGP.
Operational Packages (OPacks) (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 SHSP funding and all Urban Areas are allowed up to 50 percent
(50%) of their UASI funding for personnel costs,
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 W HTI may be found at
http://www.dhs.pov/files/proorams/ac 1200693579776.shtm or
http://www.aetvouhome.aov/html/ena _map.html.
Other Secure Identification Initiatives (SHSP)
SHSP funds may also be used to support the Department's additional efforts to
enhance secure identification, including driver's license and identification security
enhancements. 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.
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Appendix C - Funding Guidelines
If identified as a priority in the State THIRA, States may continue implementing activities
previously funded through the Driver's License Security Grant Program (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;
• Driver's license identification material requirements;
• 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, 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 OPSG funding for personnel related costs, which include overtime
activities. At the request of a grant recipient, the FEMA Administrator 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 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
history 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 OBP; and
- Be forwarded electronically by the SAA to FEMA GPD Program Analyst.
• Part Time Personnel. 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 month deployment
65
Appendix C - Funding Guidelines
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 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. OPSG is not intended as a hiring program. Therefore,
applying funds toward hiring full-time or permanent sworn public safety officers is
unallowable. 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. Finally,
construction and/or renovation costs are prohibited under OPSG. Applicants should
refer to IB 358 or contact their FEMA Headquarters Program Analyst at (800) 368-6498
for guidance and clarification.
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, NIPS, and the Whole Community Approach to
Security and Emergency Management including efforts to support
strengthening of capacity among whole community partners
- Pre -event recovery planning
- Implementing the National Infrastructure Protection Plan (NIPP) and
associated Sector Specific Plans
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Appendix C - Funding Guidelines
- Enhancing and implementing SCIPs and Tactical Interoperable
Communications Plans (TICPs) that align with the goals, objectives, and
initiatives of the National Emergency Communications Plan (NECP)
- Costs associated with the adoption, implementation, and sustainment of
the NIMS, including implementing the NIMS National Credentialing
Framework
- Modifying existing incident management and EOPs to ensure proper
alignment with the coordinating structures, processes, and protocols
described in the National Frameworks
- Establishing or enhancing mutual aid agreements
- Developing communications and interoperability protocols and solutions
consistent with NIMS/ICS that include communications support for faith -
based and voluntary organizations
- Developing emergency communications SOPs and plain language
protocols
- Integrating emergency communications SOPs across jurisdiction,
disciplines, and levels of government
- Conducting local, regional, and tribal program implementation meetings
- Developing or updating resource inventory assets in accordance to NIMS-
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 and support for the campaign to build and sustain national
preparedness as required by the NIPS; 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
- Developing and sustaining Citizen Corps Councils and CERTs
- 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
people with physical, sensory, mental health, intellectual and cognitive
disabilities)
- Preparing materials for SPRs
- WHTI implementation activities including the issuance of WHTI-compliant
tribal identification cards
Conducting statewide emergency communications and preparedness planning,
including the following activities:
- Conducting/attending planning and governance meetings
- Engaging and expanding the participation of the whole community in
emergency communications planning, response, and risk identification
- Participating in THIRA development and follow-on capability estimation
processes
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Appendix C - Funding Guidelines
- Collecting and using data (e.g., NECP Goal Assessments, findings from
national -level exercises) to assess user needs, capabilities, and gaps, and
to facilitate coordination and asset -sharing
- Assessing emergency communications needs and assets and integrating
needs into State plans (e.g., SCIP, SPR, and broadband plans)
- Coordinating with SWIC, SAA, and State -level planners to ensure
proposed investments align to statewide plans (e.g„ SCIP, State
broadband plan) and comply with technical requirements
Developing related terrorism prevention activities including:
- Developing THIRAs that reflects a representative makeup 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 designated fusion centers to
achieve early warning, monitoring, and mitigation of threats
- Hiring and training privacy, security, and/or fusion liaison officers (FLO)
coordinators to support fusion center operations
- 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
- Accessible public information/education: printed and electronic materials,
public service announcements, seminars/town hall meetings, and web
postings coordinated through local Citizen Corps Councils
- 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 National Preparedness and
Ready campaigns; and/or creating State, regional, or local emergency
preparedness efforts that build upon the Ready campaign
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Appendix C - Funding Guidelines
- Evaluating Critical Infrastructure Protection (CIP) security equipment
and/or personnel requirements to protect and secure sites
- CIP cost assessments, including resources (e.g., financial, personnel)
required for security enhancements/deployments
- Underwater Terrorist Protection Plans
Developing and enhancing risk centric capabilities -based 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
- Planning for the relocation of existing systems operating in the T-Band
- Developing or enhancing local, regional, or Statewide strategic or tactical
interoperable emergency communications plans including such actions to
support communications with faith -based and voluntary entities who act as
immediate responders in disaster
- Developing protocols or SOPs 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 cybersecurity 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
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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 a chemical or 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 EMS systems
- Developing or enhancing plans for donations and volunteer management
and the engagement/integration of private sector/non-governmental
entities, and faith -based organizations in preparedness, mitigation,
response, and recovery activities
- 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
Preparing and submitting SCIPs for SHSP, grantees are required to submit to the
Office of Emergency Communications as part of an annual SCIP Implementation
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Appendix C - Funding Guidelines
Preparing and submitting reports to the Office of Emergency Communications
(OEC) on progress of implementing that State's SCIP and achieving
interoperability at the interstate, State, county, regional, and city levels
Updating and implementing SCIP and TICP to:
- Address findings and gaps identified in AARs from real world incidents
and planned exercises, NECP Goal assessments, other State -level
preparedness reports and assessments
- Incorporate the NPS and DHS Whole Community initiatives
- Address plans for implementation of the Federal Communications
Commission (FCC) narrowband requirements
- Describe strategic broadband planning activities and initiatives in
preparation for the future deployment of the Nationwide Public Safety
Broadband Network (NPSBN)
Developing or conducting assessments, including but not limited to:
- Developing pre -event recovery plans
Conducting point vulnerability assessments at critical infrastructure
sites/key assets and develop remediation/security plans
- Participating Regional Resiliency Assessment Program (RRAP) activities
- Conducting or updating interoperable emergency communications
capabilities assessments at the local, regional, or Statewide level (e.g.,
Communications Assets and Mapping [CASM])
- 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 cyber risk and vulnerability assessments
- Conducting assessments and exercising existing catastrophic incident
response and recovery plans and capabilities to identify critical shortfalls
that cannot be met by existing local, regional, and State resources
- Activities that directly support the identification of specific catastrophic
incident priority response and recovery projected needs across disciplines
(e.g., law enforcement, fire service, 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
Conducting or updating interoperable emergency communications
capabilities and broadband needs assessments at the local, regional, or
Statewide level
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Appendix C - Funding Guidelines
- Soft target security planning (e,g., public gatherings)
• Developing, hosting, or participating in bombing prevention/counter-improvised
explosives device (IED)-specific planning initiatives to include:
- Incorporating appropriate IED-specific intelligence and threat analysis
when developing and maintaining a THIRA;
- Conducting inventories and assessments of capabilities or typed resource
using the counter-IED-specific DHS National Capabilities Analysis
Database (NCAD) program for use in applicable THIRAs, preparedness
reporting, or strategies;
- Conducting DHS Multi -Jurisdiction IED Security Planning (MJIEDSP)
workshops to develop THIRA-based plans and strategies that maximize
the use of limited resources;
- Developing IED hazard -specific EOP annexes.
• 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
• Building and expanding governance structures to:
- Include representatives from multiple agencies, jurisdictions, disciplines,
levels of government, Tribes, rural areas, subject matter experts, and
private industry
- Integrate statewide leadership and governance structures into broader
statewide planning efforts (e.g„ statewide broadband planning activities,
grants coordination activities, needs assessments) to ensure emergency
communications needs are represented
- Conduct outreach and education on emergency communications needs
and initiatives to stakeholder groups
• 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 Councils, Programs and Organizations,
CERTs, 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
• Working with youth -serving organizations and houses of worship to develop and
sustain youth and faith -based preparedness programs
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Appendix C - Funding Guidelines
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
- Implementation of infrastructure resilience enhancement options
described in a RRAP report
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 workshops 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
- Web -based and new media platforms that allow real-time information
exchange
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Appendix C - Funding Guidelines
- 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
• Federal Emergency Response Official (F/ERO) Credentialing and Validation:
- Working group meetings and conferences relating to emergency
responder credentialing and validation
- Compiling data to enter into an emergency responder repository
- Coordinating with other State, local, territorial, and tribal partners to
ensure interoperability among existing and planned credentialing and
validation systems and equipment
- Planning to incorporate emergency responder identity and credential
validation into training and exercises.
- This supports our efforts to address grant money for the F/ERO program
and further solidifies those efforts in additional to our independent efforts
that Darcy has already worked.
• Continuity of Operations / Continuity of Government Planning (COOP/COG)
Grant Funding Opportunity
COOP/COG planning is the fundamental responsibility of every government
agency that performs an essential function at the State and local level, In order to
conduct necessary emergency operations, recovery actions, and other key
essential functions during a large-scale or catastrophic event, the agency must
have effective Continuity plans in place to support continued operations.
Continuity efforts also provide the foundational basis for COG programs, such as
succession planning, which are designed to ensure the survival of not only
leadership at the State and local level, but also an enduring constitutional
government. State and local plans to address COOP/COG issues should be
consistent with the Nations Continuity Policy described in Homeland Security
Presidential Directive 20 (HSPD-20); the National Continuity Policy
Implementation Plan (NCPIP); and Continuity Guidance Circular's 1 (CGC 1) and
2 (CGC 2), which provides guidance for State, local, territorial, and tribal
governments, and private sector organizations in developing robust Continuity
plans and programs in support of a comprehensive and integrated national
continuity capability. Continuity issues to address include, but are not limited to:
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Appendix C - Funding Guidelines
- Determine essential functions and activities, interdependencies, and
resources needed to perform them
- Establish orders of succession and delegations of authority to key
agency positions and establish and maintain current roster(s) of fully
equipped and trained COOP personnel with the authority to perform
essential functions
- Provide for the identification and preparation of alternate operating
facilities for relocated operations
- Provide for the regular training, testing, and exercising of COOP
personnel, systems, and facilities
- Provide for reconstitution of agency capabilities, and transition from
continuity operations to normal operations
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.firstrespondertraining.aov/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.
• 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:/Avww.firstrespondertrainin.g.gov.
• Approved State and Federal Sponsored Course Catalog. This catalog lists State
and Federal sponsored courses that fall within the FEMA mission scope, and
have been approved through the FEMA course review and approval process. Ar
updated version of this catalog can be accessed at
http://www. firstrespondertraining. gov.
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Appendix C — Funding Guidelines
Additionally the new National Preparedness Directorate (NPD) Online Course
Catalog (OCC) allows access to courses delivered by the CDP, EMI, and NTED.
It can be accessed at http://training.fema.aovlocc%
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.
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
the Excess Delivery Acquisition Program (EDAP).
EDAP allows an 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 and 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.
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 Catalog. Courses approved through NTED will
be added to the approved State and Federal Sponsored Course Catalog. Courses
identified within this catalog 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 catalog, can be found at
http:llwww.firstrespondertraining.aovlodp webforms. NTED will respond to the initial
request for review within 15 days with one of the following outcomes:
76
Appendix C — Funding Guidelines
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).
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.
States, territories, and Urban Areas are no longer required to submit non-FEMA
approved courses to NTED for review under the current course review and approval
process. In previous years, FEMA funding guidance and / or funding opportunity
announcements identified that the SAA/TPOC was allowed three deliveries of the same
course within a State/territory before a non-FEMA approved training course was
required to go through the NTED State course review and approval process. Although
the current State course review and approval process is still available to any State,
there is no longer a requirement to submit a course for review after three deliveries.
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 Responder Training Development Center (RTDC)
available at http.11www.firstrespondertraininp.pov/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 a Training and Exercise Plan Workshop to
identify and set training and exercise program priorities and develop a multi -year
schedule of exercise events and supporting training activities to meet priorities. A Multi-
year Training and Exercise Plan will developed following the Training and Exercise Plan
Workshop to include training and exercise priorities identified by elected and appointed
officials and whole community stakeholders. Further guidance concerning the Multi-
year Training and Exercise Plan can be found in the Exercises section.
77
Appendix C - Funding Guidelines
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, including CERT, 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, lifesaving 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
with disabilities, pet care preparedness, training necessary to participate in volunteer
activities, fulfill surge capacity roles, integration and coordination of faith community
roles, communication in disaster 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 local CERT and Citizen Corps
Councils as well as organizations outside of emergency management and focus on the
importance of personal preparedness and protective actions.
Allowable Training Costs
Allowable training -related costs include, 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 shortfalls in these skills. Any training shortfalls, 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 Real-time 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, lifesaving skills, crime prevention and terrorism
awareness, school preparedness, public health issues, mitigation/property
78
Appendix C — Funding Guidelines
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.
Conducting, hosting, or participating in training related to IED prevention,
protection, mitigation, or response to include:
— Awareness and education for the public, private sector and first
responders;
— Suspicious activity identification and reporting;
— Management of bomb threats;
— Physical protective measures;
Diversion control measures for dual -use explosive precursor chemicals;
— Training for specialized IED prevention and protection teams or OPacks
such as Public Safety Bomb Squads, Explosives Detection Canine
Teams, and Mobile Explosive Device Screening Teams in accordance
with applicable guidelines, certification, or accreditation requirements.
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
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 awarding 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 IB 193, issued October 20, 2005. Additional
information can be obtained at
http://www.fema.pov/000d guidance/download/10146.
79
Appendix C — Funding Guidelines
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 hseepOdhs.aov.
The Training and Exercise Plan will include the State's program priorities and a Multi -
Year Training and Exercise Plan (schedule) that supports the identified priorities and
aligned capabilities. In addition to submission of the Multi -Year Training and Exercise
Plan to hseepOdhs.gov, 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://hseep.dhs.pov. A TEPW user guides and a template of the
Multi -Year Training and Exercise Plan can be found on the HSEEP website
https://hseep. dhs. pov.
States must complete a cycle of progressive 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. For example, HHS
preparedness programs require joint exercises between public health departments, the
health care sector and medical countermeasure authorities including law enforcement
which could provide collaborative opportunities. 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 THIRA. The scenarios used in HSGP-funded
exercises must focus on testing 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 priorities 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.
80
Appendix C — Funding Guidelines
Exercise Evaluation and Improvement. Exercises should evaluate performance
of capabilities against the level of capabilities required. Guidance related to
exercise evaluation and improvement planning is defined in the HSEEP located
at https://hseep.dhs.gov.
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.
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 shortfalls in these skills. Any exercise or exercise shortfalls,
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.
81
Appendix C - Funding Guidelines
• 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
(e.g., 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.
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).
82
Appendix C — Funding Guidelines
Appendix D — 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 HSGP
submission. Please allow enough time before (or no later than 11:59 p.m. EST) June
24, 2013 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.gov/. 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 — FY 2013 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.gov/grants along with each fiscal year's HSGP FOA materials.
Linkage to State Preparedness Report
Applicants must identify in Section II C of the IJ how the proposed investment will
address one of the capability shortfalls identified in the most recent SPR. The specific
capability gap and its priority as found in the SPR must be noted in the IJ.
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. 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 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
83
Appendix D — HSGP IJ Template and Instructions
Investment within the GIRT 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.
Collaboration with other federal agencies
Operational and complementary engagement among emergency management, public
health, health care, law enforcement, transportation, and other preparedness programs
should be described in each investment where applicable. For example, as part of the
Protection mission area, if a state plans to build or sustain existing capacity in the
Screening, Search, and Detection capability, this work should be coordinated with public
health, health care and law enforcement agencies that may also be funding activities for
this capability.
84
Appendix D — HSGP IJ Template and Instructions
HSGP IJ Outline
Que�tm,
OveralllnvestmentJnstlOeallon Portfolio -'
Describe how the spectrum of terrorism and natural hazard risks that the
Nanallve
Stateaertltory/Urban Area faces Influenced the development of We Investment
(1'500 character max)
The response will he reviewed to provide
Justification to include all Investments.
_ _ _ _.__. _--._ _.-. _ _ _ _ _._ _ _ _ _ _ _ _ _ _ _ _ _._ _ _ _ - _
_ _ _ _ _ _ _ _ _ _ _
contanfor the Investment Justification.
percent egenditUMghalwlll be dedicetadto
AmounWercentage
Mamatent& Adand
Management 8 Adminislretlon eprendllures. -
1. ovorvlew
IA Identifythe Investment as:
Ne Oi nSoln�
Ifthe Investment is Ongoing, ldentilythe Investment(s) from prior year(s):
Fiscal Year and
Investment Name _
_
I.B
Short'llt
Provide the Investment name:
(100 charactermax)The
response will be reviewed to provide
-----------------------------------
----"--------
contexlforthe Investment.
I.c
State/territory
Provide One applicant name
Urban Area
h___fo_______wc__________
I.___entiy_-
___________
Neer Existing
_ _ sustainmenl of eds0ng capabi1t es_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _
______________________________
LE
The response provides a detailed
Provide a description of this Investment, Includlrg he planning, organization,
Narrative
descrlptlon and clear understanding of
equipment, training, and/or exercises that wit be Involved.
(2500 character max)
various activities that will be supported by
tuts Investment.
II. Baseline
IIA Identify the goals and objectives in your Stale and/or Urban Area Homeland
Narrative
The. response will be reviewed to provide
SecurityStralegy supported by this lnvestmem._ _----____
_(15_00_character max)
context __ context for the Investment..
_
III Describe abating wpabifity levels mat address the Identified
Narrative
Thndingonae provides aclear
goalslobjectives and what will be in place a support the hvestment prior to
(1500 cherectar maz)
els
the use of FY 2013 funds.
_ _._ _ _ _ _ _ _ _ _ _ _ _._ _ _ _. _. _ _
_ _ - _ _
andwhat capabletlmp(s) thatwestmbility
and whalcaPablliNgaP(s)he Invesbrrent
II.C-.
ExplaingtacapabjUtygap(s)gmttNshveslmemislnlendedtoaddmss.
--Narrative
1500 character max)will
address.
III.: Project Management and Milestones
III.A Provide the proposed FY2013 HSGP funding amount for this Investment.
Amount
Identify if this Is a fusion center Investment.
IILB Oapplirable, provide Ore proposed funding amount Thal is expected to be
The response provides a clear
obligated towards Law Enforcement Terrorism Prevention Acllvilles
Amount
demonstration and a comprehensive
¢ETPA)_____________________________
___________
understanding of how the Investment
III.0 Identify the NPG Care Capabilities that are supported by his investment.
Select all that apply
supports Identified NPG Core Capabilites,
For each of the selected Core Capabilities, provide the proposed funding
and Amount
primary POETE Solution Area, and LETPA.
amount to be obligated from this Investment.
_________________________________
___________
III,D provide the proposed funding amount to be obligated from his Investment
Plennlnp, Organlmlian,
towards the primary Planning, organization, Equipment, Training, and
Equipment, Training,
Exercises(POETE)SokNon Area. ___________
_ _ _ Exercise_ _ _ _
__________________
III.E Identify up to ten projects/activities, with start and end dates, wren will be
implemented over the 24 month period of performance. Provide he
following infonnatlom
-Project Name
Shortfille
_f100 characlermaJ--
---------------------------------.__..___.
Amount
Amount
response s a clear description
o prolectsfacavilese
-Funding
that will demonstrate
In__
lCPlan,
progress towadsachieving the Investment.
- Project Management Step
__________________________________
Control wOufe,
_ __ Close Out
- Start MongvYear
MongWear
___________
_______.____________________________
- End Month/Year
MonmlYear
__________________________________
IMF Does his Investment require newconsWclionormnovation, retrofitting. or
No, Yes
The response will be reviewed to provide
modification of existing structures?
context for the Investment.
85
Appendix D — HSGP IJ Template and Instructions
Appendix E — FY 2013 OPSG Operations Order
Template and Instructions
Operations Order Instructions
As part of the FY 2013 OPSG application process, each eligible local unit of
government at the county level or federally -recognized Tribal government must develop
its Operations Order in direct coordination with SAA and Federal law enforcement
agencies, to include, but not limited to CBP/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.arants.gov.
Requirements Overview
The Operations Orders must:
Be created and submitted in Microsoft Word (".doc)
Not exceed six 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 20XX OPSG application: "FY 20XX 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
A narrative detailing the need and use for costs must be included in the budget. 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
86
Appendix E — FY 2013 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.
ORDER AND BUDGET TEMPLATE
Op Order Name:
Foneration
Op Order Number:
I <Completed by CB'P>
O Dates:
From: To:
Report Date
Executive Sununary
1. SITUATION
A. General Situation:
B. TerraintWeather:
C. Criminal Element:
D. Friendly Forces:
II. 'MISSION
III. EXECUTION
A. ManagemenlYSupenrisor Intent:
B. General Concept:
C. Specific' Responsibilities:
t.
PA
911
D. Coordinating Instructions:
87
Appendix E - FY 2013 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
CBPIBP Headquarters and any existing special conditions andlor restrictions are
removed.
The sample table provided below may be used as a guide to the applicant in 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 EstimatesfFund'rng Requests (Year 1):
AdministratioqVILogisticsiBudget
Narrativei. i.
Federal
Request
(Computation of fteirml
$50 per hour OT rate x 11 personnel
Law Enforcement Operational
Overtime
x 10 hours x 3 day detail x 4 quarters
per year x. 2 yews.
s132,000-00
Fringe Benefits for Law
$27.551hr x 1.5 OT = ($41.331hr) x
Enforcement
(.062) = ($2.560hrFICA) x 5840
hi-Jvr x 2 vis
$29,925.92
Travel, Lodging, and Per Diem for
Federal orbelcv.. approor miles of
deployed LE andlor Federally
3,500, 15 days single Occupancy a
sponsored (DHSIFEMA) border
3150 for 5 people
securitytaskforees,ccnferences
ancVbr mindatory training
31750.D0
General Equipment (Add AEL #)
Lines, personal flotation devices,
GPS soltuare updates, marine
batteries thermal imaci ing system
Special Equipment
Sect Hawk Boat, G ptarer4x4 Police
(Requiring separate waiver i.e.,
with Package
Planes, boats, vehicles, SUVs,
eta
$75.000.DD
Part -Time to Full -Time Law
Enforcement Personnel
Activated Reserve Law
Enforcement Personnel
Vehicle
46,8DD miles;peryear x .18 cents per
Maintenance
rule = S8,424.1101 x 2 ym
Vefticles.
Tires engine repair, other
$1 848-DD
Fuel Cost
3,342 x $4.50 per gallon = $15,0431yr
x2yrs3D
086.0D
Total
I2fi5
fi09.92
88
Appendix E - FY 2013 OPSG Operations Order Template and Instructions
A.2 Cost EstimateslFunding 'Requests (Year 2):
<INSERT COST ESTIMATES AND FUNDING REQUESTS TABLE
V. COMMANDICONTROLICOM'MUNICATION
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:
89
Appendix E - FY 2013 OPSG Operations Order Template and Instructions
Appendix F — OPSG Operational Guidance
The success of 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. 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. 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 to formulate a Campaign Plan 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
90
Appendix F — ONG Operational Guidance
Integrated Planning Team, made up of operation stakeholders, including the U.S.
Border Patrol.
Second Stage (Post Award): This stage involves the creation of an operations order
which occurs after awards are announced. Participants will submit an operations order
through 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 operations plan 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 operations plan 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 operations plan to begin the process. The
operations plan 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 operations plan 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
91
Appendix F — ONG Operational Guidance
operations designed to reduce border -security risk. Tactical operations will be
conducted on a periodic basis meeting the criteria outlined below.
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
vulnerabilities. Key planners should recognize that shorter, frequent tactical operational
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.
92
Appendix F — 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 and
� I
o�mw rr...mev oeuHis .wiusv P.avaY M,rm Mr ear Jar Mewl 9egsiae
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
� 1
r ,
GtY.(!I 14)Irn4X IM[NNb JvrvY lWIVY �.Iel.WI ruy trw JII AiyH iHIMd1
This cycle illustrates operations on an as -needed basis. In response to emerging border
security threats.' This Is an example of a twelve month campaign plan with live 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
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.
93
Appendix F — ONG Operational Guidance
Reporting Procedures
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.
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 following 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 following 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:
This will not be entered into the Border Patrol Enforcement Tracking System (BPETS).
94
Appendix F - ONG Operational Guidance
- Working with State, local, and tribal agencies, along with other Federal law
enforcement agencies to determine the dates, focus, and needs of each
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 format and within 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:
• Coordinate with the SAA on all grant management matters, including but not
limited to the development and review of operations orders, expenditure of funds,
allowable costs, reporting requirements;
• 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 all operations orders to the SAA for review, and submit the first periodic
operations order to the Border Patrol and ensure the operation meets the six
criteria established in Section Il;
• 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
95
Appendix F - ONG Operational Guidance
• 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:
• Actively engage in the IPT meetings;
• Work in direct coordination and communication with the local or tribal agency
lead on all grant management matters;
• Review all operations orders created by the local or tribal agency;
• Acts as the fiduciary agent for the program and provide expertise in State policy
and regulations;
• 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.
96
Appendix F — ONG Operational Guidance
Attachment A:
Doeration Stoneciarden
ly
Date Information
Date of Activity FY Funds Used
Select...
Agency Identifiers
Sector Agency T e
T T
Region/County Agency Name
T T
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 Tower Marine Patrol Asset' Armored Vehicle
Mobile Command Center Aviation Asset' Other Spec. Equipments
97
Appendix F — OPSG Operational Guidance
Narcotic Seizure Details
Type Weight Report Number Location Comments
Select_ ij
Currency Seizure Details
I , Amount I Report Numher I Location I Comments
Vehicle Seizure Details
Make/Model FOrnated Value Location Comments
Weapon/Ammunition Seizure Details
Weapon Type Amount Seized Report Number Location Comments
Specialty Equipment Usage Details
Specially Equipment Report Number Location Comments
Significant Arrest Details
Name Date of Birth Report Number Location IComments
Intelligence Summary
Category Repon Number Location Summary
Select.. +i
Authorizing Officer
Date of Report
V. Definitions
Integrated Planning Team: The IPT will consist of the awarding State Administrative
Agency, 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
98
Appendix F — ONG Operational Guidance
agencies if 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 Plan,: 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.
99
Appendix F — ONG Operational Guidance
EXHIBIT G
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EXHIBIT H
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EXHIBIT I
CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES
Homeland Security Grant Program FY:
Subgrantee name:
Grant Number: CalOES ID#
Project:
REQUEST FOR SOLE SOURCE PROCUREMENT AUTHORIZATION
1. Project name:
Project Budget: $
2. Describe the project and/or activity that will be provided by the proposed sole source
vendor/contractor.
3. 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.).
4. 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)
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.)
S. Did your organization confirm that the contractor/vendor is not debarred or suspended?
G. Will your organization be able to complete all activities associated with the sole source contract
by the end of the grant performance period?
7. Has your organization determined the costs are reasonable?
8. Please attach a copy of the cost benefit analysis prepared for this procurement.
Submitted by
(Signnture)
Date:
Cal OES SSRF rev 811113
EXHIBIT J
LAILB UASI
FOR CLAIM REIMBURSEMENT
Procurement
Competitive/Formal bid process? No Yes
Informal procurement memo attached? No Yes
Is this a Sole Source purchase? LJ No � Yes (Prior State approval attached)
FOR EQUIPMENT:
❑ Grant Reimbursement Request Form with authorized signature and date for each line #.
❑ Invoice: Must be stamped "PAID", signed with authorized signature for payment, and dated. Circle, or designate on the
invoice/receipt the items requesting reimbursement. Each item circled must have project #, a funding SOURCE, and TOTAL. Include
proof of payment (copy of canceled check and/or internal accounts payable record). Price quotes will not be accepted as proof of
purchase for reimbursement
❑ Purchase Orders
❑ Proof of Delivery (is. packing slips): If packing slips cannot be provided by vendor, the purchase order needs be stamped RECEIVED
with the date the product was received and signature
❑ Reviewed Federal Debarment Listing; http:/hvww.epis.nov/epls/search.do
❑ No. ❑ Yes, print screen is attached for auditing purposes.
❑ E t I me t Inver to Led e , completed listing with all requested information, Including Line #, Equipment Description, AEt_:.#, AEA
d, Oty, Invoice #, Invoice Date, Vendor, Amount of Request, Acquired Date, Serial #1 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.
El ODP
Roster completed listing with project #, course name, solution area sub -category, discipline, ODP approval, and,
ODP tracking number.
• For Training OpP apiproY9d tr4dking rlt mlo6r, is required
• For Exercise — Submit After Action Report into the ODP Portal within 60 days of event. Attach proof report was submitted (is.
report cover sheet, confirmation email).
❑ Timecards: indicating the # of hours charged per day, employee signature & supervisor signature. Electronic timecard is acceptable.
Ei Payroll register indicating the salary, hourly rate, employee benefits, overtime rate. Include backfill for name of employee attending
training/exercise.
❑ For Training & Exercise Only: Class Roster/Slan-In sheets or Certificate of Completion with training date (if claiming for Backfill
and/or Overtime); if sign -in sheets or certificates are not available, trainees should provide their your own proof of attendance by
completing their own sign -in sheet and have the Trainer sign the sheet indicating proof of attendance.
Additional Items:
❑ Travel Itemized receipts required for costs such as airfare, lodging, meals and/or training/conference fees. Receipts/invoices must
include appropriate dates agreeing with the travelltraining period. Gratuity and alcoholic beverages are not allowed for
reimbursement. Credit card authorization slips are unacceptable. Please see www.asa.00v 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
Mayor's Office of Homeland Security and Public Safety
200 N. Spring St., Room #M175
Los Angeles, CA 90012
Fax: 213.978.0718
Jurisdiction:
Agency/Department:
Expenditure Period: begin end
UASI FY08 ❑
Project Letter:
Prepared By:
UASI FY09 ❑
Master Item #:
Phone No.:
UASI FY10 ❑
Sub -Line #:
Please mark this box to indicate
UASI FY11 ❑
final request for reimbursement ❑
UASIFY12 ❑
Authorized Total
Previously
Current
Cumulative
Type of Expenditure
Balance
Amount
Reauest
Request
Reauest
Total
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)
HSPS Department Use Only
Invoice Tracking No:
Fiscal Year:
Cash Request No:
Invoice No:
Document ID No:
Please Remit Payment to:
Agency
Address
city State Zip
EXHIBIT K
CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES
AVIATION EQUIPMENT REQUEST FORM
Homeland Security Grant Program FY: ^ Grant Number: Cal OES ID#:
Urban Area Security Initiative (UASI) FY: _ Grant Number: Cal OES ID#:
Project Amount: UASI: $ SHSGP: $
City/County/Agency Name:
Indicate the type of equipment for this request
Aviation Equipment ^ Aviation Related Equipment
2. Provide a description of the area that will be served by the requested equipment.
3. Please justify the need for the aviation equipment and how the requested platform best meets
that need as compared to other options. Include the cost, discipline, and funding source.
4. 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 general
operational costs of such aviation unit.
5. Identify the applicable goals and objectives in the State/Urban Area Homeland Security
Strategy that the requested aviation equipment addresses.
G. Explain how the requested aviation equipment fits into the State/Urban Area's integrated
operational plans,
Explain how this aviation equipment will support activities specifically related to terrorism
incident prevention and response efforts.
Cal OES Form A V1 Rev 08-01-13
Cal OES Aviation Request Form
Page Two
8. Please describe how this aviation equipment will be used operationally acid which response
assets will be deployed using the requested aircraft.
9. Please describe how this aviation equipment will be utilized on a regular, non -emergency
basis.
10. Please certify licensing, registration fees, insurance, and all ongoing operational expenses are
(a) the responsibility of the grantee or the local units of government and (b) are not allowable
under this. grant.
Cal OES Form API Rev 08-01-13
Grant Programs Directorate
4-4 Homeland` Security
OMB Control#: 1660-0115
Expiration Date: 10/31/2013
FEMA Form: 024-0-1
DEPARTMENT OF HOMELAND SECURITY
FEDERAL EMERGENCY MANAGEMENT AGENCY
ENVIRONMENTAL AND HISTORIC PRESERVATION SCREENING FORM
Paperwork Burden Disclosure Notice
Public reporting burden for this form is estimated to average 8 hours per response. The burden estimate
includes the time for reviewing instructions, searching existing data sources, gathering and maintaining
the data needed, and completing and submitting the,form. You are not required to respond to this collection
of information unless it displays a valid OMB control number. Send comments regarding the accuracy of
the burden estimate and any suggestions for reducing the burden to: Information Collections Management,
Department of Homeland Security, Federal Emergency Management Agency, 500 C Street, SW,
Washington, DC 20472, Paperwork Reduction Project (1660- 011 S) NOTE: Do not send your completed
form to this address.
Completing the Screening Form:
This form must be attached to all project information sent- to the Grant Programs Directorate (GPD) to
initiate environmental and historic preservation (EHP) compliance review, per the National Environmental
Policy Act (NEPA) and other EHP laws and executive orders. There is no need to complete and submit
this form if the grant scope is limited to planning, management and administration, classroom -based
training, table -top exercises andfunctional exercises, orpurchase ofmobile and portable equipment where
no installation needed. Information Bulletin 345 (September 1, 2010) provides details on these activities.
The form must be completed by someone with in-depth understanding of project details and location.
Completion of this form does not conclude the EHP review process and FEMA may need to contact you
for further information. Not providing requested information may result in funding release delays. This
form is intended to be completed electronically. The following website provides a version of this form that
is suitable for printing and completing by hand as well as additional guidance such as on how to make an
aerial map: http://www.fema.gov/plan/chp/ehp-applicant-hell).shttn#5.
To check (X) a box (for example, ❑ Yes ❑ No), left double-click
using your mouse and a Check Box Form Field Options box will "o'4 awj
appear, then under the Default Value, select Checked and press
OK (see figure, right). To write in a text field O, select the 'FW
P mspa
text field with your mouse and begin typing.
Submit completed form with necessary attachments to ollowin -
GPDEHPInfo dhs. ov with the information in the e- :
@ g f g in f
mail subject line: EHP Submission: Project Title, Subgrantee
Name; Grant Award Number (Example, EHP Submission:
Courthouse Camera Installation, Any Town, State,1234S).
Environmental and Historic Preservation Screening Form
Complete all of Section A, Section B, all of each portion(s) of Section C corresponding
to checked blocks in Section B, and all of section D that apply to the project.
A. PROJECT INFORMATION (complete all)
DI -IS Grant Award Number: Grant Program: ,.
Fiscal Year; ... ............
Project Title: .............
Grantee (SAA):.........
Grantee POC:............
Mailing Address:......
E-mail: ......................
Dollar value of grant (lfknown):
B. PROJECT TYPE
Sub grantee: ............
Snbgrantee POC:....
Mailing Address:....
E-mail: ....................
Please check ALL the block(s) that best fit the scope of the project.
❑ 1. Training and Exercises. Go to page 2, Complete all of Section C. 1.
❑ 2. Purchase of Equipment. Go to page 3. Complete all of Section C.2,
❑ 3. Physical security enhancements. Go to page 3. Complete all of Section C.3.
❑ 4. Renovations/upgrades/modifications to existing structures. Go to page 3. Complete all of
Section CA,
❑ 5. New construction/addition, Go to page 4. Complete all of Section C.5,
❑ 6. Communication towers, related equipment, and equipment shelters. Go to page 5,
Complete all of Section C.6.
❑ 7. Other. If your project does not match any of these categories, go to page 6. Complete
Section C.7
Thefollowing information is required to initiate PHP review of the project. Based on the project's scope ofwork,
determine which project type applies below and complete that section. Por undti-component projects or those
that may fit into multiple project types, complete the section that best applies and provide a complete project
description. The project description should contain a briefsan noty of what specific action is proposed, where it
is proposed, and how it will be implemented. If the project involves mulliple locations, informalionfor each must
be provided. Attach additional pages, ifneeded.
Provide a complete project description:
C. PROJECT DETAILS
1. ❑ Training and Exercises (check each that applies): ❑Classroom -based ❑ Field -based
If the traheing is classroom and discussion -based only, and is not flchl-based, this form
Floes not need to be completed and sabnefned All other training must provide the
following:
a. Describe the scope of the proposed training or exercise (purpose, frequency, materials,
and equipment needed, number of participants, and type of activities required)
(Attach addilional pages, f f needed): ..........................._...........................................................
Environmental and Historic Preservation Screening Form
b. Will the field -based training take place start existing facility having established
procedures for that particular proposed training and exercise, and that conforms with
existing land use designations (refer to Information Bulletin #329
(htto•//fema dps mo gov/emug/IB%20i29 20090902 ndf) for fitrther information)?
.................................................................................................
❑ Yes ❑ No
• If yes, please provide the name and location of the facility (physical training site
address or latitude -longitude): ............................................................................................
• If no, provide the location (physical project address or latitude -longitude) and a full
description of the area where training will occur: ...............................................................
c. Does the field -based training/exercise differ in any way (including, but not limited to
frequency, amount of facilities/land used, materials or equipment used, number of
participants, type of activities) from previously permitted training exercises and training
practices?
❑ Yes ❑ No
• If yes, explain any differences between the proposed activity and those that were
approved in the past, and the reason(s) for the change in scope: ........................................
it. Will any equipment or structures need to be installed to facilitate
training?
................................................................................
❑ Yes ❑ No
• If yes, explain how and where this is proposed to be done (include site -specific color
photographs: .................................................................................................................
2. ❑ Purchase of equipment (lfthe entire project is 1huited to purchase ofurobile/portable
equipment and there is no installation needed, you do not need to complete and submit
this form.)
a. Specify what equipment, and the quantity: .............................................................................
b. Provide AEL number(s) (if known): ........................................................................................
c. Will this equipment be
installed?
❑ Yes ❑No
• If Yes, go to page G. Complete Section D.
3. ❑ Physical security enhancements and or installations (for example: installation of back-
up generators, fencing, cameras, building/room access control, bollards, motion
detection systems, x-ray machines, and lighting).
a. Describe what, how, and where improvement(s)/installation(s) will occur in/on the
facility/building/structure:......................................................................................................
b. Provide project location (physical project address and latitude -longitude): .............................
c. Will the new equipment/improvements use the existing power supply systems? ....................❑ Yes ❑ No
• If no, describe new power source and installation (such as utility trenching): ....................
d. If generator installation, please state the capacity(KW): .........................................................
If a separate fuel tank is also included, describe if it is to be installed above or below
ground, and its capacity (gallons): ....................................................................... ..............
Environmental and Historic Preservation Screening Form
e. Go to Page 6, Provide additional project details in Section D.
4. ❑ Renovations/upgrades/modifcations to existing structures.
a. Provide detailed description of modifications: ........................................................................
b. Provide project location (physical project address and latitude -longitude): ............................
c, Will any equipment need to be installed? .......... ...................... ..................... .... ...... ...... ............ ❑ Yes ❑ No
• If yes, please note in Section 2, (purchase of equipment).
f Go to Page 6. Provide additional project details in Section D.
5. ❑ New construction/addition (for example: emergency operations centers, (locks, piers,
security guardhouse).
a. Provide detailed scope of work (site acreage, new facility square footage/number of stories,
utilities, parking, stormwater features, etc): ............................................................. ..............
b. Provide project location (physical project address or latitude,longitude):...............................
c. Will any equipment need to be
installed?
❑ Yes ❑ No
• If yes, please note in Section 2 (purchase of equipment).
d. Will the new building/facility/renovations use existing
utilities?
.....................................................................
❑ Yes ❑ No
• If no, describe installation of new utilities in (a) above (including trenching): ................
e. Go to Page 6. Provide additional project details in Section D.
6. ❑ Communication towers, related equipment, and equipment shelters
a. Provide a detailed description of the project............................................................................
b. Provide project location (physical project address or latitude -longitude: ................................
c, Provide the elevation above mean sea level of the project location: ........................................
d. For projects involving antenna(s) installations on existing towers:
• Provide the height of the existing tower: .........................................................................
• The height of the tower following the installation of the new antenna(s):........................
e. For new tower projects, state the total height (in feet) of the communication tower or
structure including any antennae to be mounted: ............ .......................................... .......
• - If the proposed tower height is greater than 199 feet above ground level, state why
this is needed to meet the requirements of the project: ...................................................
• Will the tower be free-standing or require guy wires? ........................ ❑ Free standing ❑ Guy wires
4
Environmental and Historic Preservation Screening Fortn
• If guy wires are required, state number of bands and how many: .....................................
• State why a guyed tower is needed to meet the requirements of this project: ...................
• What kind of lighting will be installed, if any (for example: white strobe, red strobe,
orsteady burning?): ..................................... .....................................................................
f. A general description of terrain (For example: mountainous, rolling hills, flat to
undulating): .......................... ........ ..... ......................................................................................
g, Describe the frequency and seasonality of fog/tow cloud cover: .............................................
h. Provide a list of habitat types and land use on and adjacent to the tower site (within '/a mile),
by acreage and percentage of total (e.g., woodland conifer forest, grassland, agriculture)
waterbody, marsh): .......... ............. ...................... ................... ...........................................
i. Is there evidence of bird roosts or rookeries present within '/,mile of the proposed site?....... ❑ Yes ❑ No
it, If yes, describe: ..................................................................................................
• Distance to nearest wetland area (for example: forested swamp, marsh, riparian, marine)
andcoastline if applicable: ........................................................................................... ......
i. Distance to nearest telecommunication tower: .........................................................................
j. Have measures been incorporated for minimizing impacts to migratory
birds?
❑ Yes ❑ No
• If yes, describe: ................................................ .........................................................
k. Has an FCC registration been obtained for this
tower?
❑ Yes ❑
No
• If yes, provide Registration#:............................................................................................
1. Has the FCC E 106 process been
completed?
❑ Yes ❑ No
in. Has the FCC Tower Construction Notification System (TONS) process been
completed?
❑ Yes F1 No
• If yes, attach all relevant environmental documentation submitted as part of the
registrationprocess including use of the Tower Construction Notification System
(TCNS), if applicable. FRN#............................................................................................
n. Will any equipment or stmchues need to be
installed?
❑ Yes ❑ No
If yes, explain what type how and where this is proposed to be done (attach additional
pages, fpagey needed): ................ ..... ......... ..... . . ...... ................................... .... .........
o. Will equipment be co4ocated on existing FCC licensed tower or other
structure?
❑ Yes ❑ No
• If yes, identify the type of structure; ..................................................................................
Environmental and Historic Preservation Screening Form
p. Go to Page 6. Provide additional project details in Section D.
7 . ❑ Other. For any project that does not fit a category listed above, please provide a thorough
summary of the proposed action and location. Include as much detail as necessary to
ensure someone not personally familiar with the project is able to conduct an EHP review.
a. Project Sutmnary:
b. Provide additional project details in Section D.
D. OTHER PROJECT RELATED INFORMATION (complete all that apply)
The following website may provide some additional EHP related guidance and resources to help
complete this section htto'//www fema eov/plan/eho/eho-aonlicant-heli)shtm#5.,
1. If work is proposed on/in an existing building(s) or structure(s) provide the year built: .................
If the building or structure involved is over 45 years old and significant renovation,
rehabilitation, or modification has occurred, please provide the year(s) and briefly
describe the nature of remodeling: .............................................................................................
2. If the project affects the exterior of the building, are there any known buildings and/or structures
that are 45 years or older in the immediate project
area?
..........................
❑ Yes ❑
No/NA
• If yes, please provide the location, ground -level color photos of these, and identify their
location(s) on the aerial map.
3. Is the building or structure on which work is proposed a historic property or in a historic district,
or are there any adjacent historic properties?
.......................................................
❑ Yes ❑ No
• Information about historic properties may be found on the National Register of Historic
Places at http://nrhn focus nos eov/natreehome do?searchtvoe--natreehome or the respective
State Historic Preservation Office may have information on their website.
4. Will ground disturbance be required to complete the
project?............................................................................................................
❑ Yes ❑No
• If yes, provide total extent (depth, length and width) of each unique ground disturbing
activity. Light poles, bollards and fencing are each unique ground disturbing activities
(For example, six light poles, 24" dia. x 4' deep; trenching 12" x 500' x 18" deep): ................
5. Has the ground been previously
disturbed?........................................................................................................................................
❑ Yes ❑No
• If yes, please describe the current disturbed condition of the area (for example, parking
lot, roadway right-of-way, commercial development): ..............................................................
G. Are there technical drawings or site plans available, if yes please attach.
Environmental and Historic Preservation Screening Form
❑ Yes ❑ No
7. Attach color site photographs:
• Ground -level color site photos that provide context and show where site work/physical
installations are proposed (label photos),
• Ground -level color photographs of each side of the building involved.
• Aerial color photograph with project limits outlined and with the location of any
proposed installations identified.
• Aerial color photograph(s) showing all ground disturbing activities (if applicable).
S. Is the project part of an approved plan such as a Master Plan or an Implementation Plan or any
larger action/project?
......................................................................................................................................................
❑ Yes ❑ No
• If yes, provide the plan/project name and brief description: ...............................
9. Is there any previously completed environmental documentation for this project (for example:
Environmental Impact Statement, Environmental Assessment, wetland delineation,
archaeological
study)?.........................................................................................................................................
❑ Yes ❑ No
• If yes, please attach documentation. If a NEPA document, what was the decision? (Check
one, and please attach):
❑ Finding of No Significant Impact (FONSI) or
❑ Record of Decision (ROD)
Name of preparing agency: ...............
Date approved: ..................................
10. Is there any previously completed agency coordination for this project (for example
correspondence with the U.S. Fish and Wildlife Service, Stale Historic Preservation Office
(SHPO), Tribal Historic Preservation Office (THPO), or permitting
agencies?
❑ Yes ❑ No
• If yes, please attach documentation unless included in NEPA documentation identified
above.
11. Provide FEMA Flood Insurance Rate Map (FIRM), with project limits outlined. FIRM maps can
be created from: http://www.fema.gov/hazard/may/firtn.shtm
12. Provide U.S. Fish and Wildlife Service, National Wetlands Inventory (NWI) Map created from:
http7//www fWs-gov/wetlands/Data/Manyer hhnl
California Governor's Office of Emergency Services
ESTABLISH/ENHANCE EMERGENCY OPERATIONS CENTER (EOCI REQUEST
Subgrantee Name:
Homeland Security Grant Program FX Grant Number Cal OES ID#
Urban Area Security Initiative (UASI) FY _ Grant Number Cal OES ID#
Other Program FY Grant Number Cal OES ID#
I. What type of EOC does your organization plan to establish/enhance'? (Choose one of the
following)
Primary EOC
2. Physical address of facility:
Alternate/Back-up/Duplicate EOC
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.
G.
Supplies/Equipment AEL # Cost
Computers
Network Servers
Printers
Computer accessories (i.e. sure protectors, battery backups, etc.)
Computer maintenance contracts
Computer connections and cables(including fiber optic cabling)
Fax machines
Lighting Systems
LCD projectors
Projection/plasma/flat screens/monitors/televisions
GIS plotter and software
Telephone sstems
Software development
Commercial off -the -shelf (COTS) software
Installation of EOC items
Miscellaneous connections for EOC items
Standardized mapping software
Cal OES EOCRF Revised 08/1/13
Standardized emergency management software
Installation of EOC items
Miscellaneous connections for EOC items
Leasing Costs' (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
Explanation of `other" items:
Has your organization determined the costs are reasonable?
Submitted by:
(Name) (Signature)
Date:
California Governor's Office of Emergency Services
WATERCRAFT REQUEST
Subgrantee Name:
Homeland Security Grant Program FY Grant Number Cal OES ID#
Urban Area Security Initiative (UASI) FY Grant Number Cal OES ID#
Other Program FY Grant Number Cal OES ID#
Project Amount: UASI $ SHSP
Indicate the type of equipment for this request (choose only one of the following).
Watercraft Watercraft- Related Equipment
2. Please provide a description of the area that will be served by the requested equipment.
Equipment & Description
AEL number
3. Please justify the need for the watercraft and how the requested platform best meets
that need as compared to other options. Include the cost, discipline, and funding source.
4. Please describe the active, operating waterway patrol unit and certify on signed
letterhead that no expenses will be charged against the grant award for the operation of
such unit.
Please identify the applicable goals and objectives in your State/Urban Area Homeland
Security Strategy that the requested watercraft addresses, and the waterway identified
as critical asset requiring state and/or local prevention and response capabilities.
G. Please explain how the requested watercraft fits into the State/Urban Area's integrated
operational plans and vulnerability assessment.
Cal OES WRF Revised 07/11/13
California Governor's Office of Emereencv Services
WATERCRAFT REQUEST
Please describe how this watercraft will be used operationally and which response
assets will be deployed using the requested watercraft,
8. Please describe how this watercraft will be utilized on a regular, non -emergency basis.
9. Please describe what types of terrorism incident response and prevention equipment
with which the requested watercraft will be outfitted. Include any specialized
navigational, communications, safety, and operational equipment necessary to enable
such watercraft to support the homeland security mission. Please certify on signed
letterhead that 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 by: Date:
(Name) (Signature)
Cal OES WRF Revised 07/11/13
EXHIBIT L
Technology Project Standards
1. Virtual Port (Data System Proiectsl
1) Web -based software: system on browser technology instead of proprietary system
2) API or STK software integration tools- application is typically provided by the
manufacturer
3) Exchange protocols: 128 bid encryption
4) Dual authentication
2. Downlink Protect
1. Ability to go non-encryptic for both receivers and transmitters
2. 6.5 GHz Range
3. High -gain antennas
4. Moving Pictures Expert Group (M-PEG) current standards for decoding: M-PEG 4
3. SMART Classroom
1. 2 Mbps minimum bandwidth
2. Code-X Specs- minimum of C40 (2 video outputs)
3. Camera Specs- 1080 dpi
4. Firewall settings:
5. IT personnel required for set-up/installation
4. LARCOPP
Asset Manager —Tracks personnel and equipment to shift or operational period based on availability
either on duty or on overtime. Tracks all working hours and prints out overtime slips in compliance with
FMAG reimbursement procedures.
Logs- Ability to create multiple logs for different ICS sections, divisions, or agencies for multiple
operational periods.
Mapping —Ability to plot personnel, equipment, missions for a variety of Incidents, draw perimeters, fire
lines, fire progression, plume modeling etc,
Video Streamer- Ability to stream multiple videos streams from ANTARES cameras In to several
locations, (EOC's mobile command post trailers),
Message Center — Ability to have private encrypted chat rooms for operators to discuss operations, FAX
service to send and receive FAXs', Email groups ability to send and receive emails with attachments or
send attachments on email.
ICS Forms - Ability to create ICS forms and complete EAP's/IAP's
Downlink Receiver — Ability to receive both 4.9 and 6.5 GHz downlink video
Triage App — Ability to track patients at an MCI incident both by name and location
Tri-Korder phones - Ability to have most of the above applications on a smart phone and also the ability
to use the Tri Korder phone as a GPS tracker to track personnel live on the mapping app
Re-Stat ability - to have situational awareness of all you deployed and waiting resources as well as
missions
Missions — creates and tracks missions both for a pre -planned and emerging events. Ability to insert
detailed instructions for personnel
Reports - Ability to print up multiple reports about personnel, missions, overtime costs.
All of these abilities are shared with all agencies participating in the LARCOPP program. There are
several servers throughout the region that give us the ability to share and view everyone's Incidents and
information live. It also allows us to works together on a single incident allowing multiple agencies in a
unified command to have the same picture of the incident. All of this information is encrypted.
S. License Plate Recoanitlon (LPR
Overview:
Fixed and Mobile License Plate Recognition system should contain the following components: (a) Fixed
License Plate Recognition Cameras including all necessary mounting hardware, (b) Capability to accept a
network connection capable of backhauling data to city network, (c) Hardware capable of creating VPN
between network connection identified in (b) and City/Agency network.
System Requirements:
• System shall have the ability to capture license plates and compare them to a database detailed
by the purchasing agency;
• System shall be able to perform this analysis in varied lighting and weather conditions at an
accuracy level deemed suitable by the purchasing agency;
• System shall have the ability to link or share data with other LPR systems;
• The LPR system shall have the ability to be deployed in both a mobile and fixed installation
based on standards set by the agency purchasing;
• The systems timekeeping shall automatically update when time changes occur (e.g., Daylight
savings time) and be consistent with correct calendar dates;
• Any system selected shall allow for the purchasing agency to be the sole owner of the data;
• Data shall be compatible with standard SQL format;
• System selected shall at a minimum have the ability for a unique user sign and audit/reporting
capability;
• Still imagery must be in a non-proprietary format;
• Each read shall retain the associated metadata the minimally includes:
o GPS location;
o Date;
o Time;
o Source (vehicle ID/fixed identifier);
o Alert reason;
• System must have the ability to retain all data captured for a period set by the purchasing
agencies requirements;
• The system must be Industrial/commercial grade. No prototype models will be considered;
Hardware:
• Loss of power to any hardware shall not result in the unit requiring reprogramming;
• Sudden loss of power shall not cause the loss of data;
• All wiring shall meet industry standards applicable to the wire applications and all systems must
be properly grounded using the same industry standards;
• The systems shall operate under extreme hot and cold weather conditions (20to 160 degrees
Fahrenheit);
• Camera system shall capture an image of the plate and overview of the vehicle;
• Mobile systems shall support a minimum of four cameras capable of capturing license plates;
• System shall comply with the purchasing agencies' lighting standards for fixed installations;
• Cameras must operate on a filtered, regulated and short-circult-protected power source.
• The system will be protected from damage due to input of voltage, reverse polarity, and
electrical transients that may be encountered.
• Camera will need to possess sufficient internal memory such that during times of impaired
network connectivity data will not be lost.
• Ruggedized exterior for camera and networking equipment
• Vibration resistant
• Rugged mounts that provide stability to all equipment
Network Conditions:
• System Network connection should be capable of sustained 2SOkb/s speeds.
• Human intervention shall not be required to establish/maintain the connection
• Connection should be capable of automatic reconnection in the event of power -loss or
temporary issue with service provider.
• If a device is required at each network connection point, it shall be capable of encrypting data
being sent back to any Agency network.
Warranty and Maintenance:
• System selected shall include a comprehensive warranty and maintenance for the maximum
amount of time allowed by the grant guidelines;
Regional Sharing:
• Any agency using UASI/SHSG Grant Funding shall agree to enter into a standard Memorandum
of Agreement to share data between LA -LB UASI law enforcement members (to be developed
and provided prior to final grant award);